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Home , February 25

Vol. 80 Wednesday, No. 37 25, 2015

Pages 9985–10322

OFFICE OF THE FEDERAL REGISTER

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Contents Federal Register Vol. 80, No. 37

Wednesday, February 25, 2015

Editorial Note: Administrative Order, Libya; Continuation See National Oceanic and Atmospheric Administration of National Emergency (Notice of , 2015) at 80 NOTICES FR 9983 was published in the printed version of the Agency Information Collection Activities; Proposals, Federal Register for Tuesday, , 2015, but was Submissions, and Approvals, 10050–10051 inadvertently omitted from the Table of Contents of the Federal Register. Commodity Futures Trading Commission PROPOSED RULES Position Limits for Derivatives and Aggregation of Agency for International Development Positions, 10022–10026 NOTICES Community Living Administration Charter Renewals: Global Development Council, 10044–10045 NOTICES Proposed Priorities: Agriculture Department National Institute on Disability, Independent Living, and See Federal Crop Insurance Corporation Rehabilitation Research, 10103–10117 See Food and Nutrition Service National Institute on Disability, Independent Living, and See Food Safety and Inspection Service Rehabilitation Research; Rehabilitation Research and See Forest Service Training Centers, 10099–10102 NOTICES Defense Department Agency Information Collection Activities; Proposals, See Army Department Submissions, and Approvals, 10045–10047 NOTICES Army Department Agency Information Collection Activities; Proposals, Submissions, and Approvals, 10073–10075 NOTICES Meetings: Meetings: Judicial Proceedings Since Fiscal Year 2012 Amendments Advisory Committee on Arlington National Cemetery Panel, 10075–10076 Honor Subcommittee, 10077 Advisory Committee on Arlington National Cemetery Education Department Remember Subcommittee, 10076–10077 NOTICES Agency Information Collection Activities; Proposals, Bureau of Consumer Financial Protection Submissions, and Approvals: NOTICES 21st Century Community Learning Centers Annual Compliance Bulletin: Performance Report, 10080 Treatment of Confidential Supervisory Information, Annual Report on Appeals Process, 10077–10078 10072–10073 Charter Schools Program Grant Award Database, 10078– 10079 Centers for Disease Control and Prevention HBCU All Star Student Program, 10079 NOTICES Quarterly Cumulative Caseload Report, 10079–10080 Agency Information Collection Activities; Proposals, Meetings: Submissions, and Approvals, 10094–10098 National Advisory Committee on Institutional Quality Children and Families Administration and Integrity, 10080–10081 NOTICES Employment Standards Administration Agency Information Collection Activities; Proposals, See Wage and Hour Division Submissions, and Approvals: Affordable Care Act Tribal Maternal, Infant, and Early Energy Department Childhood Home Visiting Program: Guidance for See Federal Energy Regulatory Commission Submitting an Annual Report to the Secretary, PROPOSED RULES 10098–10099 Energy Conservation Program: Test Procedures for Portable Air Conditioners, 10212– Coast Guard 10248 NOTICES Guidance: Environmental Protection Agency Use of Liquefied Natural Gas as a Marine Fuel, 10131– RULES 10137 Pesticide Tolerances for Emergency Exemptions: Meetings: Clothianidin, 10003–10007 Port Access Route Study—Chukchi Sea, Bering Strait and NOTICES Bering Sea, 10137–10138 Agency Information Collection Activities; Proposals, Submissions, and Approvals: Commerce Department Certification of Pesticide Applicators, 10089–10090 See Foreign-Trade Zones Board NESHAP for Iron and Steel Foundry Area Sources, See International Trade Administration 10088–10089

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NESHAP for Primary Lead Smelters, 10089 Petitions for Waivers of Compliance, 10206–10209 NESHAP for Shipbuilding and Ship Repair Facilities – Surface Coating, 10083–10084 Food and Drug Administration NSPS for Calciners and Dryers in Mineral Industries, PROPOSED RULES 10082–10083 Over-the-Counter Sunscreen Drug Products: NSPS for Metal Coil Surface Coating, 10086–10087 Status of Ecamsule, 10035–10043 NSPS for Municipal Solid Waste Landfills, 10084–10085 Status of Enzacamene, 10026–10035 NSPS for Petroleum Refineries, 10085 NOTICES Participation by Disadvantaged Business Enterprises in Agency Information Collection Activities; Proposals, Procurements Under EPA Financial Assistance Submissions, and Approvals: Agreements, 10087–10088 Current Good Manufacturing Practice Regulations for Reporting and Recordkeeping Requirements for Finished Pharmaceuticals, 10117–10121 Greenhouse Gas Emissions Standards and Fuel Premarket Notification for a New Dietary Ingredient, Efficiency Standards for Medium- and Heavy-Duty 10121–10122 Engines and Vehicles, 10085–10086 Guidance: Meetings: Technical Performance Assessment of Digital Pathology Great Lakes Advisory Board; Public Teleconference, Whole Slide Imaging Devices, 10122–10123 10090–10091 Meetings: Requests for Amendments To Terminate Uses in Certain Pediatric Ethics Subcommittee of the Pediatric Advisory Pesticide Registrations, 10091–10092 Committee, 10123–10124 Robotically-Assisted Surgical Devices—Challenges and Executive Office of the President Opportunities; Workshops, 10124–10125 See Presidential Documents National Medical Device Postmarket Surveillance System Planning Board Report, 10125–10126 Federal Aviation Administration Requests for Information: RULES Public Health Concern Related to Racial/Ethnic Airworthiness Directives: Demographic Subgroups for Office of Minority Sikorsky Aircraft Corporation (Sikorsky) Helicopters, Health Research, 10126–10127 9985–9987 NOTICES Agency Information Collection Activities; Proposals, Food and Nutrition Service Submissions, and Approvals: NOTICES Airport Noise Compatibility Planning, 10203–10204 Requests for Information: Software Vendors of State and Local Management Federal Communications Commission Information Systems and Other Technology NOTICES Solutions, National School Lunch and Breakfast Agency Information Collection Activities; Proposals, Programs, 10047–10049 Submissions, and Approvals, 10092–10094 Food Safety and Inspection Service Federal Crop Insurance Corporation NOTICES PROPOSED RULES Meetings: Submission of Policies, Provisions of Policies and Rates of Codex Alimentarius Commission: Codex Committee on Premium, 10008–10022 General Principles, 10049–10050

Federal Emergency Management Agency Foreign-Trade Zones Board NOTICES NOTICES Agency Information Collection Activities; Proposals, Authorization of Production Activity: Submissions, and Approvals: Epson Portland, Inc., Subzone 45F, Hillsboro, OR, 10051 National Fire Incident Reporting System, 10138 Final Flood Hazard Determinations, 10138–10144 Forest Service Meetings: NOTICES Proposed Revised Guidelines for Floodplain Proposed New Fee Sites, 10050 Management, As Revised Through the Federal Flood Risk Management Standard, 10144 Health and Human Services Department Federal Energy Regulatory Commission See Centers for Disease Control and Prevention NOTICES See Children and Families Administration Combined Filings, 10081–10082 See Community Living Administration See Food and Drug Administration Federal Maritime Commission See National Institutes of Health NOTICES Agreements Filed, 10094 Homeland Security Department See Coast Guard Federal Railroad Administration See Federal Emergency Management Agency NOTICES See Transportation Security Administration Applications: RULES Railroad Signal Systems; Discontinuances or Employment Authorization for Certain H–4 Dependent Modifications, 10204–10206 Spouses, 10284–10312

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Housing and Urban Development Department National Oceanic and Atmospheric Administration NOTICES RULES Rental Assistance Demonstration; Alternative Requirements Fisheries of the Caribbean, Gulf of Mexico, and South or Waivers: Atlantic: San Francisco Housing Authority, 10146 Coastal Migratory Pelagic Resources in the Gulf of Mexico and Atlantic Region; Corrections, 10007 Indian Affairs Bureau Fisheries of the Exclusive Economic Zone Off Alaska: NOTICES Gulf of Alaska; Final 2015 and 2016 Harvest Guidelines for State Courts and Agencies in Indian Child Specifications for Groundfish, 10250–10282 Custody Proceedings, 10146–10159 NOTICES Meetings: Interior Department Atlantic Highly Migratory Species Advisory Panel, See Indian Affairs Bureau 10058–10059 See National Park Service Caribbean Fishery Management Council, 10059–10060 Takes of Marine Mammals Incidental to Specified International Trade Administration Activities: NOTICES San Francisco Bay Area Water Emergency Transportation Antidumping or Countervailing Duty Investigations, Orders, Authority Central Bay Operations and Maintenance or Reviews: Facility Project, Alameda, CA, 10060–10066 Polyethylene Terephthalate Film, Sheet, and Strip From Seabird Research Activities in Central California, 2015– Taiwan, 10051–10053 2016, 10066–10071 Export Trade Certificates of Review, 10053 Trade Missions: National Park Service South Africa, Kenya and Mozambique, 10053–10058 NOTICES Environmental Impact Statements; Availability, etc.: International Trade Commission Alcatraz Ferry Embarkation Plan, San Francisco County, NOTICES CA, 10159–10161 Complaints: Certain Lithium Metal Oxide Cathode Materials, Lithium- National Science Foundation Ion Batteries Containing Same, and Products With NOTICES Lithium-Ion Batteries Containing Same, 10161 Meetings: Investigations; Determinations, Modifications, and Rulings, Advisory Committee for Cyberinfrastructure, 10164– etc.: 10165 Tetrahydrofurfuryl Alcohol From China; Expedited Five- Year Review, 10162 Nuclear Regulatory Commission Meetings; Sunshine Act, 10162 NOTICES Atomic Safety and Licensing Boards: Justice Department Entergy Nuclear Vermont Yankee, LLC and Entergy RULES Nuclear Operations, Inc., Vernon, VT, 10165 Authorization To Seize Property Involved in Drug Offenses James Chaisson; Reconstitutions, 10165 for Administrative Forfeiture, 9987–9989 Concentration Averaging and Encapsulation Branch Technical Position, 10165–10168 Labor Department See Mine Safety and Health Administration Postal Regulatory Commission See Wage and Hour Division NOTICES NOTICES New Postal Products, 10168–10169 Agency Information Collection Activities; Proposals, Submissions, and Approvals Postal Service Family and Medical Leave Act, 10162–10163 NOTICES Product Changes: Mine Safety and Health Administration Priority Mail Negotiated Service Agreement, 10169 NOTICES Petitions for Modifications: Presidential Documents Existing Mandatory Safety Standards, 10163–10164 PROCLAMATIONS Pullman National Monument; Establishment (Proc. 9233), National Institutes of Health 10313–10319 NOTICES ADMINISTRATIVE ORDERS Agency Information Collection Activities; Proposals, Syrian Opposition Asistance; Determination and Waiver to Submissions, and Approvals: Section 1209 of the National Defense Authorization Act Assessment of Oncology Nursing Education and Training for FY 2015 (Presidential Determination) in Low and Middle Income Countries, 10128–10129 No. 2015–04 of , 2015, 10321 Division of Cancer Epidemiology and Genetics Fellowship Program and Summer Student Securities and Exchange Commission Applications, 10127–10128 NOTICES Government-Owned Inventions; Availability for Licensing, Joint Industry Plans: 10129–10130 BATS Exchange, Inc., BATS Y-Exchange, Inc., Chicago Meetings: Board Options Exchange, Inc., et al., 10169–10171 Center for Scientific Review, 10130–10131 Meetings; Sunshine Act, 10171

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Self-Regulatory Organizations; Proposed Rule Changes: United States Mint BOX Options Exchange LLC, 10177–10179 NOTICES Chicago Board Options Exchange, Inc., 10192–10194 Meetings: ISE Gemini, LLC, 10175–10177 Citizens Coinage Advisory Committee, 10210 Miami International Securities Exchange LLC, 10173– 10175, 10194–10198 Veterans Affairs Department NASDAQ OMX BX, Inc., 10179–10187 RULES NASDAQ Stock Market LLC, 10189–10192 Automobile or Other Conveyance and Adaptive Equipment NYSE Arca, Inc., 10187–10189 Certificate of Eligibility: NYSE MKT LLC, 10198–10200 Veterans or Members of the Armed Forces With Options Clearing Corp., 10171–10173 Amyotrophic Lateral Sclerosis, 10001–10003 Trading Suspension Orders: Akesis Pharmaceuticals, Inc., et al., 10201 Wage and Hour Division Calypte Biomedical Corp., EC Development, Inc., et al., RULES 10200–10201 Definition of Spouse Under the Family and Medical Leave Innovative Software Technologies, Inc., et al., 10201 Act, 9989–10001 Revonergy Inc., Siberian Energy Group Inc., et al., 10201

Small Business Administration Separate Parts In This Issue NOTICES Agency Information Collection Activities; Proposals, Part II Submissions, and Approvals, 10202–10203 Energy Department, 10212–10248 Agency Information Collection Activities; Proposals, Submissions, and Approvals: Part III Settlement Sheet, 10203 Commerce Department, National Oceanic and Atmospheric Meetings: Administration, 10250–10282 Regulatory Fairness; Region VIII; Salida, CO; Hearings, 10203 Part IV Homeland Security Department, 10284–10312 Transportation Department See Federal Aviation Administration Part V See Federal Railroad Administration Presidential Documents, 10313–10319, 10321 See Transportation Security Administration

Transportation Security Administration Reader Aids NOTICES Consult the Reader Aids section at the end of this page for Enforcement Actions Summary, 10145–10146 phone numbers, online resources, finding aids, reminders, and notice of recently enacted public laws. Treasury Department To subscribe to the Federal Register Table of Contents See United States Mint LISTSERV electronic mailing list, go to http:// NOTICES listserv.access.gpo.gov and select Online mailing list Requests for Nominations: archives, FEDREGTOC-L, Join or leave the list (or change Tribal Advisory Committee, 10209–10210 settings); then follow the instructions.

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CFR PARTS AFFECTED IN THIS ISSUE

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

3 CFR Proclamations: 9233...... 10315 Administrative Orders Presidential Determinations: No. 2015-04 of February 20, 2015 ...... 10321 7 CFR Proposed Rules: 400...... 10008 8 CFR 214...... 10284 274a...... 10284 10 CFR Proposed Rules: 429...... 10212 430...... 10212 14 CFR 39...... 9985 17 CFR Proposed Rules: 1...... 10022 15...... 10022 17...... 10022 19...... 10022 32...... 10022 37...... 10022 38...... 10022 140...... 10022 150...... 10022 21 CFR Proposed Rules: 310 (2 documents) ...... 10026, 10035 28 CFR 0...... 9987 29 CFR 825...... 9989 38 CFR 3...... 10001 40 CFR 180...... 10003 50 CFR 622...... 10007 679...... 10250

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Rules and Regulations Federal Register Vol. 80, No. 37

Wednesday, February 25, 2015

This section of the FEDERAL REGISTER ADDRESSES: You may send comments by Comments Invited contains regulatory documents having general any of the following methods: applicability and legal effect, most of which • This AD is a final rule that involves are keyed to and codified in the Code of Federal eRulemaking Docket: Go to requirements affecting flight safety, and Federal Regulations, which is published under http://www.regulations.gov. Follow the we did not provide you with notice and 50 titles pursuant to 44 U.S.C. 1510. online instructions for sending your an opportunity to provide your comments electronically. comments prior to it becoming effective. The Code of Federal Regulations is sold by • the Superintendent of Documents. Prices of Fax: 202–493–2251. However, we invite you to participate in new books are listed in the first FEDERAL • Mail: Send comments to the U.S. this rulemaking by submitting written REGISTER issue of each week. Department of Transportation, Docket comments, data, or views. We also Operations, M–30, West Building invite comments relating to the Ground Floor, Room W12–140, 1200 economic, environmental, energy, or DEPARTMENT OF TRANSPORTATION New Jersey Avenue SE., Washington, federalism impacts that resulted from DC 20590–0001. adopting this AD. The most helpful Federal Aviation Administration comments reference a specific portion of • Hand Delivery: Deliver to the the AD, explain the reason for any ‘‘Mail’’ address between 9 a.m. and 5 14 CFR Part 39 recommended change, and include p.m., Monday through Friday, except supporting data. To ensure the docket Federal holidays. [Docket No. FAA–2015–0397; Directorate does not contain duplicate comments, Identifier 2014–SW–048–AD; Amendment Examining the AD Docket commenters should send only one copy 39–18107; AD 2015–04–05] of written comments, or if comments are You may examine the AD docket on filed electronically, commenters should RIN 2120–AA64 the Internet at http:// submit them only one time. We will file www.regulations.gov or in person at the in the docket all comments that we Airworthiness Directives; Sikorsky Docket Operations Office between 9 receive, as well as a report summarizing Aircraft Corporation (Sikorsky) a.m. and 5 p.m., Monday through each substantive public contact with Helicopters Friday, except Federal holidays. The AD FAA personnel concerning this AGENCY: Federal Aviation docket contains this AD, any rulemaking during the comment period. Administration (FAA), DOT. incorporated by reference service We will consider all the comments we information, the economic evaluation, ACTION: Final rule; request for receive and may conduct additional any comments received, and other rulemaking based on those comments. comments. information. The street address for the Discussion SUMMARY: We are adopting a new Docket Operations Office (telephone 800–647–5527) is in the ADDRESSES airworthiness directive (AD) for certain We are adopting a new AD for certain section. Comments will be available in Sikorsky Model S–76A, B, C, and D Sikorsky Model S–76A, B, C, and D the AD docket shortly after receipt. helicopters. This AD requires inspecting helicopters. This AD requires inspecting the tail rotor drive shaft (TDS) flange-to- For service information identified in the TDS flange-to-shaft attachment shaft attachment hardware for correct this AD, contact Sikorsky Aircraft hardware at four locations for correct assembly and correct torque of the Corporation, Customer Service installation and correct torque of the fasteners. If there is a discrepancy, this Engineering, 124 Quarry Road, fasteners. If there is movement, AD requires, before further flight, Trumbull, CT 06611; telephone 1–800– misalignment of the torque stripe, a applying an index mark to the flange Winged–S or 203–416–4299; email misassembled part, or torque of less and TDS, inspecting the flange and shaft [email protected]. You may than 105 inch-pounds on any nut, this for a crack, fracture, wear, and certain review the referenced service AD requires applying an index mark to measurements, and replacing any part information at the FAA, Office of the the flange and shaft to make sure the that does not meet the approved criteria Regional Counsel, Southwest Region, flange is reinstalled in the same position before further flight. This AD is 2601 Meacham Blvd., Room 663, Fort to maintain shaft balance, and, before prompted by a partial loss of tail rotor Worth, Texas 76137. It is also available further flight, inspecting the flange and drive resulting in a forced landing. The on the Internet at http:// shaft for a crack, fracture, wear on the actions specified by this AD are www.regulations.gov by searching for mounting hole, and diameter intended to prevent failure at the flange- and locating Docket No. FAA–2015– measurements, and replacing the TDS if to-shaft attachment, loss of a tail rotor 0397. the flange or stub does not meet the drive, and subsequent loss of control of inspection criteria. This AD is prompted FOR FURTHER INFORMATION CONTACT: the helicopter. by a partial loss of tail rotor drive Michael Schwetz, Aviation Safety DATES: This AD becomes effective resulting in a forced landing, and Engineer, Boston Aircraft Certification 12, 2015. instances where TDS flange-to-shaft Office, Engine & Propeller Directorate, The Director of the Federal Register attachment hardware was found to be FAA, 12 New England Executive Park, approved the incorporation by reference loose or fractured. The actions specified Burlington, Massachusetts 01803; of a certain document as of , by this AD are intended to detect loose telephone (781) 238–7761; email 2015. or fractured hardware and prevent [email protected]. We must receive comments on this failure of the TDS at the flange-to-shaft AD by 27, 2015. SUPPLEMENTARY INFORMATION: attachment, loss of a tail rotor drive, and

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subsequent loss of control of the and shaft fail any of the inspection section, Congress charges the FAA with helicopter. criteria. promoting safe flight of civil aircraft in Æ Aligning index marks, installing the air commerce by prescribing regulations FAA’s Determination flange on the shaft, and coating the grip for practices, methods, and procedures We are issuing this AD because we length of each bolt and the contact the Administrator finds necessary for evaluated all the relevant information surfaces on each radius washer and safety in air commerce. This regulation and determined the unsafe condition washer with epoxy polyamide primer. is within the scope of that authority described previously is likely to exist or Æ Torquing each nut. because it addresses an unsafe condition develop in other products of these same that is likely to exist or develop on type designs. Differences Between This AD and the Service Information products identified in this rulemaking action. Related Service Information Under 1 The AD does not require returning the CFR Part 51 unairworthy parts with certain forms to Regulatory Findings Sikorsky issued Alert Service Bulletin the manufacturer as does the service We determined that this AD will not ASB 76–66–52, Basic Issue, on , information. have federalism implications under 2014, which specifies a one-time Costs of Compliance Executive Order 13132. This AD will inspection of the TDS flange-to-shaft not have a substantial direct effect on attachment hardware for proper We estimate that this AD affects 260 the States, on the relationship between installation and torque. If there is helicopters of U.S. Registry. We estimate the national Government and the States, movement, torque stripe misalignment, that operators may incur the following or on the distribution of power and or misassembled hardware, the ASB costs in order to comply with this AD. responsibilities among the various specifies removing and returning the We estimate $85 per work-hour for levels of government. hardware to Sikorsky with certain forms labor. We estimate 2.2 work-hours to For the reasons discussed, I certify and replacing hardware with airworthy inspect the hardware assembly and that this AD: TDS hardware before returning the torque at a cost of $187 per helicopter helicopter to service. The ASB also and $48,620 for the fleet. We estimate 1. Is not a ‘‘significant regulatory specifies either replacing the TDS or 2.2 work-hours if the hardware is action’’ under Executive Order 12866; inspecting the flange and shaft for a replaced and $1,200 for the required 2. Is not a ‘‘significant rule’’ under crack, fracture, wear of the mounting parts, for a total cost of $1,387 per DOT Regulatory Policies and Procedures hole, and diameter and replacing any helicopter. (44 FR 11034, , 1979); part that does not meet the approved 3. Will not affect intrastate aviation in FAA’s Justification and Determination Alaska to the extent that it justifies criteria. The ASB states there were of the Effective Date instances where the TDS flange-to-shaft making a regulatory distinction; and attachment hardware was found loose or Providing an opportunity for public 4. Will not have a significant fractured. This service information is comments before adopting these AD economic impact, positive or negative, reasonably available; see ADDRESSES for requirements would delay on a substantial number of small entities ways to access this service information. implementing the safety actions needed under the criteria of the Regulatory to correct this known unsafe condition. Flexibility Act. AD Requirements Therefore, we find that the risk to the We prepared an economic evaluation This AD requires, within 30 days: flying public justifies waiving notice of the estimated costs to comply with • Inspecting each TDS flange and comment before adopting this rule this AD and placed it in the AD docket. attachment hardware at all four because the required corrective actions locations for looseness and torque stripe must be done within 30 days, a very List of Subjects in 14 CFR Part 39 misalignment, inspecting each nut to short time period based on the average Air transportation, Aircraft, Aviation determine whether it can be rotated by flight-hour utilization rate of these safety, Incorporation by reference, hand, determining whether the helicopters used for commuter, air Safety. hardware is assembled correctly, and ambulance, and offshore operations. determining the torque of each nut. Since an unsafe condition exists that Adoption of the Amendment • If there is no looseness, torque requires the immediate adoption of this Accordingly, under the authority stripe misalignment, incorrect hardware AD, we determined that notice and delegated to me by the Administrator, assembly, and if no nut can be rotated opportunity for public comment before the FAA amends 14 CFR part 39 as by hand and the torque of any nut is not issuing this AD are impracticable and follows: less than 105 inch-pounds, no further that good cause exists for making this action is required by this AD. amendment effective in less than 30 PART 39—AIRWORTHINESS • If there is looseness, torque stripe days. DIRECTIVES misalignment, incorrect hardware Authority for This Rulemaking assembly, a nut rotated by hand, or the ■ 1. The authority citation for part 39 torque of any nut is less than 105 inch- Title 49 of the United States Code continues to read as follows: specifies the FAA’s authority to issue pounds: Authority: 49 U.S.C. 106(g), 40113, 44701. Æ Applying an index mark to the rules on aviation safety. Subtitle I, flange and shaft, unbolting and section 106, describes the authority of § 39.13 [Amended] removing the flange from the shaft, the FAA Administrator. ‘‘Subtitle VII: visually inspecting each radius washer Aviation Programs,’’ describes in more ■ 2. The FAA amends § 39.13 by adding for wear or fretting, and replacing any detail the scope of the Agency’s the following new airworthiness washer with wear or fretting. authority. directive (AD): Æ Inspecting the flange and shaft for We are issuing this rulemaking under 2015–04–05 Sikorsky Aircraft Corporation: a crack, fracture, wear on the mounting the authority described in ‘‘Subtitle VII, Amendment 39–18107; Docket No. hole, and diameter, and replacing the Part A, Subpart III, Section 44701: FAA–2015–0397; Directorate Identifier TDS with an airworthy TDS if the flange General requirements.’’ Under that 2014–SW–048–AD.

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(a) Applicability (iv) Torque each nut by following either DEPARTMENT OF JUSTICE This AD applies to Model S–76A, S–76B, paragraph D.(9) or D.(10) of the S–76C, and S–76D helicopters, serial Accomplishment Instructions of the ASB. 28 CFR Part 0 numbers (S/N) up to and including 761050, [AG Order No. 3495–2015] certificated in any category, with a tail drive (f) Alternative Methods of Compliance shaft (TDS) part number (P/N) and S/N as (AMOCs) Authorization To Seize Property follows: (1) The Manager, Boston Aircraft (a) P/N 76361–04004 (all dash numbers) Certification Office, FAA, may approve Involved in Drug Offenses for with an S/N up to and including A127– AMOCs for this AD. Send your proposal to: Administrative Forfeiture (2012R–9P) 01092; or Michael Schwetz, Aviation Safety Engineer, (b) P/N 76361–04604 (all dash numbers) AGENCY: Department of Justice. Engine & Propeller Directorate, FAA, 12 New with an S/N with a prefix A240 or B240, or ACTION: Final rule. with an S/N C240–00001 through C240– England Executive Park, Burlington, 00880. Massachusetts 01803; telephone (781) 238– SUMMARY: The Department of Justice is 7761; email [email protected]. amending its regulations to delegate to (b) Unsafe Condition (2) For operations conducted under a 14 the Director of the Bureau of Alcohol, This AD defines the unsafe condition as CFR part 119 operating certificate or under Tobacco, Firearms, and Explosives loose or fractured TDS flange-to-shaft 14 CFR part 91, subpart K, we suggest that (ATF) authority to seize and attachment hardware. This condition could you notify your principal inspector, or result in loss of a tail rotor drive and administratively forfeit property lacking a principal inspector, the manager of subsequent loss of control of the helicopter. involved in controlled substance the local flight standards district office or offenses. (c) Effective Date certificate holding district office before This AD becomes effective March 12, 2015. operating any aircraft complying with this DATES: This rule is effective February AD through an AMOC. 25, 2015. (d) Compliance FOR FURTHER INFORMATION CONTACT: You are responsible for performing each (g) Subject Denise Brown, Enforcement Programs action required by this AD within the Joint Aircraft Service Component (JASC) and Services, Bureau of Alcohol, specified compliance time unless it has Code: 6510 Tail Rotor Drive Shaft. already been accomplished prior to that time. Tobacco, Firearms, and Explosives, U.S. (h) Material Incorporated by Reference Department of Justice, 99 New York (e) Required Actions Avenue NE., Washington, DC 20226, Within 30 hours time-in-service: (1) The Director of the Federal Register telephone: (202) 648–7070. approved the incorporation by reference (1) Inspect each TDS flange attachment SUPPLEMENTARY INFORMATION: hardware at all four locations for looseness (IBR) of the service information listed in this and torque stripe misalignment as depicted paragraph under 5 U.S.C. 552(a) and 1 CFR Background in Figure 1 and shown in Figure 2 of part 51. Sikorsky Aircraft Corporation Alert Service (2) You must use this service information After the Bureau of Alcohol, Tobacco, Bulletin ASB 76–66–52, Basic Issue, dated as applicable to do the actions required by Firearms, and Explosives (ATF) became April 1, 2014 (ASB). Inspect each nut to this AD, unless the AD specifies otherwise. part of the Department of Justice (DOJ) determine whether it can be rotated by hand. (i) Sikorsky Aircraft Corporation Alert in January 2003, pursuant to the Determine whether the hardware is Homeland Security Act of 2002 (Pub. L. assembled correctly by following the Service Bulletin ASB 76–66–52, Basic issue, dated April 1, 2014. 107–296), the Attorney General Accomplishment Instructions, paragraph delegated to ATF the authority to B.(3)(a) through B.(3)(b) of the ASB. (ii) Reserved. Determine the torque of each nut. (3) For Sikorsky Aircraft Corporation investigate, seize, and forfeit property (2) If there is no looseness, torque stripe service information identified in this AD, involved in a violation or attempted misalignment, incorrect hardware assembly, contact Sikorsky Aircraft Corporation, violation within its investigative and if no nut can be rotated by hand and the Customer Service Engineering, 124 Quarry jurisdiction. See 28 CFR 0.130(b)(1). torque of any nut is not less than 105 inch- Road, Trumbull, CT 06611; telephone 1–800– ATF investigations focusing on violent pounds, no further action is required by this Winged–S or 203–416–4299; email crime frequently involve complex AD. [email protected]. criminal organizations with multiple (3) If there is looseness, torque stripe criminal enterprises and uncover drug- misalignment, incorrect hardware assembly, (4) You may view this service information a nut rotated by hand, or the torque of any at FAA, Office of the Regional Counsel, related offenses in addition to offenses nut is less than 105 inch-pounds, do the Southwest Region, 2601 Meacham Blvd., within ATF’s primary jurisdiction, such following: Room 663, Fort Worth, Texas 76137. For as violations of the Gun Control Act, 18 (i) Apply an index mark to the flange and information on the availability of this U.S.C. Chapter 44, the National shaft to make sure the flange is reinstalled in material at the FAA, call (817) 222–5110. Firearms Act, 26 U.S.C. Chapter 53, or the same position and to maintain shaft (5) You may view this service information the Contraband Cigarette Trafficking balance, unbolt and remove the flange from that is incorporated by reference at the Act, 18 U.S.C. Chapter 114. In such the shaft, and visually inspect each radius National Archives and Records investigations, ATF historically did not washer for wear or fretting. Replace any Administration (NARA). For information on washer with wear or fretting. have authority under 21 U.S.C. Chapter (ii) Inspect the flange and shaft for a crack, the availability of this material at NARA, call 13 to seize for administrative forfeiture fracture, wear on the mounting hole, and (202) 741–6030, or go to: http:// property involved in controlled diameter by following the Accomplishment www.archives.gov/federal-register/cfr/ibr- substance offenses. Instead, ATF Instructions, paragraph 3.D.(5)(a) through locations.html. generally referred such property to the 3.D.(5)(e), of the ASB. If the flange and shaft Issued in Fort Worth, Texas, on February Drug Enforcement Administration fail any of the inspection criteria, before 9, 2015. (DEA), which is primarily responsible further flight, replace the TDS with an for investigating violations of drug laws Bruce E. Cain, airworthy TDS. contained in title 21 of the United States (iii) Align index marks, install the flange Acting Directorate Manager, Rotorcraft Code. DEA would then initiate, process, on the shaft, and coat the grip length of each Directorate, Aircraft Certification Service. bolt and the contact surfaces on each radius and conclude all necessary [FR Doc. 2015–03703 Filed 2–24–15; 8:45 am] washer and washer with epoxy polyamide administrative forfeiture actions for the primer. BILLING CODE 4910–13–P controlled substance-related property.

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In other situations, ATF had to request that all interested parties are afforded section 553 of title 5 of the United States that the local U.S. Attorney’s office due process under the law, that all Code. See JEM Broad. Co. v. FCC, 22 pursue a judicial forfeiture of such drug- seized assets are accounted for and F.3d 320, 326 (D.C. Cir. 1994) (section related property. properly maintained, and that all 553(b)(A) applies to ‘‘agency actions The Department believes that forfeited property is disposed of that do not themselves alter the rights or forfeiting the assets of criminals is an according to law in a timely and cost- interests of parties, although [they] may essential tool in combating criminal efficient manner. alter the manner in which the parties activity that provides law enforcement This authority has given ATF the present themselves or their viewpoints with the ability to dismantle criminal ability to process drug-related property to the agency’’) (quoting Batterton v. organizations, deprive wrongdoers of seized in criminal investigations in Marshall, 648 F.2d 694, 707 (D.C. Cir. the proceeds of their crimes, and deter which firearms and explosives also are 1980) (internal quotation marks crime. The Department further believes seized. From February 25, 2013, to omitted)). The revisions to the that administrative forfeiture permits 30, 2014, ATF used its regulations in 28 CFR part 0 are purely the expedient and effective use of this authority under title 21 to seize more a matter of agency organization, valuable law enforcement tool. than 1,700 assets with a total value in procedure, and practice that will not An uncontested administrative excess of $19,300,000. affect individual rights and obligations. forfeiture can be perfected in 60–90 The delegation of authority has This rule does not expand the days for minimal cost, including the afforded cost savings to the United government’s ability as a matter of law personal notice to interested parties and States government by streamlining the to effectuate forfeitures; it simply the notice by publication required by forfeiture process to prevent authorizes the Director of ATF to statute. Conversely, the costs associated unnecessary burden on the judicial effectuate such forfeitures. Internal with judicial forfeiture can amount to system and the public and by permitting delegations of authority such as in this hundreds or thousands of dollars and the government to process forfeitures final rule are ‘‘rules of agency the judicial process generally can take within a single agency. The grant of title organization, procedure, or practice’’ anywhere from 6 months to years. In the 21 seizure and forfeiture authority will under the APA. In addition, this rule is meantime, the government incurs permit ATF to continue its use of asset exempt from the usual requirements of additional costs if the property requires forfeiture as a valuable tool in support prior notice and comment and a 30-day storage or maintenance until a final of its law enforcement mission and delay in effective date because, as an order of forfeiture can be obtained. enable the Department to further internal delegation of authority, it One of the primary missions of ATF increase the speed and efficiency of relates to a matter of agency is to combat firearm-related violent uncontested forfeiture actions. management or personnel. See 5 U.S.C. crime. The nexus between drug 553(a)(2). trafficking and firearm violence is well Final Rule Regulatory Flexibility Act established. Upon review of the current This rule amends the regulations in role and mission of ATF within DOJ, the 28 CFR part 0 to delegate to the Director The Attorney General, in accordance Attorney General decided to authorize a of ATF the authority to seize, forfeit, with the Regulatory Flexibility Act, 5 temporary delegation of title 21 seizure and remit or mitigate the forfeiture of U.S.C. 605(b), has reviewed this rule and forfeiture authority to determine property in accordance with 21 U.S.C. and, by approving it, certifies that it will whether such authority can enhance the 881. not have a significant economic impact effectiveness of ATF in the investigation Forfeiting the assets of criminals is an on a substantial number of small entities of violent crimes involving firearms. On essential tool in combating criminal because it pertains to personnel and 21, 2012, the Attorney General activity and provides law enforcement administrative matters affecting the signed a final rule delegating seizure with the capacity to dismantle criminal Department. Further, a Regulatory and forfeiture authority under 21 U.S.C. organizations, deprive wrongdoers of Flexibility Analysis is not required for 881 to the ATF for a trial period of one the proceeds of their illegal activities, this final rule because the Department year, effective February 25, 2013. 77 FR and deter crime. Therefore, the Attorney was not required to publish a general 51698 (Aug. 27, 2012). By subsequent General has decided to delegate to the notice of proposed rulemaking for this action, the Attorney General extended Director of ATF without a time limit matter. the same authority to ATF for an administrative seizure and forfeiture additional one-year period to give ATF Executive Order 12866 and Executive authority under title 21 to permit more time to refine its process, fully Order 13563 expedient and effective use of this hire and train all necessary staff, and This rule has been drafted and valuable law enforcement tool in the further demonstrate the effectiveness of reviewed in accordance with Executive investigation of violent crime involving the delegation in the investigation of Order 12866, ‘‘Regulatory Planning and firearms. violent crimes involving firearms. 79 FR Review,’’ section 1(b), Principles of 12060 (Mar. 4, 2014). How This Document Complies With the Regulation, and with Executive Order ATF has refined its title 21 asset Federal Administrative Requirements 13563, ‘‘Improving Regulation and forfeiture process, and strengthened the for Rulemaking Regulatory Review.’’ This rule is limited overall asset forfeiture program, by to agency organization, management, or Administrative Procedure Act (APA) changing organizational structure, personnel matters as described by adding experienced personnel and Notice and comment rulemaking is Executive Order 12866, section 3(d)(3) resources to review and more efficiently not required for this final rule. Under and, therefore, is not a ‘‘regulation’’ or process all of ATF’s administrative the APA, ‘‘rules of agency organization, ‘‘rule’’ as defined by that Executive forfeitures, and providing additional procedure or practice,’’ 5 U.S.C. Order. asset forfeiture training to all agency 553(b)(A), that do not ‘‘affect[] This rule will not have an annual personnel involved in the forfeiture individual rights and obligations,’’ effect on the economy of $100 million process, together with a renewed focus Morton v. Ruiz, 415 U.S. 199, 232 or more, nor will it adversely affect in on the proper execution of all phases of (1974), are exempt from the general a material way the economy, a sector of ATF’s asset forfeiture mission to ensure notice and comment requirements of the economy, productivity, competition,

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jobs, the environment, public health or Organization and functions be obtained in alternative formats (large safety, or State, local, or tribal (Government agencies), Privacy, print, braille, audio tape or disc), upon government or communities. Reporting and recordkeeping request, by calling (202) 693–0675 (this Accordingly, this rule is not a requirements, Whistleblowing. is not a toll-free number). TTY/TDD ‘‘significant regulatory action’’ as callers may dial toll-free 1–877–889– Authority and Issuance defined in Executive Order 12866. 5627 to obtain information or request Accordingly, by virtue of the materials in alternative formats. Executive Order 12988 authority vested in me as Attorney Questions of interpretation and/or This regulation meets the applicable General, including 5 U.S.C. 301 and 28 enforcement of the agency’s current standards set forth in sections 3(a) and U.S.C. 509, 510, and for the reasons set regulations may be directed to the 3(b)(2) of Executive Order 12988, ‘‘Civil forth in the preamble, part 0 of title 28 nearest WHD district office. Locate the Justice Reform.’’ of the Code of Federal Regulations is nearest office by calling WHD’s toll-free amended as follows: help line at (866) 4US–WAGE ((866) Executive Order 13132 487–9243) between 8 a.m. and 5 p.m. in This rule will not have substantial PART 0—ORGANIZATION OF THE your local time zone, or log onto WHD’s direct effects on the States, on the DEPARTMENT OF JUSTICE Web site for a nationwide listing of relationship between the national WHD district and area offices at ■ 1. The authority citation for 28 CFR government and the States, or on the http://www.dol.gov/whd/america2.htm. part 0 continues to read as follows: distribution of power and Please visit http://www.dol.gov/whd for responsibilities among the various Authority: 5 U.S.C. 301; 28 U.S.C. 509, more information and resources about levels of government. Therefore, in 510, 515–519. the laws administered and enforced by accordance with Executive Order 13132, § 0.130 [Amended] WHD. Information and compliance ‘‘Federalism,’’ the Department has assistance materials specific to this determined that this rule does not have ■ 2. In § 0.130, amend paragraph (b)(2) Final Rule can be found at: http:// sufficient federalism implications to by removing the second sentence. www.dol.gov/whd/fmla/spouse/. warrant the preparation of a federalism Dated: February 20, 2015. SUPPLEMENTARY INFORMATION: summary impact statement. Eric H. Holder, Jr., I. Background Unfunded Mandates Reform Act of 1995 Attorney General. A. What the FMLA Provides This rule will not result in the [FR Doc. 2015–03839 Filed 2–24–15; 8:45 am] expenditure by State, local, and tribal BILLING CODE 4410–19–P The Family and Medical Leave Act of governments, in the aggregate, or by the 1993, 29 U.S.C. 2601 et seq., entitles private sector, of $100 million or more eligible employees of covered employers in any one year, and it will not DEPARTMENT OF LABOR to take job-protected, unpaid leave, or to significantly or uniquely affect small substitute appropriate accrued paid governments. Therefore, no actions are Wage and Hour Division leave, for up to a total of 12 workweeks necessary under the provisions of the in a 12-month period for the birth of the Unfunded Mandates Reform Act of 29 CFR Part 825 employee’s son or daughter and to care 1995, 2 U.S.C. 1501 et seq. RIN 1235–AA09 for the newborn child; for the placement of a son or daughter with the employee Small Business Regulatory Enforcement Definition of Spouse Under the Family for adoption or foster care; to care for Fairness Act of 1996 and Medical Leave Act the employee’s spouse, parent, son, or This rule is not a major rule as daughter with a serious health AGENCY: Wage and Hour Division, defined by section 251 of the Small condition; when the employee is unable Department of Labor. Business Regulatory Enforcement to work due to the employee’s own Fairness Act of 1996 (SBREFA), 5 U.S.C. ACTION: Final rule. serious health condition; or for any qualifying exigency arising out of the 804. This rule will not result in an SUMMARY: The Department of Labor’s annual effect on the economy of $100 fact that the employee’s spouse, son, (Department) Wage and Hour Division daughter, or parent is a military member million or more; a major increase in (WHD) revises the regulation defining costs or prices; or significant adverse on covered active duty. 29 U.S.C. 2612. ‘‘spouse’’ under the Family and Medical An eligible employee may also take up effects on competition, employment, Leave Act of 1993 (FMLA or the Act) in investment, productivity, innovation, or to 26 workweeks of FMLA leave during light of the United States Supreme a ‘‘single 12-month period’’ to care for the ability of United States-based Court’s decision in United States v. enterprises to compete with foreign- a covered servicemember with a serious Windsor, which found section 3 of the injury or illness, when the employee is based enterprises in domestic and Defense of Marriage Act (DOMA) to be export markets. the spouse, son, daughter, parent, or unconstitutional. next of kin of the servicemember. Id. Congressional Review Act DATES: This Final Rule is effective FMLA leave may be taken in a block, This action pertains to agency , 2015. or under certain circumstances, management, personnel, and FOR FURTHER INFORMATION CONTACT: intermittently or on a reduced leave organization and does not substantially Mary Ziegler, Director of the Division of schedule. Id. In addition to providing affect the rights or obligations of non- Regulations, Legislation, and job-protected family and medical leave, agency parties. Accordingly, it is not a Interpretation, U.S. Department of employers must also maintain any rule for purposes of the reporting Labor, Wage and Hour Division, 200 preexisting group health plan coverage requirement of 5 U.S.C. 801. Constitution Avenue NW., Room S– for an employee on FMLA-protected 3502, Frances Perkins Building, leave under the same conditions that List of Subjects in 28 CFR Part 0 Washington, DC 20210; telephone: (202) would apply if the employee had not Authority delegations (Government 693–0406 (this is not a toll-free taken leave. 29 U.S.C. 2614. Once the agencies), Government employees, number). Copies of this Final Rule may leave period is concluded, the employer

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is required to restore the employee to from a wide variety of stakeholders. spouse in the following situations: (1) the same or an equivalent position with Based on this second round of public When needed to care for a spouse due equivalent employment benefits, pay, comments, the Department published to the spouse’s serious health condition; and other terms and conditions of final regulations to implement the (2) when needed to care for a spouse employment. Id. If an employee believes FMLA on , 1995. 60 FR 2180. who is a covered servicemember with a that his or her FMLA rights have been The regulations were amended February serious illness or injury; and (3) for a violated, the employee may file a 3, 1995 (60 FR 6658) and , qualifying exigency related to the complaint with the Department of Labor 1995 (60 FR 16382) to make minor covered military service of a spouse. or file a private lawsuit in federal or technical corrections. The final The FMLA defines ‘‘spouse’’ as ‘‘a state court. If the employer has violated regulations went into effect on , husband or wife, as the case may be.’’ the employee’s FMLA rights, the 1995. 29 U.S.C. 2611(13). In the 1993 Interim employee is entitled to reimbursement The Department published a Request Final Rule, the Department defined for any monetary loss incurred, for Information (RFI) in the Federal spouse as ‘‘a husband or wife as defined equitable relief as appropriate, interest, Register on 1, 2006 or recognized under state law for attorneys’ fees, expert witness fees, and requesting public comments on purposes of marriage, including court costs. Liquidated damages also experiences with the FMLA (71 FR common law marriage in states where it may be awarded. 29 U.S.C. 2617. 69504) and issued a report on the RFI is recognized.’’ 58 FR 31817, 31835 Title I of the FMLA is administered by responses on 28, 2007 (72 FR (, 1993). In commenting on the the U.S. Department of Labor and 35550). The Department published an Interim Final Rule, both the Society for applies to private sector employers of 50 NPRM in the Federal Register on Human Resource Management and or more employees, private and public , 2008 proposing changes to William M. Mercer, Inc., questioned elementary and secondary schools, the FMLA’s regulations based on the which state law would apply when an public agencies, and certain federal Department’s experience administering employee resided in one State but employers and entities, such as the U.S. the law, two Department of Labor worked in another State. 60 FR 2190. In Postal Service and Postal Regulatory studies and reports on the FMLA issued response to these comments, the 1995 Commission. Title II is administered by in 1996 and 2001, several U.S. Supreme Final Rule clarified that the law of the the U.S. Office of Personnel Court and lower court rulings on the State of the employee’s residence would Management and applies to civil service FMLA, and a review of the comments control for determining eligibility for employees covered by the annual and received in response to the 2006 RFI. 73 FMLA spousal leave. Id. at 2191. sick leave system established under 5 FR 7876. The Department also sought Accordingly, since 1995 the FMLA U.S.C. Chapter 63 and certain comments on the military family leave regulations have defined spouse as a employees covered by other federal statutory provisions enacted by the husband or wife as defined or leave systems. National Defense Authorization Act for recognized under state law and the Fiscal Year 2008. In response to the B. Who the Law Protects regulation has looked to the law of the NPRM, the Department received State where the employee resides. The FMLA generally covers thousands of comments from a wide §§ 825.102, 825.122(a) (prior to the 2013 employers with 50 or more employees. variety of stakeholders. The Department Final Rule the same definition appeared To be eligible to take FMLA leave, an issued a Final Rule on 17, at §§ 825.113(a) and 825.800). The employee must meet specified criteria, 2008, which became effective on definition has also included common including employment with a covered , 2009. 73 FR 67934. law marriage in States where it is employer for at least 12 months, The Department published an NPRM recognized. Id. performance of a specified number of in the Federal Register on , hours of service in the 12 months prior 2012 primarily focused on changes to The Defense of Marriage Act (DOMA) to the start of leave, and work at a the FMLA’s regulations to implement was enacted in 1996. Public Law 104– location where there are at least 50 amendments to the military leave 199, 110 Stat. 2419. Section 3 of DOMA employees within 75 miles. provisions made by the National restricted the definitions of ‘‘marriage’’ Defense Authorization Act for Fiscal and ‘‘spouse’’ for purposes of federal C. Regulatory History Year 2010 and to the employee law, regulations, and administrative The FMLA required the Department eligibility requirements for airline flight interpretations: ‘‘the word ‘marriage’ to issue initial regulations to implement crew employees made by the Airline means only a legal union between one Title I and Title IV of the FMLA within Flight Crew Technical Corrections Act. man and one woman as husband and 120 days of enactment (by , 1993) 77 FR 8960. The Department issued a wife, and the word ‘spouse’ refers only with an effective date of , 1993. Final Rule on , 2013, which to a person of the opposite sex who is The Department published a Notice of became effective on , 2013. 78 a husband or a wife.’’ 1 U.S.C. 7. For Proposed Rulemaking (NPRM) in the FR 8834. purposes of employee leave under the Federal Register on , 1993. 58 The Department commenced the FMLA, the effect of DOMA was to limit FR 13394. The Department received current rulemaking by publishing an the availability of FMLA leave based on comments from a wide variety of NPRM in the Federal Register on June a spousal relationship to opposite-sex stakeholders, and after considering 27, 2014 (79 FR 36445), inviting public marriages. While the Department did these comments the Department issued comment for 45 days. The comment not revise the FMLA regulatory an Interim Final Rule on June 4, 1993, period closed on , 2014. The definition of ‘‘spouse’’ to incorporate effective August 5, 1993. 58 FR 31794. Department received 77 comment DOMA’s restrictions, in 1998 WHD After publication, the Department submissions on the NPRM, representing issued an opinion letter that addressed, invited further public comment on the over 18,000 individuals. Specific in part, the limitation section 3 of interim regulations. 58 FR 45433. comments are discussed in detail below. DOMA imposed on the availability of During this comment period, the FMLA spousal leave. II. FMLA Spousal Leave Department received a significant Under the FMLA (29 U.S.C. 2611(13)), the number of substantive and editorial The FMLA provides eligible term ‘‘spouse’’ is defined as a husband or comments on the interim regulations employees with leave to care for a wife, which the regulations (29 CFR

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825.113(a)) clarified to mean a husband or NPRM the Department proposed to (June 4, 1998) (‘‘parent’’ as referenced in wife as defined or recognized under State law change the definition of spouse to look the Act does not include a parent-in- for purposes of marriage in the State where to the law of the jurisdiction in which law). the employee resides, including common law The Department has carefully marriage in States where it is recognized. The the marriage was entered into (including legislative history confirms that this for common law marriages), as opposed considered all of the relevant and timely definition was adapted to ensure that to the law of the State in which the comments. The major comments employers were not required to grant FMLA employee resides, and to expressly received on the proposed regulatory leave to an employee to care for an reference the inclusion of same-sex changes are summarized below, together unmarried domestic partner. (See marriages in addition to common law with a discussion of the Department’s Congressional Record, S 1347, , marriages. The Department proposed to responses. The Final Rule adopts the 1993). Moreover, the subsequently enacted change the definition of spouse to changes to the regulations as proposed Defense of Marriage Act of 1996 (DOMA) in the NPRM. (Pub. L. 104–199) establishes a Federal ensure that all legally married couples, definition of ‘‘marriage’’ as only a legal union whether opposite-sex or same-sex, will IV. Analysis of the Proposed Changes to between one man and one woman as have consistent federal family leave the FMLA Regulations husband and wife, and a ‘‘spouse’’ as only a rights regardless of where they live. The person of the opposite sex who is a husband Department received 77 comment In the NPRM the Department or wife. Because FMLA is a Federal law, it submissions on the NPRM, representing proposed to change the regulatory is our interpretation that only the Federal over 18,000 individuals, which are definition of spouse in §§ 825.102 and definition of marriage and spouse as available for review at the Federal 825.122(b) to mean the other person established under DOMA may be recognized with whom an individual entered into for FMLA leave purposes. eRulemaking Portal, www.regulations.gov, Docket ID WHD– marriage. The Department proposed to Opinion Letter FMLA–98 (Nov. 18, 2014–0002. The vast majority of those look to the law of the jurisdiction in which the marriage was entered into 1998). WHD also referenced DOMA’s individuals submitted identical letters, (including for common law marriages), limitations on spousal FMLA leave in a which expressed strong support for the as opposed to the law of the State in number of sub-regulatory guidance proposed rule, that were part of a which the employee resides, and to documents posted on its Web site. comment campaign by the Human On , 2013, the Supreme Court expressly reference the inclusion of Rights Campaign (HRC). In addition, held in United States v. Windsor, 133 S. same-sex marriages in addition to hundreds of commenters submitted Ct. 2675 (2013), that section 3 of DOMA common law marriages. The Department nearly identical but individualized was unconstitutional under the Fifth also proposed to include in the letters, which also strongly supported Amendment. It concluded that this definition same-sex marriages entered the proposed rule, as part of the HRC section ‘‘undermines both the public into abroad by including marriages comment campaign. Beyond these and private significance of state- entered into outside of any State as long campaign comments, the majority of the sanctioned same-sex marriages’’ and as the marriage was legally valid in the comments were supportive of the found that ‘‘no legitimate purpose place where it was entered into and proposed rule. Comments were received overcomes’’ section 3’s ‘‘purpose and could have been entered into legally in from advocacy organizations, labor effect to disparage and to injure those at least one State. organizations, employer associations, a whom the State, by its marriage laws, The proposed definition included the state agency, United States Senators, sought to protect[.]’’ Id. at 2694–96. statutory language defining spouse as a Because of the Supreme Court’s and private individuals. The husband or wife but made clear that holding in Windsor that section 3 of Department received one comment after these terms included all individuals in DOMA is unconstitutional, the the close of the comment period; the lawfully recognized marriages. As noted Department is no longer prohibited from comment was not considered by the in the NPRM, the Department is aware recognizing same-sex marriages as a Department. A number of the comments that the language surrounding marriage basis for FMLA spousal leave. received addressed issues that are is evolving and that not all married Accordingly, as of June 26, 2013, under statutory and therefore beyond the individuals choose to use the traditional the current FMLA regulatory definition scope or authority of the proposed terms of husband or wife when referring of spouse, an eligible employee in a regulations, such as expanding the to their spouse. 79 FR 36448. The legal same-sex marriage who resides in coverage of the Act to include domestic Department intended the proposed a State that recognizes the employee’s partners and parents in law. Because definition to cover all spouses in legally marriage may take FMLA spousal leave. addressing these issues would require valid marriages as defined in the On , 2013, the Department statutory changes, these comments are regulation regardless of whether they updated its FMLA sub-regulatory not addressed in this Final Rule. use the terms husband or wife. The guidance to remove any references to Moreover, the Department has Department adopts the definition of the restrictions imposed by section 3 of previously issued guidance on some of spouse as proposed. DOMA and to expressly note that the these issues. See, e.g., Opinion Letter The Department is moving from a regulatory definition of spouse covers FMLA–98 (Nov. 18, 1998) (the FMLA state of residence rule to a rule based on same-sex spouses residing in States that does not cover absences to care for a the jurisdiction where the marriage was domestic partner with a serious health entered into (place of celebration) to recognize such marriages. Similarly, as 1 a result of the Windsor decision, the condition) ; Opinion Letter FMLA–96 ensure that all legally married couples, interpretation expressed in Opinion whether opposite-sex or same-sex, will 1 As noted above, the portion of Opinion Letter have consistent federal family leave Letter FMLA–98 of the definition of FMLA–98 that relied on DOMA’s definition of spouse as a person of the opposite sex spouse and marriage is now invalid in light of rights regardless of where they live. 79 as defined in DOMA is no longer valid. Windsor. The remaining portion of Opinion Letter FR 36448. The Department noted in the FMLA–98, however, continues to be valid. proposed rule that while many States III. Summary of Comments Specifically, the opinion letter noted that the and foreign countries currently legally FMLA’s legislative history indicated that the The Department commenced this definition of spouse was meant to ensure that recognize same-sex marriage, not all do. rulemaking by publishing an NPRM on employers would not be required to provide leave As of , 2015, thirty-two , 2014. 79 FR 36445. In the to care for an employee’s domestic partner. States and the District of Columbia

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extend the right to marry to both same- lives far from her daughter in knowing provides consistent federal family leave sex and opposite-sex couples (Alaska, that, should her daughter need care, her rights for legally married couples Arizona, California, Colorado, daughter’s same-sex spouse would be regardless of the State in which they Connecticut, Delaware, District of able to care for the daughter without reside, thus reducing barriers to the Columbia, Hawaii, Idaho, Illinois, having to worry that she would lose her mobility of employees in same-sex Indiana, Iowa, Maine, Maryland, job. Commenters such as the Family marriages in the labor market and Massachusetts, Minnesota, Nevada, New Equality Council (Family Equality), the ensuring employees in same-sex Hampshire, New Jersey, New Mexico, National Partnership for Women & marriages will be able to exercise their New York, North Carolina, Oklahoma, Families (National Partnership), the FMLA leave rights. Moreover, such a Oregon, Pennsylvania, Rhode Island, National Minority AIDS Council rule also reduces the administrative Utah, Vermont, Virginia, Washington, (NMAC), and twenty-three United States burden on employers that operate in West Virginia, Wisconsin, and Senators who submitted a joint more than one State, or that have Wyoming).2 Additionally, as of comment, also noted that nationally employees who move between States February 13, 2015, eighteen countries consistent and uniform access to leave with different marriage recognition extend the right to marry to both same- as provided by the proposed rule will rules; such employers will not have to sex and opposite-sex couples further the original purpose of the consider the employee’s state of (Argentina, Belgium, Brazil, Canada, FMLA. residence and the laws of that State in Denmark, England/Wales/Scotland, Many commenters, including the determining the employee’s eligibility Finland, France, Iceland, , National Center for Transgender for FMLA leave. The Netherlands, New Zealand, Equality, Family Values @Work, the Several commenters were Norway, Portugal, Spain, South Africa, National Employment Lawyers appreciative that the proposed place of Sweden, and Uruguay). The Department Association, the National Partnership, celebration rule would be consistent notes that this list of States and the Feminist Majority Foundation, the with the interpretations adopted by countries currently recognizing same- National Council of Jewish Women, and other federal government agencies, such sex marriage does not limit the revised Equal Rights Advocates approved of the as the Department of Defense and the definition of spouse in any way. Legal proposed place of celebration rule Internal Revenue Service, as this would recognition of same-sex marriage has because it would provide certainty to create greater uniformity for employees expanded rapidly and the Department same-sex couples regarding their FMLA and employers. See, e.g., the Legal Aid anticipates that the number of States leave rights, which would encourage Employment Law Center, the American worker mobility. The National and countries recognizing same-sex Federation of State, County, and Partnership commented that marriage will continue to grow. Municipal Employees, AFL-CIO, the The vast majority of commenters, ‘‘[g]eographic mobility is a significant Fenway Institute at Fenway Health. The including the HRC letter-writing part of economic mobility for American Society for Human Resource campaign commenters, applauded the workers . . . . By ensuring that [lesbian, Management, the U.S. Chamber of Department’s proposed use of a place of gay, bisexual, and transgender (LGBT)] Commerce, and the College and celebration rule. As the Maine Women’s couples receive the same federal family University Professional Association for Lobby, A Better Balance, the 9to5 leave protections if they move to a state Human Resources, which submitted a National Association of Working that does not recognize their marriage, joint comment (collectively SHRM), Women, the American Federation of the rule makes it easier for workers to Teachers, the North Carolina Justice accept promotions or new jobs . . . .’’ appreciated the use by multiple federal Center, the Women’s Law Project, the This commenter also observed that the agencies of a place of celebration rule Religious Action Center for Reform rule would provide important because ‘‘consistent definitions are of Judaism, and many other commenters protections for LGBT military families tremendous importance and value for noted, under a state of residence rule, who relocate due to military those seeking to comply with the employees in legally valid same-sex assignment. FMLA.’’ The Department agrees with marriages who live in a State that does Commenters also noted that a place of these comments. In addition, as stated not recognize their marriage are often celebration rule will benefit employers in the NPRM, the Department believes forced to risk their jobs and financial as well as employees. The National that, in relation to Department of wellbeing when they need time off to Partnership observed that, by securing Defense policy, it is appropriate care for their ill or injured spouse or to federal family leave rights to legally whenever possible to align the address qualifying exigencies relating to married same-sex spouses regardless of availability of FMLA military leave with their spouse’s military service. These the State in which they reside, the availability of other marriage-based commenters stated that a place of employers will be able to fill job benefits provided by the Department of celebration rule will provide security to positions with the most qualified Defense. 79 FR 36448. all legally married same-sex spouses in workers. The National Business Group SHRM, the U.S. Conference of knowing that they will be able to on Health expressed support for this Catholic Bishops (USCCB), and the exercise their FMLA rights when the rule because it will reduce the National Automobile Dealers need arises. An individual similarly administrative burden on employers Association (NADA) expressed concern commented that, as the mother of a that operate in more than one State or regarding the potential burden on daughter in a same-sex marriage, she have employees who move between employers to know the marriage laws of supported the rule because it would States. The National Consumers League jurisdictions beyond those in which provide comfort to her as a parent who and the National Women’s Law Center, they operate. NADA and SHRM among other commenters, echoed this requested that the Department provide 2 On January 16, 2015, the Supreme Court granted observation that a place of celebration guidance on how to determine if a same- review of the Sixth Circuit’s decision upholding rule will simplify FMLA administration sex marriage is legally valid, perhaps state law bans on same-sex marriage in Kentucky, for employers that operate in multiple with a chart on the Department’s Web Michigan, Ohio, and Tennessee. See DeBoer v. site with current information on the Snyder, No. 14–571, 2015 WL 213650 (S. Ct. Jan. States. 16, 2015). The case is currently pending before the The Department concurs with these status of same-sex marriage in the States Supreme Court. comments. A place of celebration rule and foreign jurisdictions.

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The Department does not believe that was validly entered into in another require from employees to confirm a further guidance on state and foreign State. Therefore, under the current family relationship. SHRM marriage laws is necessary at this time. regulation, looking to the law of the recommended that the Department Employers do not need to know the State in which the employee resides to clarify the type of proof an employer marriage laws of all 50 States and all determine the existence of a common may require to confirm that an foreign countries. Rather, employers law marriage will often require looking, employee has a valid marriage, and will only need to know the same-sex in turn, to the common law marriage permit employers to ask for marriage laws of a specific State or standards of another State. For example, documentation of proof of marriage on country in situations where an under the current regulation, an FMLA- a case-by-case basis. FMI commented employee has requested leave to care for eligible employee of a covered employer that it will be burdensome for a spouse, child, or parent and the basis who validly entered into an opposite employers to determine whether a for the family relationship is a same-sex sex common law marriage in Alabama, common law marriage is valid, and marriage. In such a situation, for a State that permits the formation of requested guidance on how to confirm purposes of confirming the qualifying common law marriages, and later the existence of a common law basis of the leave, the employer would relocated to North Dakota, a State that marriage. Due to these concerns, this need to know the marriage laws of only does not permit the formation of commenter recommended that the the individual State or country where common law marriages, would be definition of spouse be revised to apply the marriage at issue was entered into. considered to have a legal marriage and only to those who have a valid, The Department believes that making would be entitled to FMLA spousal government-issued document this determination will not be leave. recognizing the marriage, such as a burdensome. There are a number of The only change from the current marriage certificate, court order, or letter organizations focused on providing up- definition of spouse to the definition in from a federal agency such as the Social to-date information on the status of the Final Rule in regards to common Security Administration. The National same-sex marriages in the 50 States law marriage is that in States that permit Women’s Law Center urged the within the United States and foreign same-sex common law marriages, Department to modify the regulation at jurisdictions. Some examples of employees who have entered into a § 825.122(k) to require that employers organizations that provide this same-sex common law marriage in those request documentation of a family information include http:// States will now be eligible to take FMLA relationship in a consistent and non- www.freedomtomarry.org/states/ and spousal leave regardless of the State in discriminatory manner so that http://gaymarriage.procon.org/. Because which they reside. In response to employees in same-sex marriages are such information is readily available, Family Equality’s comment above, the not singled out with special burdens the Department does not believe that it Department believes that the language when they attempt to exercise their is necessary at this time to provide such used in the proposed definition and FMLA rights. information on its own Web site. adopted in the Final Rule already The Department declines to modify A few commenters addressed encompasses spouses in same-sex the regulation at § 825.122(k). That common law marriages as referenced in common law marriages. regulation permits employers to require the proposed definition of spouse. Moreover, under both the current and employees who take leave to care for a Family Equality questioned whether the revised definitions of spouse, an family member to provide reasonable wording of the proposed definition employer would only need to know the documentation of the family could be interpreted to exclude an common law marriage standards for a relationship. Reasonable documentation individual in a same-sex common law particular State for confirmation may take the form of either a simple marriage. This commenter requested purposes in the event that an eligible statement from the employee or that the definition be modified to make employee requests FMLA leave to care documentation such as a birth clear that same-sex common law for a spouse, child, or parent and the certificate or court document. spouses are included in the definition. basis for the family relationship is a In response to the comments, the SHRM and the Food Marketing Institute common law marriage. The Department Department believes that the current (FMI) expressed concern that knowing does not believe that this will be regulation adequately addresses the the common law marriage standards of burdensome and notes that there are nature of the documentation that numerous States will be particularly organizations that provide information employers may require. An employee burdensome for employers. to the public on the status of common may satisfy an employer’s requirement The Department has retained the law marriages in the 50 States within to confirm a family relationship by proposed language regarding common the United States. Some examples of providing either a simple statement law marriage in the Final Rule. The organizations that provide this asserting that the requisite family Department believes that the language information include http:// relationship exists, or documentation regarding common law marriage in the www.nolo.com/legal-encyclopedia/ such as a child’s birth certificate, a court definition of ‘‘spouse’’ in the Final Rule common-law-marriage-faq-29086-2.html document, etc. It is the employee’s will not result in a significant change in and http://usmarriagelaws.com/search/ choice whether to provide a simple employers’ administration of the FMLA. united_states/common_law_marriage/. statement or another type of Common law marriages have been Finally, the Department notes that in its documentation. Thus, in all cases, a included in the definition of spouse experience, the inclusion of common simple statement of family relationship under the FMLA since 1995. law marriages within the definition of is sufficient under the regulation to § 825.113(a) (1995).3 While the majority spouse has not caused problems in the satisfy the employer’s request. In of States do not permit the formation of last 20 years and the Department does response to FMI’s comment, the common law marriages within their not anticipate that the Final Rule’s Department does not believe that it is borders, these States generally will recognition of common law marriages necessary or that it would be recognize a common law marriage that based on the place of celebration will appropriate to require government- result in any significant problems. issued documentation to confirm 3 This definition was not changed in the 2008 and A few commenters addressed the common law marriages when an 2013 rulemakings. See 73 FR 67934; 78 FR 8834. documentation that employers may employee can document all other

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marriages with a simple statement. In requires States in their capacity as loco parentis relationship, using the response to SHRM’s and the National employers to provide unpaid FMLA standards set out in Administrator’s Women’s Law Center’s comments, the leave to employees in same-sex Interpretation FMLA 2010–3, is an Department notes that the change to a marriages if the employees reside in a important basis for an employee to take place of celebration rule in the different State that recognizes same-sex leave to care for a child. The definition of spouse does not alter the marriages. Moreover, the Department Department notes that it has instances in which an employer can believes that defining the term spouse to consistently recognized the eligibility of require an employee to confirm a family include all legally married couples best employees to take leave to care for a relationship, nor does it alter how an serves the FMLA’s goal of promoting child of the employee’s same-sex employee can do so. Employers have the ‘‘the stability and economic security of partner (whether the employee and the option to request documentation of a families,’’ and the ‘‘national interests in partner are married or not) provided family relationship but are not required preserving family integrity,’’ 29 U.S.C. that the employee meets the in loco to do so in all instances. Employers may 2601, because the need to care for a parentis requirement of providing day- not, however, use a request for spouse does not differ based on the to-day care or financial support for the confirmation of a family relationship in gender of the spouses. child. Id.; see Administrator’s a manner that interferes with an The Department noted in the NPRM Interpretation FMLA 2010–3 (, employee’s exercise or attempt to that the proposed change to a place of 2010). For example, where an employee exercise the employee’s FMLA rights. celebration rule for the definition of and the employee’s same-sex spouse See 29 U.S.C. 2615(a). The Department spouse under the FMLA would also provide day-to-day care for the same-sex also notes that if an employee has have some impact beyond spousal leave. spouse’s biological child, if the marriage already submitted proof of marriage to 79 FR 36448. Specifically, the dissolves but the employee continues to the employer for some other purpose, Department noted that under the have an in loco parentis relationship such as obtaining health care benefits Department’s proposed rule, an with the child, the employee would be for the employee’s spouse, such proof is employee in a legal same-sex marriage able to take leave to care for the child sufficient to confirm the family would be able to take leave to care for notwithstanding the dissolution of the relationship for purposes of FMLA a stepchild (i.e., the employee’s same- marriage. leave. Lastly, the Department notes that sex spouse’s child) to whom the The Department did not intend for the where an employee chooses to satisfy a employee does not stand in loco proposed rule to have any impact on the request for documentation of family parentis. Id. Similarly, an employee standards for in loco parentis set out in relationship with a simple statement, whose parent is in a legal same-sex the Administrator’s Interpretation and the employer may require that such marriage would be able to take leave to this Final Rule has no impact on the statement be written. care for the parent’s same-sex spouse standards for determining the existence Two commenters raised concerns (i.e., the employee’s stepparent) who of an in loco parentis relationship set about a tension between the proposed did not stand in loco parentis to the out in Administrator’s Interpretation definition and state laws prohibiting the employee when the employee was a FMLA 2010–3. Rather, the place of recognition of same-sex marriages. child. Id. celebration rule means that employees USCCB commented that it believed the Several commenters addressed the in same-sex marriages, regardless of the proposed definition of spouse is ‘‘at interplay between the proposed rule and State in which they reside, do not need odds’’ with the Supreme Court’s the Administrator’s Interpretation to establish the requirements for in loco decision in Windsor because the FMLA 2010–3 (June 22, 2010) that parentis for their spouse’s child (the definition does not defer to the laws of addresses in loco parentis. See, e.g., employee’s stepchild) in order to take the States that define marriage as the HRC, the HRC comment campaign, the leave to care for the child. Only one union of one man and one woman. The National Gay and Lesbian Task Force type of relationship need apply for an South Dakota Department of Labor and (Task Force), the National Center for employee to satisfy the requisite family Regulation commented that same-sex Lesbian Rights, the Statewide Parent relationship under the FMLA. See marriages are not recognized or valid Advocacy Network and Family Voices. 825.102, which defines ‘‘son or under the South Dakota Constitution. These commenters stated that basing an daughter’’ to include a stepchild; see The Department believes that using a employee’s ability to take leave to care also 825.122(d), 825.122(h), and place of celebration rule in the for a child on the employee’s same-sex 825.122(i). Thus, the place of definition of spouse under the FMLA is marriage could put the employee at risk celebration rule expands the basis for an consistent with the Court’s decision in of losing the ability to take leave to care employee to take leave to care for a Windsor. The FMLA is a federal law that for the child should the marriage child. entitles eligible employees to take dissolve. These commenters stated that A few commenters also expressed unpaid, job-protected leave for recognizing an employee as standing in concern about the regulatory definition qualifying reasons, and the Final Rule’s loco parentis, as the Administrator’s of ‘‘parent’’ in § 825.122(c), which definition of spouse simply defines a Interpretation FMLA 2010–3 does, provides that a parent means a familial relationship that may be the ensures that the employee who stands biological, adoptive, step or foster father basis of an employee’s qualifying reason in loco parentis to a child will retain the or mother, or any other individual who to take leave. The Final Rule does not ability to take leave to care for the child stood in loco parentis to the employee require States to recognize or give effect despite dissolution of the marriage. when the employee was a son or to same-sex marriages or to provide any Therefore, the commenters requested daughter as defined in paragraph (d) of state benefit based on a same-sex that the Department clarify that this rule this section.4 These commenters marriage. The Final Rule impacts States will not affect the in loco parentis suggested that, as currently worded, the only in their capacity as employers and Administrator’s Interpretation both in definition could be read to imply either merely requires them to provide unpaid how parents are determined to stand in that a particular adult may be FMLA leave to eligible employees based loco parentis and in recognizing that on a federal definition of spouse. The more than two adults may stand in loco 4 While the commenters cited only to Department notes that, after Windsor, parentis to a child. The Department § 825.122(c), this same definition of parent is the current definition of spouse already recognizes that the existence of an in contained in § 825.102.

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recognized as a biological, adoptive, Lastly, notwithstanding the Final information by or for the agency. The step, or foster parent, or as a person who Rule’s definition of spouse as including PRA typically requires an agency to stood in loco parentis, but not both, or all legally married couples according to provide notice and seek public that a biological, adoptive, step, or foster the law of the place of celebration, an comments on any proposed collection of parent must meet the criteria of in loco employer may, of course, offer an information contained in a proposed parentis. See, e.g., NMAC, HRC, Family employment benefit program or plan rule. See 44 U.S.C. 3506(c)(2)(B); 5 CFR Equality, Task Force. These commenters that provides greater family or medical 1320.8. requested that the Department modify leave rights to employees than the rights The Department’s Final Rule revises the definition of parent to avoid such established by the FMLA. See the regulation defining ‘‘spouse’’ under misinterpretation. § 825.700(a). FMLA regulations state: the FMLA, in light of the United States The Department declines to modify ‘‘[N]othing in the Act is intended to Supreme Court’s holding that section 3 the definition of parent as suggested. discourage employers from adopting or of the Defense of Marriage Act is The Department believes that the retaining more generous leave policies.’’ unconstitutional. Amending the definition of parent as currently worded § 825.700(b). definition of spouse to include all is not causing confusion. Nonetheless, legally married spouses as recognized the Department understands that further V. Conforming Changes under state law for purposes of marriage clarification may be useful. As an initial Minor editorial changes were in the State where the marriage was matter, the Department notes that the proposed to §§ 825.120, 825.121, entered into or, in the case of a marriage definition of parent in § 825.122(c) is 825.122, 825.127, 825.201 and 825.202 entered into outside of any State, if the relevant only to instances of an to make references to husbands and marriage is valid in the place where employee needing FMLA leave to care wives, and mothers and fathers gender entered into and could have been for a parent or to attend to a qualifying neutral where appropriate so that they entered into in at least one State, exigency arising out of the parent’s apply equally to opposite-sex and same- expands the availability of FMLA leave military service. It is not relevant to sex spouses. The Department proposed to legally married same-sex spouses instances of an employee needing to using the terms ‘‘spouses’’ and regardless of the State in which they take leave to care for the employee’s ‘‘parents,’’ as appropriate, in these reside. Under the revised definition of child. The regulatory definition of regulations. As stated in the NPRM, spouse, eligible employees are able to parent lists various types of parents, these editorial changes do not change take FMLA leave based on a same-sex separated by commas. §§ 825.102, the availability of FMLA leave but marital relationship regardless of the 825.122(c). The term ‘‘any other simply clarify its availability for all state in which they reside. individual who stood in loco parentis to eligible employees who are legally In light of the June 26, 2013 Windsor the employee when the employee was a married. 79 FR 36449. The Department decision and under the current son or daughter as defined in paragraph received no comments on these changes regulation, employees in same-sex (d) of this section’’ is set off by a comma and adopts them as proposed. marriages have the right to take FMLA leave based on their same-sex marriage from the list of other types of parents VI. Paperwork Reduction Act (i.e., ‘‘biological, adoptive, step or foster only if they reside in a State that father or mother’’). By setting the phrase The Paperwork Reduction Act of 1995 recognizes same-sex marriage. In off by a comma, the Department believes (PRA), 44 U.S.C. 3501 et seq., and its contrast, under the Final Rule’s place of it is clear that in loco parentis applies attendant regulations, 5 CFR part 1320, celebration rule, all eligible employees only to ‘‘any other individual’’; it does require that the Department consider an in same-sex marriages will be able to not apply to a ‘‘biological, adoptive, step agency’s need for its information take FMLA leave based on their marital or foster father or mother.’’ When an collections, their practical utility, the relationship, regardless of their state of employee seeks leave to care for a impact of paperwork and other residence. These information collection biological, adoptive, step, or foster information collection burdens imposed amendments update the burden parent, there is no need to inquire on the public, and how to minimize estimates to include same-sex couples whether the parent stood in loco those burdens. Under the PRA, an nationwide—both employees whom parentis to the employee; that parent agency may not collect or sponsor the Windsor rendered eligible to take FMLA automatically satisfies the definition of collection of information, nor may it leave under the current regulation and ‘‘parent’’ for FMLA purposes and an impose an information collection employees who will be able to take such analysis of whether the in loco parentis requirement unless it displays a leave due to the changes in this Final requirements are met is not necessary. currently valid Office of Management Rule. Two commenters addressed the and Budget (OMB) control number. See Covered, eligible employees in same- publication and effective date of the 5 CFR 1320.8(b)(3)(vi). sex marriages are already eligible to take Final Rule. FMI requested that the OMB has assigned control number FMLA leave for certain FMLA Department delay publication of the 1235–0003 to the FMLA information qualifying reasons (e.g., the employee’s Final Rule until the Department collections. As required by the PRA (44 own serious health condition, the provides guidance on how employers U.S.C. 3507(d)), the Department has employee’s parent’s or child’s serious can confirm the existence of an submitted these proposed information health condition, etc.). This Final Rule employee’s common law marriage. The collection amendments to OMB for its does not increase the number of National Business Group on Health review. The Department will publish a employees eligible to take FMLA leave; requested that the Department delay the notice in the Federal Register to rather, it allows employees in same-sex effective date of the Final Rule for at announce the result of the OMB review. marriages to take FMLA leave on the least 12 months to allow employers time Summary: The Department seeks to basis of their marriage regardless of their to modify their policies and procedures. minimize the paperwork burden for state of residence, in addition to the The Department does not believe that individuals, small businesses, other reasons for which they were any delay is warranted given the limited educational and nonprofit institutions, already able to take leave. That is, scope of this Final Rule. Therefore, the federal contractors, state, local, and FMLA coverage and eligibility Final Rule will become effective 30 days tribal governments, and other persons provisions are unchanged by this Final after publication. resulting from the collection of Rule, and employees who were not

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previously eligible and employed by a Technology: The regulations prescribe minimized the burden by developing covered establishment do not become no particular order or form of records. prototype notices for many of the third- eligible as a result of this rule. See § 825.500(b). Employers may party disclosures covered by this Accordingly, the Department maintain records in any format, information collection. developed an estimate that focuses on including electronic, when adhering to Minimizing Small Entity Burden: The FMLA leave that employees can the recordkeeping requirements covered Department minimizes the FMLA currently and will be able to take to care by this information collection. The information collection burden by for a family member based on a same- preservation of records in such forms as accepting records maintained by sex marital relationship. The final microfilm or automated word or data employers as a matter of usual or regulations, which do not substantively processing memory is acceptable, customary business practices. The alter the FMLA but instead allow FMLA provided the employer maintains the Department also accepts records kept leave to be taken on the basis of an information and provides adequate due to requirements of other employee’s same-sex marriage facilities to the Department for governmental requirements (e.g., regardless of their state of residence, inspection, copying, and transcription records maintained for tax and payroll will create additional burdens on some of such records. Photocopies of records purposes). The Department has of the information collections. are also acceptable under the reviewed the needs of both employers Circumstances Necessitating regulations. Id. and employees to determine the Collection: The FMLA, 29 U.S.C. 2601, Aside from the general requirement frequency of the third-party et seq., requires private sector that third-party notifications be in notifications covered by this collection employers who employ 50 or more writing, with a possible exception for to establish frequencies that provide employees, all public and private the employee’s FMLA request that timely information with the least elementary schools, and all public depends on the employer’s leave burden. The Department has further agencies to provide up to 12 weeks of policies, there are no restrictions on the minimized burden by developing unpaid, job-protected leave during any method of transmission. Respondents prototype notices for many of the third- 12-month period to eligible employees may meet many of their notification party disclosures covered by this for certain family and medical reasons obligations by using Department- information collection and giving the (i.e., for birth of a son or daughter and prepared publications available on the text employers must use, in accordance to care for the newborn child; for WHD Web site, www.dol.gov/whd. with FMLA section 109 (29 U.S.C. placement with the employee of a son These forms are in PDF, fillable format 2619), in providing a general notice to or daughter for adoption or foster care; for downloading and printing. employees of their FMLA rights and to care for the employee’s spouse, son, Duplication: The FMLA information responsibilities, in addition to the daughter, or parent with a serious health collections do not duplicate other prototype optional-use forms. condition; because of a serious health existing information collections. In Agency Need: The Department is condition that makes the employee order to provide all relevant FMLA assigned a statutory responsibility to unable to perform the functions of the information in one set of requirements, ensure employer compliance with the employee’s job; to address qualifying the recordkeeping requirements restate a FMLA. The Department uses records exigencies arising out of the deployment portion of the records employers must covered by this information collection of the employee’s spouse, son, daughter, maintain under the Fair Labor to determine compliance, as required of or parent to covered active duty in the Standards Act (FLSA). Employers do the agency by FMLA section 107(b)(1). military), and up to 26 workweeks of not need to duplicate the records when 29 U.S.C. 2617(b)(1). Without the third- unpaid, job-protected leave during a basic records maintained to meet FLSA party notifications, the Department single 12-month period to an eligible requirements also document FMLA would have difficulty determining the employee who is the spouse, son, compliance. With the exception of extent to which employers and daughter, parent, or next of kin of a records specifically tracking FMLA employees had met their FMLA covered servicemember with a serious leave, the additional records required by obligations. injury or illness for the employee to the FMLA regulations are records that Special Circumstances: Because of the provide care for the servicemember. employers ordinarily maintain in the unforeseeable and often urgent nature of FMLA section 404 requires the usual and ordinary course of business. the need for FMLA leave, notice and Secretary of Labor to prescribe such The regulations do impose, however, a response times must be of short regulations as necessary to enforce this three-year minimum time limit that duration to ensure that employers and Act. 29 U.S.C. 2654. employers must maintain such records. employees are sufficiently informed and The Department’s authority for the The Department minimizes the FMLA can exercise their FMLA rights and collection of information and the information collection burden by satisfy their FMLA obligations. required disclosure of information accepting records maintained by Privacy: Employers must maintain under the FMLA stems from the statute employers as a matter of usual or employee medical information they and/or the implementing regulations. customary business practices to the obtain for FMLA purposes as Purpose and Use: No WHD forms or extent those records meet the FMLA confidential medical records separately other information collections are requirements. The Department also from other personnel files. Employers changed by this Final Rule, except in accepts records kept due to other must also maintain such records in when they may apply. While the use of governmental requirements (e.g., conformance with any applicable the Department’s FMLA forms is records maintained for tax and payroll Americans with Disabilities Act and optional, the regulations require purposes). The Department has Genetic Information Nondiscrimination employers and employees to make the reviewed the needs of both employers Act confidentiality requirements, except third-party disclosures that the forms and employees to determine the that: Supervisors and managers may be cover. The FMLA third-party frequency of the third-party informed regarding necessary disclosures ensure that both employers notifications covered by this collection restrictions on the work or duties of an and employees are aware of and can to establish frequencies that provide employee and necessary exercise their rights and meet their timely information with the least accommodations; first aid and safety respective obligations under the FMLA. burden. The Department has further personnel may be informed (when

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appropriate) if the employee’s physical their state of residence recognizes their married and took FMLA leave 8 and of or medical condition might require marriage. As a result of this Final Rule, those who took leave, 17.6 percent took emergency treatment; and government covered and eligible employees will be leave to care for a parent, spouse, or officials investigating compliance with entitled to take FMLA leave regardless child, and 1.4 percent took leave to FMLA (or other pertinent law) shall be of their state of residence to care for address issues related to a military provided relevant information upon their same-sex spouse with a serious family member’s covered active duty.9 request. health condition; to care for a stepchild Applying these findings to the number Agency: Wage and Hour Division. with a serious health condition to whom of individuals in same-sex marriages Title of Collection: The Family and the employee does not stand in loco based on the 2013 ACS results in an Medical Leave Act, as Amended. parentis; to care for their parent’s same- estimated 8,202 new instances of FMLA OMB Control Number: 1235–0003. sex spouse with a serious health leave annually as a result of the Affected Public: Individuals or condition who did not stand in loco proposed change to the regulatory Households; Private Sector—Businesses parentis to the employee when the definition of spouse.10 11 This likely or other for profits and not for profit employee was a child; for qualifying institutions, farms, state, local, and exigency reasons related to the covered 8 Family and Medical Leave in 2012: Technical tribal governments. Report, exhibit 4.1.5, page 64. active duty of their same-sex spouse; 9 Total estimated number of and to care for their same-sex spouse Family and Medical Leave in 2012: Technical respondents: 7,182,916 (no change). Report, exhibits 4.4.2, page 70, and 4.4.7, page 74. who is a covered servicemember with a 10 (251,695 marriages × 45.2 percent × 2) + Total estimated number of responses: serious injury or illness. This Final Rule (251,695 × 54.8 percent) = 227,532 + 137,929 = 82,371,724 (38,106 responses added by will not expand coverage under the 365,461 employed same-sex spouses. × this Final Rule). FMLA; that is, the coverage and 365,461 employees 59.2 percent = 216,353 Total estimated annual burden hours: covered, eligible employees. eligibility provisions of the FMLA are 216,353 × 16.8 percent = 36,347 covered, eligible 9,313,503 (4,918 hours added by this unchanged by this rule and employees Final Rule). employees taking leave. who were not previously eligible and In past rulemakings the Department has estimated Burden Cost: $236,283,571 ($124,770 employed by a covered establishment that covered, eligible employees taking leave take from this final rule). will not become eligible as a result of 1.5 instances of leave per year for traditional FMLA Other Respondent Cost Burden purposes, 13 instances of leave per year for this Final Rule. (capital/start-up): 0.$ qualifying exigency purposes, 44 instances of leave Estimates of the number of per year for military caregiver leave to care for an Other Respondent Cost Burden active-duty servicemember, and 51 instances of (operations/maintenance): $184,932,912 individuals in same-sex marriages vary leave per year for military caregiver leave to care ($108,326 (rounded) from this final widely due to issues with state level for a covered veteran. The Department uses those rule). data tracking, reliance on self-reporting, same estimates for this analysis. The Department and changes in survey formatting. The estimates a weighted average for an employee who The PRA requires agencies to consider takes military caregiver leave at 45.4 instances of public comments on information Department bases its estimate of same- leave per year ((29,100 respondents × 44 responses) collections and to explain in final rules sex marriages on the 2013 American + (6,966 respondents × 51 responses) → 1,280,400 → how public engagement resulted in Community Survey (ACS), conducted + 355,266 = 1,635,666 1,635,666/(29,100 + 6,966) by the U.S. Census Bureau. The 2013 = 45.4). changes from proposed rules. The To determine total new instances of leave, the Department discussed public comments ACS showed 251,695 self-reported Department first totaled the number of respondents regarding comments on documentation same-sex marriages, which represents per type of leave, then determined the percentage requirements related to establishing a 503,390 individuals. The Department that respondents for each type of leave represent of estimates, based on the 2013 ACS, that all total respondents, and lastly, applied these family relationship earlier in this percentages and the averages of instances of leave rulemaking. in 45.2 percent of same-sex marriages per type of leave to the Department’s estimate of both partners are employed and, for the 36,347 same-sex, married employees who are VII. Executive Orders 12866 purposes of this analysis, the FMLA-covered, FMLA-eligible and actually take (Regulatory Planning and Review) and Department assumes that one spouse is FMLA leave per year. These calculations are as follows: 13563 (Improving Regulation and employed in the remaining 54.8 percent Regulatory Review) Traditional FMLA leave respondents: 7,000,000 + of same-sex marriages.5 5,950 = 7,005,950 Executive Orders 12866 and 13563 The Department recently surveyed Qualifying Exigency leave respondents: 110,000 + direct agencies to assess all costs and employers and employees nationwide 30,900 = 140,900 benefits of available regulatory Military Caregiver (all) leave respondents: 29,100 on FMLA leave taking, Family and + 6,966 = 36,066 alternatives and, if regulation is Medical Leave in 2012.6 Based on these Total respondents: 7,182,916. necessary, to select regulatory survey findings, 59.2 percent of Percentage that each type of leave represents of approaches that maximize net benefits employees meet the eligibility all total respondents: (including potential economic, requirements for FMLA leave and are Traditional FMLA leave respondents: 7,005,950/ 7,182,916 = 0.9754 or 97.54 percent. environmental, public health and safety 7 employed by covered establishments. Qualifying Exigency leave respondents: 140,900/ effects, distributive impacts, and Of those employees, 16.8 percent were 7,182,916 = 0.0196 or 1.96 percent. equity). Executive Order 13563 Military Caregiver (all) leave respondents: 36,066/ emphasizes the importance of 5 U.S. Census Bureau, 2013. American 7,182, 916 = 0.0050 or 0.50 percent. × × quantifying both costs and benefits, of Community Survey 1-year data file. Table 1: 36,347 employees 0.9754 1.5 = 53,180 reducing costs, of harmonizing rules, Household Characteristics of Opposite-Sex and instances of traditional leave × × and of promoting flexibility. Although Same-Sex Couple Households; and, Table 2: 36,347 employees 0.0196 13 = 9,256 instances Household Characteristics of Same-Sex Couple of qualifying exigency leave this rule is not economically significant Households by Assignment Status. Available at: 36,347 employees × 0.0050 × 45.4 = 8,263 within the meaning of Executive Order http://www.census.gov/hhes/samesex/. instances of military caregiver leave 12866, it has been reviewed by OMB. 6 See Wage and Hour Division FMLA Surveys Total instances of leave or responses taken by The Department revised the Web page at: http://www.dol.gov/whd/fmla/ individuals in same-sex marriages: 70,699. regulatory definition of ‘‘spouse’’ for the survey/. 70,699 × 17.6 percent = 12,443 instances of leave 7 purpose of the FMLA to allow all legally Family and Medical Leave in 2012: Technical to care for a parent, spouse, or child. Report, exhibit 2.2.1, page 20, available at: http:// 70,699 × 1.4 percent = 990 instances of leave for married employees to take leave to care www.dol.gov/asp/evaluation/fmla/FMLA-2012- qualifying exigency reasons. for their spouse regardless of whether Technical-Report.pdf. Continued

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overestimates the number of instances The Department certifies that this 31810. Subsequent rulemakings have of new leave that would be taken, as Final Rule does not have a significant not produced evidence to the contrary; covered and eligible employees in same- economic impact on a substantial therefore, for the purpose of this sex marriages were already entitled in number of small entities within the discussion, the Department will most instances to take FMLA leave to meaning of the RFA. Therefore, a final continue to assume that these costs are care for a parent or child with a serious regulatory flexibility analysis is not fairly small. Furthermore, most health condition. required. The factual basis for this employers subject to this Final Rule Because FMLA leave is unpaid leave, certification is set forth below. have been subject to the FMLA for some the costs to employers resulting from This Final Rule amending the FMLA time and have already developed this Final Rule are: regulatory regulations’ definition of spouse will internal systems for work redistribution familiarization, maintenance of not substantively alter current FMLA and recruitment of temporary workers. preexisting employee health benefits regulatory requirements, but instead Additionally, one cost to employers during FMLA leave, and administrative will allow more employees to take leave consists of the health insurance benefits costs associated with providing required based on a same-sex marital maintained by employers during notices to employees, requesting relationship. The Department estimates employees’ FMLA leave. Based on the certifications, reviewing employee that this definitional revision will result Department’s recent survey on FMLA requests and medical certifications, and in 6,222 new instances of FMLA leave leave, Family and Medical Leave in making necessary changes to employer taken to care for an employee’s same-sex 2012, the average length of leave taken policies. The costs related to requesting spouse, stepchild, or stepparent; 990 in one year by a covered, eligible and reviewing employee requests for new instances for qualifying exigency employee is 27.5 days.12 Assuming that leave and certifications and of providing purposes; and 990 new instances for most employees worked an eight-hour required notices to employees are military caregiver purposes. These day, the average length of FMLA leave discussed in the Paperwork Reduction numbers reflect the Department’s for an employee totals 220 hours in a Act section of this Final Rule. The estimate that a total of 8,202 new given year. Department expects the remaining costs instances of FMLA leave might be taken Further, based on methodology used to be minimal to employers. The as a result of this Final Rule, as detailed in the 2008 Final Rule, which first Department has determined that this in the Executive Orders 12866 and implemented the FMLA’s military leave rule will not result in an annual effect 13563 section of this Final Rule provisions, the Department estimates on the economy of $100 million or preamble. This likely overestimates the that a covered, eligible employee will more. No comments were received on number of new instances of leave-taking take 200 hours of FMLA leave for the Department’s regulatory impact as covered and eligible employees in qualifying exigency leave under analysis. same-sex marriages are already entitled § 825.126 in a given year. Additionally, in most cases to take FMLA leave to care using the same methodology, the VIII. Final Regulatory Flexibility for a parent or child with a serious Department estimates that a covered, Analysis health condition. eligible employee will take 640 hours of The Regulatory Flexibility Act of 1980 Because the FMLA does not require FMLA leave for military caregiver leave (RFA) as amended by the Small the provision of paid leave, the costs of in a given year under § 825.127. 73 FR Business Regulatory Enforcement this rule are limited to the cost of hiring 68051. Fairness Act of 1996 (SBREFA), replacement workers, maintenance of To calculate the costs of providing hereafter jointly referred to as the RFA, employer-provided health insurance to health insurance, the Department requires agencies to evaluate the the employee while on FMLA leave, utilizes data from the BLS Employer potential effects of their proposed and compliance with the FMLA’s notice Costs for Employee Compensation final rules on small businesses, small requirements, and regulatory survey. According to BLS’ March, 2014 organizations and small governmental familiarization. report, employers spend an average of jurisdictions. See 5 U.S.C. 603–604. If The need to hire replacement workers $2.45 per hour on insurance.13 Cost the rule is not expected to have a represents a possible cost to employers. estimates are derived by multiplying the significant economic impact on a In some businesses employers are able average leave duration with both the substantial number of small entities, the to redistribute work among other number of new instances of FMLA leave RFA allows an agency to certify such, in employees while an employee is absent taken in each category and the $2.45 lieu of preparing an analysis. See 5 on FMLA leave, but in other cases the hourly cost to employers for health U.S.C. 605. employer may need to hire temporary insurance, as follows: replacement workers. This process D Estimated annual employer benefits 70,699 × 1.4 percent = 990 instances of leave for involves costs resulting from cost for FMLA leave taken for military caregiver reasons. recruitment of temporary workers with employee’s same-sex spouse, stepchild, The Department assumes that half (6,222) of the 12,443 instances of leave for the employee’s parent, needed skills, training the temporary or stepparent: $3,353,658 (6,222 new child, or spouse would be taken for the employee’s workers, and lost or reduced instances × 220 hours 14 × $2.45) same-sex spouse, stepchild, or stepparent, in productivity of these workers. The cost D Estimated annual employer benefit recognition of the fact that an employee with a to compensate the temporary workers is cost for FMLA leave taken for qualifying same-sex partner is already able to take leave to care for the employee’s parent or child. in most cases offset by the amount of 6,222 + 990 + 990 = 8,202 new instances of FMLA wages not paid to the employee absent 12 2012 FMLA survey data showed that leave. on FMLA leave, when the employee’s employees’ average length of leave in past twelve 11 PRA analysis estimates burdens imposed by the FMLA leave is unpaid (i.e., the months was 27.5 days. Family and Medical Leave ‘‘paperwork’’ requirements, while E.O. 12866 in 2012: Technical Report, page 68, available at: analysis estimates the effect the proposed employee is not using accrued sick or http://www.dol.gov/asp/evaluation/fmla/FMLA- regulations will have on the economy. Because E.O. vacation leave). 2012-Technical-Report.pdf. 12866 and the PRA impose differing requirements, In the first FMLA rulemaking, the 13 http://bls.gov/ro7/ro7ecec.htm. and because the corresponding analyses are Department drew upon available 14 Note that 220 hours (27.5 days) is likely an intended to meet different needs, the estimated research to suggest that the cost per overestimate, since some of these hours would be number of instances of leave in the PRA analysis for FMLA leave that the employee was already differs from the estimated number in the E.O. 12866 employer to adjust for workers who are eligible to take (e.g., leave for employee’s parent, analysis. on FMLA leave is fairly small. 58 FR spouse, or child).

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exigency leave: $485,100 (990 new FMLA regulations by definition will not for state, local, and tribal governments, instances × 200 hours × $2.45) impact small businesses with fewer than in the aggregate, or the private sector in D Estimated annual employer benefit 50 employees. The Department any one year. cost for FMLA leave taken for military acknowledges that some small X. Executive Order 13132, Federalism caregiver leave: $1,552,320 (990 new employers that are within the SBA instances × 640 hours × $2.45). definition of small business (50–500 This Final Rule does not have Assuming that all covered, eligible employees) will still have to comply federalism implications as outlined in employees taking FMLA leave receive with the regulation and incur costs. E.O. 13132 regarding federalism. employer-provided health insurance In its 2012 proposed rule, the Although States are covered employers benefits, the estimated total cost to Department estimated there were under the FMLA, this Final Rule does employers for providing benefits is 381,000 covered firms and government not have substantial direct effects on the $5,391,078 ($3,353,658 + $485,100 + agencies with 1.2 million States, on the relationship between the $1,552,320). establishments subject to the FMLA. 77 national government and the States, or Further, employers will incur costs FR 8989. Applying the SBA size on the distribution of power and related to the increase in the number of definitions for small entities, the responsibilities among the various required notices and responses to Department estimated that levels of government. certain information collections due to approximately 83 percent, or 314,751 this Final Rule. As explained in the employers, are small entities subject to XI. Executive Order 13175, Indian Paperwork Reduction Act section of this the FMLA. 77 FR 9004. Dividing the Tribal Governments Final Rule preamble, the Department total cost of this Final Rule by the This Final Rule was reviewed under has estimated the paperwork burden Department’s estimate for the number of the terms of E.O. 13175 and determined cost associated with this regulatory affected small entities results in an not to have ‘‘tribal implications.’’ This change to be $233,096 per year. annual cost per small entity of $40.77 Final Rule also does not have Lastly, in response to this Final Rule, ($12,831,808/314,751 small entities). ‘‘substantial direct effects on one or each employer will need to review the This is not deemed a significant cost. In more Indian tribes, on the relationship definitional change, determine what addition, if the Department assumed between the federal government and revisions are necessary to their policies, that all covered employers were small Indian tribes, or on the distribution of and update their handbooks or other entities, the annual cost per small entity power and responsibilities between the leave-related materials to incorporate would only be $33.82 ($12,886,034/ federal government and Indian tribes.’’ any needed changes. This is a one-time 381,000 small entities). This also is not As a result, no tribal summary impact cost to each employer, calculated as 30 deemed a significant cost. statement has been prepared. minutes at the hourly wage of a Human The Department received no Resources Specialist. The median comments on its determination that the XII. Effects on Families hourly wage of a Human Resources proposed rule would not have a The undersigned hereby certifies that Specialist is $27.23 plus 40 percent in significant economic impact on a this Final Rule will not adversely affect fringe benefits, which results in a total substantial number of small entities the well-being of families, as discussed hourly rate of $38.12 (($27.23 × 0.40) + within the meaning of the RFA. The under section 654 of the Treasury and $27.23). See BLS Occupational Department certifies to the Chief General Government Appropriations Employment Statistics, Occupational Counsel for Advocacy that this Final Act, 1999. Employment and Wages, May 2013 Rule will not have a significant XIII. Executive Order 13045, Protection (http://www.bls.gov/oes/current/ economic impact on a substantial of Children oes131071.htm). The Department number of small entities. estimates total annual respondent costs E.O. 13045 applies to any rule that (1) for the value of their time dedicated to IX. Unfunded Mandates Reform Act is determined to be ‘‘economically regulatory familiarization costs to be Title II of the Unfunded Mandates significant’’ as defined in E.O. 12866, $7,261,860 ($38.12 × 0.5 hour × 381,000 Reform Act of 1995 (UMRA), Public and (2) concerns an environmental covered firms and government agencies Law 104–4, establishes requirements for health or safety risk that the with 1.2 million establishments subject federal agencies to assess the effects of promulgating agency has reason to to the FMLA). their regulatory actions on state, local, believe may have a disproportionate Therefore, the Department estimates and tribal governments as well as on the effect on children. This Final Rule is not the total cost of this Final Rule to be private sector. Under section 202(a) of subject to E.O. 13045 because it is not $12,886,034 ($5,391,078 in employer UMRA, the Department must generally economically significant as defined in provided health benefits + $233,096 in prepare a written statement, including a Executive Order 12866 and, although paperwork burden cost + $7,261,860 in cost-benefit analysis, for proposed and the rule addresses family and medical regulatory familiarization costs). final regulations that ‘‘includes any leave provisions of the FMLA, it does The Department believes this to be an Federal mandate that may result in the not concern environmental health or overestimate. The FMLA applies to expenditure by State, local, and tribal safety risks that may disproportionately public agencies and to private sector governments, in the aggregate, or by the affect children. employers that employ 50 or more private sector’’ in excess of $100 million employees for each working day during in any one year ($141 million in 2012 XIV. Environmental Impact Assessment 20 or more calendar weeks in the dollars, using the Gross Domestic A review of this Final Rule in current or preceding calendar year. 29 Product deflator). accordance with the requirements of the U.S.C. 2611(4). In addition, the FMLA State, local, and tribal government National Environmental Policy Act of excludes employees from eligibility for entities are within the scope of the 1969 (NEPA), 42 U.S.C. 4321 et seq.; the FMLA leave if the total number of regulated community for this regulation. regulations of the Council on employees employed by that employer The Department has determined that Environmental Quality, 40 CFR 1500 et within 75 miles of that employee’s this Final Rule contains a federal seq.; and the Departmental NEPA worksite is less than 50. 29 U.S.C. mandate that is unlikely to result in procedures, 29 CFR part 11, indicates 2611(2)(B)(ii). Therefore, changes to the expenditures of $141 million or more that this Final Rule will not have a

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significant impact on the quality of the in the case of a marriage entered into disability either before or after the birth human environment. Thus, no outside of any State, if the marriage is of a child; such periods would also be corresponding environmental valid in the place where entered into considered FMLA leave for a serious assessment or environmental impact and could have been entered into in at health condition of the birth mother, statement have been prepared. least one State. This definition includes and would not be subject to the an individual in a same-sex or common combined limit. XV. Executive Order 13211, Energy law marriage that either: (4) The expectant mother is entitled to Supply (1) Was entered into in a State that FMLA leave for incapacity due to This Final Rule is not subject to E.O. recognizes such marriages; or pregnancy, for prenatal care, or for her 13211. It will not have a significant (2) If entered into outside of any State, own serious health condition following adverse effect on the supply, is valid in the place where entered into the birth of the child. * * * The distribution, or use of energy. and could have been entered into in at expectant mother is entitled to leave for XVI. Executive Order 12630, least one State. incapacity due to pregnancy even Constitutionally Protected Property * * * * * though she does not receive treatment from a health care provider during the Rights ■ 3. Amend § 825.120 by: absence, and even if the absence does ■ a. Revising paragraph (a)(1); This Final Rule is not subject to E.O. not last for more than three consecutive ■ b. Revising the first and fifth 12630, because it does not involve calendar days. * * * sentences of paragraph (a)(2); implementation of a policy ‘‘that has (5) A spouse is entitled to FMLA leave ■ c. Revising the first, second, fifth, and takings implications’’ or that could if needed to care for a pregnant spouse last sentences of paragraph (a)(3); impose limitations on private property who is incapacitated or if needed to care ■ d. Revising the first and fourth use. for her during her prenatal care, or if sentences of paragraph (a)(4); needed to care for her following the XVII. Executive Order 12988, Civil ■ e. Revising the first sentence of birth of a child if she has a serious Justice Reform Analysis paragraph (a)(5); ■ health condition. * * * This rule was drafted and reviewed in f. Revising paragraph (a)(6); and (6) Both parents are entitled to FMLA ■ accordance with E.O. 12988 and will g. Revising the sixth sentence of leave if needed to care for a child with not unduly burden the federal court paragraph (b). a serious health condition if the system. This Final Rule was: (1) The revisions to read as follows: requirements of §§ 825.113 through Reviewed to eliminate drafting errors § 825.120 Leave for pregnancy or birth. 825.115 and 825.122(d) are met. Thus, and ambiguities; (2) written to minimize spouses may each take 12 weeks of litigation; and (3) written to provide a (a) * * * (1) Both parents are entitled to FMLA FMLA leave if needed to care for their clear legal standard for affected conduct newborn child with a serious health and to promote burden reduction. leave for the birth of their child. (2) Both parents are entitled to FMLA condition, even if both are employed by List of Subjects in 29 CFR Part 825 leave to be with the healthy newborn the same employer, provided they have child (i.e., bonding time) during the 12- not exhausted their entitlements during Employee benefit plans, Health, the applicable 12-month FMLA leave Health insurance, Labor management month period beginning on the date of birth. * * * Under this section, both period. relations, Maternal and child health, (b) * * * The employer’s agreement parents are entitled to FMLA leave even Teachers. is not required for intermittent leave if the newborn does not have a serious required by the serious health condition Signed at Washington, DC, this 18th day of health condition. February, 2015. of the expectant mother or newborn (3) Spouses who are eligible for FMLA child. * * * David Weil, leave and are employed by the same ■ Administrator, Wage and Hour Division. covered employer may be limited to a 4. Amend § 825.121 by: ■ For the reasons set forth in the combined total of 12 weeks of leave a. Revising the first, second, and fifth preamble, the Department amends Title during any 12-month period if the leave sentences of paragraph (a)(3); and ■ b. Revising the second sentence of 29, Part 825 of the Code of Federal is taken for birth of the employee’s son paragraph (a)(4). Regulations as follows: or daughter or to care for the child after The revisions to read as follows: birth, for placement of a son or daughter PART 825—THE FAMILY AND with the employee for adoption or foster § 825.121 Leave for adoption or foster MEDICAL LEAVE ACT OF 1993 care or to care for the child after care. ■ placement, or to care for the employee’s (a) * * * 1. The authority citation for part 825 parent with a serious health condition. (3) Spouses who are eligible for FMLA continues to read as follows: This limitation on the total weeks of leave and are employed by the same Authority: 29 U.S.C. 2654. leave applies to leave taken for the covered employer may be limited to a ■ 2. In § 825.102 revise the definition of reasons specified as long as the spouses combined total of 12 weeks of leave ‘‘spouse’’ to read as follows: are employed by the same employer. during any 12-month period if the leave * * * Where spouses both use a portion is taken for the placement of the § 825.102 Definitions. of the total 12-week FMLA leave employee’s son or daughter or to care * * * * * entitlement for either the birth of a for the child after placement, for the Spouse, as defined in the statute, child, for placement for adoption or birth of the employee’s son or daughter means a husband or wife. For purposes foster care, or to care for a parent, the or to care for the child after birth, or to of this definition, husband or wife refers spouses would each be entitled to the care for the employee’s parent with a to the other person with whom an difference between the amount he or she serious health condition. This limitation individual entered into marriage as has taken individually and 12 weeks for on the total weeks of leave applies to defined or recognized under state law FMLA leave for other purposes. * * * leave taken for the reasons specified as for purposes of marriage in the State in Note, too, that many state pregnancy long as the spouses are employed by the which the marriage was entered into or, disability laws specify a period of same employer. * * * Where spouses

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both use a portion of the total 12-week care for the child after birth, for DEPARTMENT OF VETERANS FMLA leave entitlement for either the placement of a son or daughter with the AFFAIRS birth of a child, for placement for employee for adoption or foster care, or adoption or foster care, or to care for a to care for the child after placement, to 38 CFR Part 3 parent, the spouses would each be care for the employee’s parent with a RIN 2900–AP26 entitled to the difference between the serious health condition, or to care for amount he or she has taken individually a covered servicemember with a serious Automobile or Other Conveyance and and 12 weeks for FMLA leave for other injury or illness. This limitation on the Adaptive Equipment Certificate of purposes. * * * total weeks of leave applies to leave Eligibility for Veterans or Members of (4) * * * Thus, spouses may each taken for the reasons specified as long the Armed Forces With Amyotrophic take 12 weeks of FMLA leave if needed as the spouses are employed by the Lateral Sclerosis to care for an adopted or foster child same employer. * * * with a serious health condition, even if AGENCY: Department of Veterans Affairs. both are employed by the same ■ 7. Amend § 825.201 by revising the ACTION: Interim final rule. employer, provided they have not first, second, and fifth sentences of exhausted their entitlements during the paragraph (b) to read as follows: SUMMARY: The Department of Veterans applicable 12-month FMLA leave Affairs (VA) is amending its period. § 825.201 Leave to care for a parent. adjudication regulation regarding * * * * * * * * * * certificates of eligibility for financial assistance in the purchase of an ■ 5. Revise § 825.122(b) to read as (b) Same employer limitation. automobile or other conveyance and follows: Spouses who are eligible for FMLA adaptive equipment. The amendment leave and are employed by the same § 825.122 Definitions of covered authorizes automatic issuance of a servicemember, spouse, parent, son or covered employer may be limited to a certificate of eligibility for financial daughter, next of kin of a covered combined total of 12 weeks of leave assistance in the purchase of an servicemember, adoption, foster care, son during any 12-month period if the leave automobile or other conveyance and or daughter on covered active duty or call is taken to care for the employee’s adaptive equipment to all veterans with to covered active duty status, son or parent with a serious health condition, service-connected amyotrophic lateral daughter of a covered servicemember, and for the birth of the employee’s son or parent of a covered servicemember. sclerosis (ALS) and members of the daughter or to care for the child after the Armed Forces serving on active duty * * * * * birth, or for placement of a son or with ALS. (b) Spouse, as defined in the statute, daughter with the employee for DATES: Effective Date: This interim final means a husband or wife. For purposes adoption or foster care or to care for the of this definition, husband or wife refers rule is effective February 25, 2015. child after placement. This limitation on to the other person with whom an Comment Date: Comments must be the total weeks of leave applies to leave individual entered into marriage as received by VA on or before , defined or recognized under state law taken for the reasons specified as long 2015. for purposes of marriage in the State in as the spouses are employed by the Applicability Date: The provisions of which the marriage was entered into or, same employer. * * * Where the this regulatory amendment apply to all in the case of a marriage entered into spouses both use a portion of the total applications for a certificate of outside of any State, if the marriage is 12-week FMLA leave entitlement for eligibility for an automobile or other valid in the place where entered into either the birth of a child, for placement conveyance and adaptive equipment and could have been entered into in at for adoption or foster care, or to care for allowance pending before VA on or least one State. This definition includes a parent, the spouses would each be received after February 25, 2015. an individual in a same-sex or common entitled to the difference between the ADDRESSES: Written comments may be law marriage that either: amount he or she has taken individually submitted through (1) Was entered into in a State that and 12 weeks for FMLA leave for other www.Regulations.gov; by mail or hand- recognizes such marriages; or purposes. * * * delivery to Director, Regulation Policy and Management (02REG), Department (2) If entered into outside of any State, ■ 8. Amend § 825.202 by revising the of Veterans Affairs, 810 Vermont Ave. is valid in the place where entered into third sentence of paragraph (c) to read and could have been entered into in at NW., Room 1068, Washington, DC as follows: least one State. 20420; or by fax to (202) 273–9026. * * * * * § 825.202 Intermittent leave or reduced Comments should indicate that they are ■ 6. Amend § 825.127 by revising the leave schedule. submitted in response to ‘‘RIN 2900– AP26—Automobile or Other first and second sentences of paragraph * * * * * (f) to read as follows: Conveyance and Adaptive Equipment (c) * * * The employer’s agreement is Certificate of Eligibility for Veterans or § 825.127 Leave to care for a covered not required, however, for leave during Members of the Armed Forces With servicemember with a serious injury or which the expectant mother has a Amyotrophic Lateral Sclerosis illness (military caregiver leave). serious health condition in connection Connected to Military Service.’’ Copies * * * * * with the birth of her child or if the of comments received will be available (f) Spouses who are eligible for FMLA newborn child has a serious health for public inspection in the Office of leave and are employed by the same condition. * * * Regulation Policy and Management, covered employer may be limited to a * * * * * Room 1068, between the hours of 8:00 combined total of 26 workweeks of [FR Doc. 2015–03569 Filed 2–23–15; 11:15 am] a.m. and 4:30 p.m., Monday through leave during the single 12-month period BILLING CODE 4510–27–P Friday (except holidays). Please call described in paragraph (e) of this (202) 461–4902 for an appointment. section if the leave is taken for birth of (This is not a toll free number.) In the employee’s son or daughter or to addition, during the comment period,

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comments may be viewed online VA’s automobile and adaptive established after a brief period of through the Federal Docket Management equipment allowance eligibility observation, in most cases less than 3 System (FDMS) at www.Regulations.gov. regulation, 38 CFR 8.808 Automobiles months, VA has determined that it is or other conveyances and adaptive fair and reasonable to provide a FOR FURTHER INFORMATION CONTACT: equipment; certification, which was certificate of eligibility for automobile or Randy A. McKevitt, Legal Consultant, promulgated to implement 38 U.S.C. other conveyance and adaptive Regulations Staff (211D), Compensation 3901 and 3902, includes the same equipment upon determination of Service, Veterans Benefits criteria for entitlement to a certificate of service connection for ALS in a veteran Administration, Department of Veterans eligibility as 38 U.S.C. 3901. Because or on diagnosis and receipt of an Affairs, 810 Vermont Avenue NW., ALS is a rapidly progressive, totally application from a member of the Washington, DC 20420, (202) 461–9700. debilitating, and irreversible disease, Armed Forces serving on active duty. (This is not a toll-free number.) VA has determined that progression of VA, therefore, intends to establish SUPPLEMENTARY INFORMATION: In a ALS will routinely, and quickly, satisfy entitlement for a certificate of eligibility document published in the Federal these existing certificate of eligibility for automobile or other conveyance and Register on , 2011 (76 FR criteria. This interim final rule permits adaptive equipment eligibility for 78823), VA amended its regulations VA to determine entitlement to a eligible veterans with service-connected pertaining to the percent disability certificate of eligibility for an ALS and members of the Armed Forces evaluation assignable for service- automobile or other conveyance and serving on active duty with ALS. VA is connected amyotrophic lateral sclerosis adaptive equipment as soon as a veteran doing so by adding a new provision to (ALS). As of , 2012, the establishes service connection for ALS, 38 CFR 3.808, which governs eligibility effective date of that amendment, 38 or a member of the Armed Forces for entitlement for a certificate of CFR 4.124a, diagnostic code 8017, serving on active duty is diagnosed with eligibility for automobile or other provides a 100-percent disability ALS, eliminating the need for additional conveyance and adaptive equipment evaluation for veterans with service- development and reducing wait times. under 38 U.S.C. 3901 and 3902. This connected ALS. VA determined that By streamlining the eligibility process, new provision adds ALS as a qualifying assigning a 100-percent evaluation in all this regulatory amendment will allow disability for eligibility to this benefit cases eliminates the need to veterans with service-connected ALS and will allow eligible individuals to unnecessarily reevaluate veterans with and members of the Armed Forces access this benefit without further ALS repeatedly over a short period of serving on active duty with ALS to development and delay. VA time as the condition worsens and receive and utilize to maximum incorporates this new category of inevitably progresses to total disability. advantage the automobile or other criteria in § 3.808 as new paragraph The change was necessary to adequately conveyance and adaptive equipment (b)(5). Current paragraph (b)(5) will be compensate veterans who suffer from benefit, without unnecessary delay. redesignated as paragraph (b)(6). From the standpoint of entitlement to this progressive, untreatable, and fatal Administrative Procedure Act disease. However, the change did not a certificate of eligibility for automobile Pursuant to 5 U.S.C. 553(b)(B) and specifically address entitlement to or other conveyance and adaptive equipment qualification procedures, the (d)(3), we find that there is good cause certificates of eligibility for financial to dispense with advance public notice assistance in the purchase of an effect of this regulatory amendment is to allocate resources more efficiently and and opportunity to comment on this automobile or other conveyance and rule and good cause to publish this rule adaptive equipment. ensure a better lifestyle for veterans with service-connected ALS and with an immediate effective date. This Section 3901(1), title 38, United States members of the Armed Forces serving interim final rule is necessary to Code (U.S.C.), provides specific criteria on active duty with ALS who want to implement immediately the Secretary’s for determining eligibility for an purchase and adapt an automobile or decision to establish entitlement for a automobile and adaptive equipment other conveyance and adaptive certificate of eligibility for automobile or allowance. To be eligible for an equipment so they can remain mobile as other conveyance and adaptive automobile and adaptive equipment long as possible. In this regard, as the equipment for all veterans with service- allowance, a veteran must be in receipt ALS progresses, the need for assistive connected ALS and members of the of compensation under chapter 11 of devices adapting an automobile or other Armed Forces serving on active duty title 38 U.S.C. for (or a member of the conveyance and adaptive equipment so with ALS. Delay in the implementation Armed Forces serving on active duty that the veteran or member of the of this rule would be impracticable and must have) loss or permanent loss of use Armed Forces serving on active duty contrary to the public interest, of one or both feet; loss or permanent can continue to be mobile, including particularly to veterans and members of loss of use of one or both hands; attending examinations and treatment the Armed Forces serving on active permanent impairment of vision of both by medical personnel, while remaining duty. eyes with central visual acuity of 20/200 in their home for as long as possible, Because the survival period for or less in the better eye with the use of will be greatly assisted. Without these persons suffering from ALS is generally corrective glasses or central visual benefits, a veteran or member of the 18–48 months or less from the onset of acuity of more than 20/200 if there is a Armed Forces serving on active duty symptoms, any delay in establishing field defect in which the peripheral may be required to be institutionalized entitlement for a certificate of eligibility field has contracted to such an extent sooner than otherwise necessary to for automobile or other conveyance and that the widest diameter of visual field receive medical treatment. adaptive equipment eligibility is subtends an angular distance no greater Thus, there exists an immediate need extremely detrimental to veterans and than twenty degrees in the better eye; or for VA to focus this regulatory change members of the Armed Forces serving a severe burn injury. 38 U.S.C. 3901(1). upon the entitlement for a certificate of on active duty who are currently These disabilities must be the result of eligibility for automobile or other afflicted with ALS. Any delay in an injury incurred or disease contracted conveyance and adaptive equipment implementation until after a public- in or aggravated by active military, process. Because the prognosis of the comment period could delay modifying naval, or air service. Id. progression of ALS is typically the regulated certificate of eligibility

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process, depriving ALS veterans and recipients thereof; or (4) Raise novel Dated: February 20, 2015. members of the Armed Forces serving legal or policy issues arising out of legal William F. Russo, on active duty with ALS of quick and mandates, the President’s priorities, or Acting Director, Office of Regulation Policy efficient access to automobile or other the principles set forth in this Executive & Management, Office of the General Counsel, conveyance and adaptive equipment Order.’’ U.S. Department of Veterans Affairs. benefits. For the reasons set out in the For the foregoing reasons, the The economic, interagency, budgetary, legal, and policy preamble, VA amends 38 CFR part 3 as Secretary is issuing this rule as an follows: interim final rule with immediate effect. implications of this regulatory action have been examined, and it has been PART 3—ADJUDICATION Paperwork Reduction Act determined not to be a significant This interim final rule contains no regulatory action under Executive Order Subpart A—Pension, Compensation, provisions constituting a collection of 12866. VA’s impact analysis can be and Dependency and Indemnity information under the Paperwork found as a supporting document at Compensation Reduction Act of 1995 (44 U.S.C. 3501– http://www.regulations.gov, usually 3521). within 48 hours after the rulemaking ■ 1. The authority citation for part 3, subpart A continues to read as follows: Regulatory Flexibility Act document is published. Additionally, a copy of the rulemaking and its impact Authority: 38 U.S.C. 501(a), unless The Secretary hereby certifies that otherwise noted. this interim final rule will not have a analysis are available on VA’s Web site significant economic impact on a at http://www.va.gov/orpm/, by ■ 2. Amend § 3.808 by redesignating substantial number of small entities as following the link for VA Regulations paragraph (b)(5) as paragraph (b)(6) and they are defined in the Regulatory Published From FY 2004 Through adding a new paragraph (b)(5) to read as Flexibility Act, 5 U.S.C. 601–612. This FYTD. follows: interim final rule will not affect any Unfunded Mandates § 3.808 Automobiles or other conveyances small entities. Only VA beneficiaries and adaptive equipment; certification. will be directly affected. Therefore, The Unfunded Mandates Reform Act * * * * * pursuant to 5 U.S.C. 605(b), this interim of 1995 requires, at 2 U.S.C. 1532, that (b) * * * final rule is exempt from the final agencies prepare an assessment of (5) Amyotrophic lateral sclerosis. regulatory flexibility analysis anticipated costs and benefits before * * * * * requirements of section 604. issuing any rule that may result in the [FR Doc. 2015–03889 Filed 2–24–15; 8:45 am] expenditure by State, local, and tribal Executive Orders 12866 and 13563 BILLING CODE P governments, in the aggregate, or by the Executive Orders 12866 and 13563 private sector, of $100 million or more direct agencies to assess the costs and (adjusted annually for inflation) in any benefits of available regulatory ENVIRONMENTAL PROTECTION 1 year. This interim final rule will have alternatives and, when regulation is AGENCY necessary, to select regulatory no such effect on State, local, and tribal approaches that maximize net benefits governments, or on the private sector. 40 CFR Part 180 (including potential economic, Catalog of Federal Domestic Assistance [EPA–HQ–OPP–2014–0253; FRL–9919–59] environmental, public health and safety effects, and other advantages; The Catalog of Federal Domestic Clothianidin; Pesticide Tolerances for distributive impacts; and equity). Assistance numbers and titles for the Emergency Exemptions Executive Order 13563 (Improving programs affected by this document are Regulation and Regulatory Review) 64.100, Automobiles and Adaptive AGENCY: Environmental Protection emphasizes the importance of Equipment for Certain Disabled Agency (EPA). quantifying both costs and benefits, Veterans and Members of the Armed ACTION: Final rule. reducing costs, harmonizing rules, and Forces and 64.109, Veterans SUMMARY: This regulation establishes a promoting flexibility. Executive Order Compensation for Service-Connected time-limited tolerance for residues of 12866 (Regulatory Planning and Disability. Review) defines a ‘‘significant clothianidin, (E)-N-[(2-chloro-5- regulatory action,’’ which requires Signing Authority thiazolyl)methyl]-N’-methyl-N’’- review by the Office of Management and nitroguanidine, in or on fruit, citrus, Budget (OMB), unless OMB waives such The Secretary of Veterans Affairs, or group 10–10. This action is in response review, as ‘‘any regulatory action that is designee, approved this document and to EPA’s granting of an emergency likely to result in a rule that may: (1) authorized the undersigned to sign and exemption under the Federal Have an annual effect on the economy submit the document to the Office of the Insecticide, Fungicide, and Rodenticide of $100 million or more or adversely Federal Register for publication Act (FIFRA) authorizing use of the affect in a material way the economy, a electronically as an official document of pesticide on citrus. This regulation sector of the economy, productivity, the Department of Veterans Affairs. Jose establishes a maximum permissible competition, jobs, the environment, D. Riojas, Chief of Staff, approved this level for residues of clothianidin in or public health or safety, or State, local, document on , 2015, for on citrus. The time-limited tolerance or tribal governments or communities; publication. expires on , 2017. (2) Create a serious inconsistency or DATES: This regulation is effective List of Subjects in 38 CFR Part 3 otherwise interfere with an action taken February 25, 2015. Objections and or planned by another agency; (3) Administrative practice and requests for hearings must be received Materially alter the budgetary impact of procedure, Claims, Disability benefits, on or before April 27, 2015, and must entitlements, grants, user fees, or loan Health care, Pensions, Veterans. be filed in accordance with the programs or the rights and obligations of instructions provided in 40 CFR part

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178 (see also Unit I.C. of the objection to any aspect of this regulation result from the use of a pesticide under SUPPLEMENTARY INFORMATION). and may also request a hearing on those an emergency exemption granted by ADDRESSES: The docket for this action, objections. You must file your objection EPA under FIFRA section 18. Such identified by docket identification (ID) or request a hearing on this regulation tolerances can be established without number EPA–HQ–OPP–2014–0253, is in accordance with the instructions providing notice or period for public available at http://www.regulations.gov provided in 40 CFR part 178. To ensure comment. EPA does not intend for its or at the Office of Pesticide Programs proper receipt by EPA, you must actions on FIFRA section 18 related Regulatory Public Docket (OPP Docket) identify docket ID number EPA–HQ– time-limited tolerances to set binding in the Environmental Protection Agency OPP–2014–0253 in the subject line on precedents for the application of FFDCA Docket Center (EPA/DC), West William the first page of your submission. All section 408 and the safety standard to Jefferson Clinton Bldg., Rm. 3334, 1301 objections and requests for a hearing other tolerances and exemptions. Constitution Ave. NW., Washington, DC must be in writing, and must be Section 408(e) of FFDCA allows EPA to 20460–0001. The Public Reading Room received by the Hearing Clerk on or establish a tolerance or an exemption is open from 8:30 a.m. to 4:30 p.m., before April 27, 2015. Addresses for from the requirement of a tolerance on Monday through Friday, excluding legal mail and hand delivery of objections its own initiative, i.e., without having holidays. The telephone number for the and hearing requests are provided in 40 received any petition from an outside Public Reading Room is (202) 566–1744, CFR 178.25(b). party. and the telephone number for the OPP In addition to filing an objection or Section 408(b)(2)(A)(i) of FFDCA Docket is (703) 305–5805. Please review hearing request with the Hearing Clerk allows EPA to establish a tolerance (the the visitor instructions and additional as described in 40 CFR part 178, please legal limit for a pesticide chemical information about the docket available submit a copy of the filing (excluding residue in or on a food) only if EPA at http://www.epa.gov/dockets. any Confidential Business Information determines that the tolerance is ‘‘safe.’’ (CBI)) for inclusion in the public docket. FOR FURTHER INFORMATION CONTACT: Section 408(b)(2)(A)(ii) of FFDCA Information not marked confidential Susan Lewis, Registration Division defines ‘‘safe’’ to mean that ‘‘there is a pursuant to 40 CFR part 2 may be (7505P), Office of Pesticide Programs, reasonable certainty that no harm will disclosed publicly by EPA without prior Environmental Protection Agency, 1200 result from aggregate exposure to the notice. Submit the non-CBI copy of your Pennsylvania Ave. NW., Washington, pesticide chemical residue, including objection or hearing request, identified DC 20460–0001; main telephone all anticipated dietary exposures and all by docket ID number EPA–HQ–OPP– number: (703) 305–7090; email address: other exposures for which there is 2014–0253, by one of the following [email protected]. reliable information.’’ This includes methods: SUPPLEMENTARY INFORMATION: • exposure through drinking water and in Federal eRulemaking Portal: http:// residential settings, but does not include I. General Information www.regulations.gov. Follow the online occupational exposure. Section 408(b) instructions for submitting comments. A. Does this action apply to me? (2) (C) of FFDCA requires EPA to give Do not submit electronically any special consideration to exposure of You may be potentially affected by information you consider to be CBI or infants and children to the pesticide this action if you are an agricultural other information whose disclosure is chemical residue in establishing a producer, food manufacturer, or restricted by statute. tolerance and to ‘‘ensure that there is a • Mail: OPP Docket, Environmental pesticide manufacturer. The following reasonable certainty that no harm will Protection Agency Docket Center (EPA/ list of North American Industrial result to infants and children from DC), (28221T), 1200 Pennsylvania Ave. Classification System (NAICS) codes is aggregate exposure to the pesticide NW., Washington, DC 20460–0001. not intended to be exhaustive, but rather chemical residue .... ’’ provides a guide to help readers • Hand Delivery: To make special arrangements for hand delivery or Section 18 of FIFRA authorizes EPA determine whether this document to exempt any Federal or State agency applies to them. Potentially affected delivery of boxed information, please follow the instructions at http:// from any provision of FIFRA, if EPA entities may include: determines that ‘‘emergency conditions • Crop production (NAICS code 111). www.epa.gov/dockets/contacts.html. exist which require such exemption.’’ • Animal production (NAICS code Additional instructions on EPA has established regulations 112). commenting or visiting the docket, • Food manufacturing (NAICS code along with more information about governing such emergency exemptions 311). dockets generally, is available at in 40 CFR part 166. • Pesticide manufacturing (NAICS http://www.epa.gov/dockets. III. Emergency Exemption for code 32532). II. Background and Statutory Findings Clothianidin in or on Immature Citrus Trees and FFDCA Tolerances B. How can I get electronic access to EPA, on its own initiative, in other related information? accordance with FFDCA sections 408(e) The Florida Department of You may access a frequently updated and 408(l)(6) of, 21 U.S.C. 346a(e) and Agriculture and Consumer Services electronic version of 40 CFR part 180 346a(1)(6), is establishing a time-limited requested the EPA Administrator to through the Government Printing tolerance for residues of clothianidin, issue a specific exemption for the use of Office’s e-CFR site at http:// (E)-N-[(2-chloro-5-thiazolyl)methyl]-N’- clothianidin as a soil drench application www.ecfr.gov/cgi-bin/text- methyl-N’’-nitroguanidine, in or on on immature citrus trees to control the idx?&c=ecfr&tpl=/ecfrbrowse/Title40/ fruit, citrus, group 10–10 at 0.07 parts transmission of Huanglongbing (HLB) 40tab_02.tpl. per million (ppm). This time-limited disease vectored by the Asian Citrus tolerance expires on December 31, 2017. Psyllid (ACP). The applicant asserts that C. How can I file an objection or hearing Section 408(l)(6) of FFDCA requires clothianidin is needed to control HLB request? EPA to establish a time-limited disease due to the lack of effective Under section 408(g) of the Federal tolerance or exemption from the available alternatives for season long Food, Drug, and Cosmetic Act (FFDCA), requirement of a tolerance for pesticide control practices, and that significant 21 U.S.C. 346a, any person may file an chemical residues in food that will economic losses will occur if this

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urgent, non-routine disease is not authority for persons in any State other endpoints is discussed in Units 111.A. controlled. than Florida to use this pesticide on the and B. of the , 2013 Final Rule. Further, the Applicant asserts that an applicable crop under FIFRA section 18 EPA has also recently evaluated the emergency condition exists in absent the issuance of an emergency dietary exposure that would result from accordance with the criteria for exemption applicable within that State. a similar use of clothianidin on citrus approval of an emergency exemption, For additional information regarding the that would result in clothianidin and issued a crisis exemption under emergency exemption for clothianidin residues of 0.60 ppm. This is FIFRA section 18 to allow the use of contact the Agency’s Registration significantly higher than the 0.07 ppm clothianidin on immature citrus trees Division at the address provided under time-limited tolerance level established for control of the transmission of HLB FOR FURTHER INFORMATION CONTACT. in today’s final rule. In order to expedite disease vectored by the ACP in Florida. this time-limited tolerance rule, EPA After having reviewed the submission, IV. Aggregate Risk Assessment and has relied on its previous dietary risk EPA concurred that an emergency Determination of Safety assessment assuming clothianidin condition exists for Florida citrus Section 408(b)(2)(A)(i) of FFDCA residues of 0.60 ppm on citrus. The growers and authorized a specific allows EPA to establish a tolerance (the higher application rates and emergency exemption under FIFRA legal limit for a pesticide chemical concentrations assure that exposure and section 18 for control of clothianidin on residue in or on a food) only if EPA risk resulting from the emergency use immature citrus trees to control the determines that the tolerance is ‘‘safe.’’ are not underestimated. In addition, the transmission of HLB disease vectored by Section 408(b)(2)(A)(ii) of FFDCA estimated drinking water concentrations the ACP. defines ‘‘safe’’ to mean that ‘‘there is a based on the clothianidin use on citrus As part of its evaluation of the reasonable certainty that no harm will resulted in higher acute drinking water emergency exemption application, EPA result from aggregate exposure to the estimates than those previously assessed the potential risks presented by pesticide chemical residue, including assessed. The chronic analysis drinking residues of clothianidin in or on citrus. all anticipated dietary exposures and all water estimate remains the same as it In doing so, EPA considered the safety other exposures for which there is was in the previous dietary assessment. standard in FFDCA section 408(b)(2), reliable information.’’ This includes Even with these conservative and EPA decided that the necessary exposure through drinking water and in assumptions, the revised acute dietary tolerance under FFDCA section 408(l)(6) residential settings, but does not include risk estimates from exposure to would be consistent with the safety occupational exposure. Section clothianidin through food and water are standard and with FIFRA section 18. 408(b)(2)(C) of FFDCA requires EPA to below the Agency’s level of concern for Consistent with the need to move give special consideration to exposure all population subgroups. quickly on the emergency exemption in of infants and children to the pesticide In its aggregate assessment of order to address an urgent non-routine chemical residue in establishing a exposures and risk associated with clothianidin, including use on citrus situation and to ensure that the resulting tolerance and to ‘‘ensure that there is a food is safe and lawful, EPA is issuing which was assessed at a significantly reasonable certainty that no harm will this tolerance without notice and higher use rate, EPA concluded that the result to infants and children from opportunity for public comment as acute dietary exposure from food and aggregate exposure to the pesticide provided in FFDCA section 408(l)(6). water to clothianidin would occupy chemical residue. . . .’’ Although this time-limited tolerance 28% of the acute population adjusted expires on December 31, 2017, under As part of its evaluation of the dose (aPAD) for children 1–2 years old, FFDCA section 408(l)(5), residues of the emergency exemption application, EPA the population subgroup receiving the pesticide not in excess of the amounts assessed the potential risks presented by greatest exposure; and that chronic specified in the tolerance remaining in residues of clothianidin in or on citrus. exposure to clothianidin from food and or on fruit, citrus, group 10–10 after that In doing so, EPA considered the safety water would utilize 28% of the chronic date will not be unlawful, provided the standard in FFDCA section 408(b)(2) population adjusted dose (cPAD) for pesticide was applied in a manner that and decided that the necessary tolerance children 1–2 years old, the population was lawful under FIFRA, and the under FFDCA section 408(l)(6) would be subgroup receiving the greatest residues do not exceed a level that was consistent with the safety standard and exposure. These population adjusted authorized by the time-limited tolerance with FIFRA section 18. doses represent the levels below which at the time of that application. EPA will Consistent with the factors specified exposure is not of health concern. take action to revoke this time-limited in FFDCA section 408(b)(2)(D), EPA has Because these levels of dietary tolerance earlier if any experience with, reviewed the available scientific data exposures for the most exposed scientific data on, or other relevant and other relevant information in subpopulations would be well below information on this pesticide indicate support of this emergency action. EPA the aPAD and cPAD, the expected lower that the residues are not safe. has sufficient data to assess the hazards levels of dietary exposures are not of Because this time-limited tolerance is of and to make a determination on concern. being approved under emergency aggregate exposure expected as a result There are no new residential uses of conditions, EPA has not made any of this emergency exemption and the clothianidin at this time. However, decisions about whether clothianidin time-limited tolerance for residues of existing uses of clothianidin on turf, meets FIFRA’s registration requirements clothianidin in or on fruit, citrus, group ornamental plants, and/or indoor for use on fruit, citrus, group 10–10 or 10–10 at 0.07 ppm. surfaces for bed bug control may result whether a permanent tolerance for this EPA recently evaluated the currently in human exposure in a residential use would be appropriate. Under these approved uses of clothianidin when setting. Such exposures may occur circumstances, EPA does not believe establishing tolerances for residues of during application of products that this time-limited tolerance decision clothianidin in three non-citrus containing clothianidin (handler serves as a basis for registration of commodity groups in the March 29, exposure) as well as following clothianidin by a State for special local 2013 Federal Register (78 FR 19130) application (post-application exposure) needs under FIFRA section 24(c). Nor (FRL–9378–6). A summary of the and are expected to be of short-term (1– does this tolerance by itself serve as the human risk assessment toxicological 30 days) duration.

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For clothianidin, residential handler safety standards and agricultural proposed rule, the requirements of the and post-application risk estimates are practices. EPA considers the Regulatory Flexibility Act (RFA) (5 considered to be of potential concern international maximum residue limits U.S.C. 601 et seq.) do not apply. when the dermal margin of exposure (MRLs) established by the Codex This final rule directly regulates (MOE) is less than 100, the inhalation Alimentarius Commission (Codex), as growers, food processors, food handlers, MOE is less than 1,000, and/or the required by FFDCA section 408(b)(4). and food retailers, not States or tribes, The Codex Alimentarius is a joint aggregate risk index (ARI), reflecting nor does this action alter the United Nations Food and Agriculture combined dermal and inhalation relationships or distribution of power Organization/World Health exposure, is less than one. The and responsibilities established by residential handler and post-application Organization food standards program, Congress in the preemption provisions risk estimates are not of concern (ARIs and it is recognized as an international of FFDCA section 408(n)(4). As such, range from 1.9 to 990). The aggregate food safety standards-setting the Agency has determined that this ARIs, which combine residential and organization in trade agreements to action will not have a substantial direct dietary exposure, ranged from 1.2 to 6.5, which the United States is a party. EPA effect on States or tribal governments, which are not of concern (i.e. when the may establish a tolerance that is on the relationship between the national ARI is greater 1). different from a Codex MRL; however, government and the States or tribal Therefore, EPA concluded there is a FFDCA section 408(b)(4) requires that reasonable certainty that no harm will EPA explain the reasons for departing governments, or on the distribution of result to the general population and to from the Codex level. power and responsibilities among the infants and children from aggregate The Codex has established MRLs for various levels of government or between exposure to clothianidin residues as a clothianidin in or on citrus fruits at 0.07 the Federal Government and Indian result of existing uses and the proposed ppm, the same level the U.S. is tribes. Thus, the Agency has determined section 18 use pattern. establishing for the time-limited- that Executive Order 13132, entitled Refer to the March 29, 2013 final rule, tolerance. ‘‘Federalism’’ (64 FR 43255, , 1999) and Executive Order 13175, available at http://regulations.gov, for a VI. Conclusion summary of the aggregate risk entitled ‘‘Consultation and Coordination Therefore, a time-limited tolerance is assessment and determination of safety. with Indian Tribal Governments’’ (65 FR established for residues of clothianidin, Detailed discussion of the aggregate risk 67249, , 2000) do not apply in or on fruit, citrus, group 10–10 at 0.07 assessments and the determinations of to this final rule. In addition, this final ppm. This tolerance expires on safety relied upon in this action may be rule does not impose any enforceable December 31, 2017. found in the Agency reviews and duty or contain any unfunded mandate human health risk assessments provided VII. Statutory and Executive Order as described under Title II of the as supporting documents in the docket Reviews Unfunded Mandates Reform Act of 1995 (UMRA) (2 U.S.C. 1501 et seq.). for this action under docket ID number This final rule establishes tolerances EPA–HQ–OPP–2014–0253. under FFDCA sections 408(e) and This action does not involve any V. Other Considerations 408(l)(6). The Office of Management and technical standards that would require Budget (OMB) has exempted these types Agency consideration of voluntary A. Analytical Enforcement Methodology of actions from review under Executive consensus standards pursuant to section An adequate enforcement Order 12866, entitled ‘‘Regulatory 12(d) of the National Technology methodology, based on solvent Planning and Review’’ (58 FR 51735, Transfer and Advancement Act of 1995 extraction and liquid chromatography- 4, 1993). Because this final rule (NTTAA) (15 U.S.C. 272 note). mass spectrometry/mass spectrometry has been exempted from review under VIII. Congressional Review Act (LC–MS/MS) separation, identification, Executive Order 12866, this final rule is and quantification, is available for plant not subject to Executive Order 13211, Pursuant to the Congressional Review (Morse Method#Meth-164-modified, entitled ‘‘Actions Concerning Act (5 U.S.C. 801 et seq.), EPA will RM–39C–1, or Bayer Method 00552) Regulations That Significantly Affect submit a report containing this rule and matrices to enforce the tolerance Energy Supply, Distribution, or Use’’ (66 other required information to the U.S. expression. The limit of quantitation FR 28355, , 2001) or Executive Senate, the U.S. House of (LOQ) for clothianidin in plant Order 13045, entitled ‘‘Protection of Representatives, and the Comptroller commodities is 0.01 ppm. Clothianidin Children from Environmental Health General of the United States prior to and its major metabolites are not Risks and Safety Risks’’ (62 FR 19885, publication of the rule in the Federal adequately recovered using any of the , 1997). This final rule does not Register. This action is not a ‘‘major United States Food and Drug contain any information collections rule’’ as defined by 5 U.S.C. 804(2). Administration (FDA) multi-residue subject to OMB approval under the methods. Paperwork Reduction Act (PRA), 44 List of Subjects in 40 CFR Part 180 U.S.C. 3501 et seq., nor does it require The methods may be requested from: Environmental protection, Chief, Analytical Chemistry Branch, any special considerations under Administrative practice and procedure, Environmental Science Center, 701 Executive Order 12898, entitled Agricultural commodities, Pesticides Mapes Rd., Ft. Meade, MD 20755–5350; ‘‘Federal Actions to Address and pests, Reporting and recordkeeping telephone number: (410) 305–2905; Environmental Justice in Minority requirements. email address: residuemethods@ Populations and Low-Income epa.gov. Populations’’ (59 FR 7629, , Dated: February 13, 2015. 1994). B. International Residue Limits Susan Lewis, Since tolerances and exemptions that Director, Registration Division, Office of In making its tolerance decisions, EPA are established in accordance with Pesticide Programs. seeks to harmonize U.S. tolerances with FFDCA sections 408(e) and 408(l)(6), international standards whenever such as the tolerances in this final rule, Therefore, 40 CFR chapter I is possible, consistent with U.S. food do not require the issuance of a amended as follows:

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PART 180—[AMENDED] DEPARTMENT OF COMMERCE catch limit (ACL) value for Atlantic migratory group Spanish mackerel in ■ 1. The authority citation for part 180 National Oceanic and Atmospheric § 622.388(d)(1)(iii). The commercial continues to read as follows: Administration ACL for Atlantic migratory group Spanish mackerel is equal to the Authority: 21 U.S.C. 321(q), 346a and 371. 50 CFR Part 622 commercial quota. The commercial ■ 2. In § 180.586, revise paragraph (b) to [Docket No. 131211999–5045–02] quota value was published correctly in § 622.384(c)(2), however, the read as follows: RIN 0648–BD86 commercial ACL value was published § 180.586 Clothianidin; tolerances for Fisheries of the Caribbean, Gulf of incorrectly in § 622.388(d)(1)(iii). This residues. Mexico, and South Atlantic; Coastal document corrects the commercial ACL * * * * * Migratory Pelagic Resources in the value for Atlantic migratory group (b) Section 18 emergency exemptions. Gulf of Mexico and Atlantic Region; Spanish mackerel. Amendment 20B; Correction A time-limited tolerance specified in the Correction following table is established for AGENCY: National Marine Fisheries residues of clothianidin, (E)-N-[(2- Service (NMFS), National Oceanic and 1. On page 4223, in the first column, chloro-5-thiazolyl)methyl]-N’-methyl- Atmospheric Administration (NOAA), § 622.388(d)(1)(iii) is correctly revised to N’’-nitroguanidine, in or on the Commerce. read as follows: specified agricultural commodity, ACTION: Final rule; correction. § 622.388 Annual catch limits (ACLs), resulting from use of the pesticide SUMMARY: annual catch targets (ACTs), and pursuant to FIFRA section 18 This document contains a correction to the final rule to implement accountability measures (AMs). emergency exemptions. This tolerance Amendment 20B to the Fishery * * * * * expires on the date specified in the Management Plan for the Coastal (d) * * * table. Migratory Pelagic Resources in the exclusive economic zone of the Gulf of (1) * * * Parts per Expiration (iii) The commercial ACL for the Commodity million date Mexico and Atlantic Region (Amendment 20B) that was published in Atlantic migratory group Spanish Fruit, citrus, group the Federal Register , 2015. mackerel is 3.33 million lb (1.51 million 10–10 ...... 0.07 12/31/17 DATES: This correction is effective kg). , 2015. * * * * * * * * * * FOR FURTHER INFORMATION CONTACT: Dated: , 2015. [FR Doc. 2015–03928 Filed 2–24–15; 8:45 am] Anik Clemens, 727–551–5611; email: Samuel D. Rauch III, BILLING CODE 6560–50–P [email protected]. SUPPLEMENTARY INFORMATION: Deputy Assistant Administrator for Regulatory Programs, National Marine Need for Correction Fisheries Service. On January 27, 2015, (80 FR 4216), [FR Doc. 2015–03905 Filed 2–24–15; 8:45 am] NMFS published an incorrect annual BILLING CODE 3510–22–P

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Proposed Rules Federal Register Vol. 80, No. 37

Wednesday, February 25, 2015

This section of the FEDERAL REGISTER Risk Management Agency, United States and Budget (OMB) under control contains notices to the public of the proposed Department of Agriculture, P.O. Box number 0563–0064. issuance of rules and regulations. The 419205, Kansas City, MO 64133–6205. E-Government Act Compliance purpose of these notices is to give interested All comments received, including those persons an opportunity to participate in the received by mail, will be posted without FCIC is committed to complying with rule making prior to the adoption of the final the E-Government Act of 2002, to rules. change to http://www.regulations.gov, including any personal information promote the use of the Internet and provided, and can be accessed by the other information technologies to DEPARTMENT OF AGRICULTURE public. provide increased opportunities for All comments must include the citizen access to Government Federal Crop Insurance Corporation agency name and docket number or information and services, and for other Regulatory Information Number (RIN) purposes. 7 CFR Part 400 for this rule. For detailed instructions Unfunded Mandates Reform Act of [Docket No. FCIC–13–0006] on submitting comments and additional 1995 information, see http:// RIN 0563–AC46 www.regulations.gov. If you are Title II of the Unfunded Mandates submitting comments electronically Reform Act of 1995 (UMRA) establishes Part 400—General Administrative through the Federal eRulemaking Portal requirements for Federal agencies to Regulation—Subpart V—Submission and want to attach a document, we ask assess the effects of their regulatory of Policies, Provisions of Policies and that it be in a text-based format. If you actions on State, local, and tribal Rates of Premium want to attach a document that is a governments and the private sector. This rule contains no Federal mandates AGENCY: Federal Crop Insurance scanned Adobe PDF file, it must be scanned as text and not as an image, (under the regulatory provisions of title Corporation, USDA. II of the UMRA) for State, local, and ACTION: Proposed rule. thus allowing FCIC to search and copy certain portions of your submissions. tribal governments or the private sector. SUMMARY: The Federal Crop Insurance For questions regarding attaching a Therefore, this rule is not subject to the Corporation (FCIC) proposes to replace document that is a scanned Adobe PDF requirements of sections 202 and 205 of the General Administrative file, please contact the RMA Web UMRA. Regulation—Subpart V—Submission of Content Team at (816) 823–4694 or by Executive Order 13132 Policies, Provisions of Policies and email at [email protected]. It has been determined under section Rates of Premium. The intended effect Privacy Act: Anyone is able to search 1(a) of Executive Order 13132, of this action is to incorporate the electronic form of all comments Federalism, that this rule does not have legislative changes to the Federal Crop received for any dockets by the name of sufficient implications to warrant Insurance Act (Act) stemming from the the individual submitting the comment consultation with the States. The Agricultural Act of 2014, clarify existing (or signing the comment, if submitted provisions contained in this rule will regulations, lessen the burden of on behalf of an association, business, not have a substantial direct effect on submitters of crop insurance policies, labor union, etc.). You may review the States, or on the relationship between provisions of policies, or rates of complete User Notice and Privacy the national government and the States, premium under section 508(h) of the Notice for Regulations.gov at http:// or on the distribution of power and Act, provide guidance on the www.regulations.gov/#!privacyNotice. responsibilities among the various submission and payment for concept FOR FURTHER INFORMATION CONTACT: Tim levels of government. proposals under section 522 of the Act, Hoffmann, Product Administration and and to incorporate changes that are Standards Division, Risk Management Executive Order 13175 consistent with those made in the Agency, United States Department of This rule has been reviewed in Common Crop Insurance Policy Basic Agriculture, Beacon Facility, Stop 0812, accordance with the requirements of Provisions (Basic Provisions). Room 421, P.O. Box 419205, Kansas Executive Order 13175, Consultation DATES: Written comments and opinions City, MO 64141–6205, telephone (816) and Coordination with Indian Tribal on this proposed rule will be accepted 926–7730. Governments. The review reveals that until close of business April 27, 2015 SUPPLEMENTARY INFORMATION: this regulation will not have substantial and will be considered when the rule is and direct effects on Tribal governments to be made final. Executive Order 12866 and will not have significant Tribal ADDRESSES: FCIC prefers that comments This rule has been determined to be implications. be submitted electronically through the not significant for the purposes of Regulatory Flexibility Act Federal eRulemaking Portal. You may Executive Order 12866 and, therefore, it submit comments, identified by Docket has not been reviewed by the OMB. FCIC certifies that this regulation will ID No. FCIC–13–0006 by any of the not have a significant economic impact Paperwork Reduction Act of 1995 following methods: on a substantial number of small • Federal eRulemaking Portal: http:// Pursuant to the provisions of the entities. The regulation does not require www.regulations.gov. Follow the Paperwork Reduction Act of 1995 (44 any more action on the part of the small instructions for submitting comments. U.S.C. chapter 35), the collections of entities than is required on the part of • Mail: Director, Product information in this rule have been large entities. No matter the size of the Administration and Standards Division, approved by the Office of Management submitter, all submitters are required to

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perform the same tasks and those tasks limitations contained in the Act. Section List of Subjects in 7 CFR Part 400 are necessary to ensure that the concept 508(h) of the Act also requires that FCIC Administrative practice and proposal can be made into a viable and issue regulations to establish guidelines procedure, Crop insurance. marketable submission and any for the submission and Board review of submission can be made into viable and policies or other material submitted to Proposed Rule marketable, actuarially sound insurance the Board under the Act. These Accordingly, as set forth in the product. A Regulatory Flexibility regulations were published at 7 CFR preamble, FCIC proposes to amend 7 Analysis has not been prepared since part 400, subpart V (Subpart V) and CFR part 400 by replacing subpart V in this regulation does not have an impact provided the process for making its entirety as set forth below: on small entities, and, therefore, this submissions, its contents, the approval regulation is exempt from the provisions process, and the procedures for requests PART 400—GENERAL of the Regulatory Flexibility Act (5 for reimbursement of research and ADMINISTRATIVE REGULATIONS U.S.C. 605). development costs and maintenance. Section 522 of the Act authorizes the Revise subpart V to read as follows: Federal Assistance Program advance payment of research and Subpart V—Submission of Policies, This program is listed in the Catalog development costs for concept Provisions of Policies, Rates of Premium, of Federal Domestic Assistance under proposals and this proposed rule and Non-Reinsured Supplemental Policies No. 10.450. includes the procedures for requesting Sec. Executive Order 12372 such advanced payment. 400.700 Basis, purpose, and applicability. The Agricultural Act of 2014 400.701 Definitions. This program is not subject to the amended parts of section 508(h) as well 400.702 Confidentiality and duration of provisions of Executive Order 12372, as other sections of the Act. One such confidentiality. 400.703 Timing and format. which require intergovernmental change requires FCIC to develop consultation with State and local 400.704 Covered by this subpart. procedures for submitting index-based 400.705 Contents for new and changed officials. See the Notice related to 7 CFR weather plans of insurance. Another part 3015, subpart V, published at 48 FR submissions, concept proposals, and change mandated by the Agricultural index-based weather plans of insurance. 29115, , 1983. Act of 2014 requires submitters of 400.706 Review. Executive Order 12988 products for specialty crops to follow 400.707 Presentation to the Board for certain consultation requirements with approval or disapproval. This proposed rule has been reviewed 400.708 Post approval. in accordance with Executive Order grower groups in the major producing areas. The Agricultural Act of 2014 also 400.709 Roles and responsibilities. 12988 on civil justice reform. The 400.710 Preemption and premium taxation. contains amendments that require provisions of this rule will not have a 400.711 Right of review, modification, and retroactive effect. The provisions of this changes to review criteria and establish the withdrawal of approval. rule will preempt State and local laws approval priorities and considerations 400.712 Research and development to the extent such State and local laws of submissions under section 508(h) of reimbursement, maintenance are inconsistent herewith. With respect the Federal Crop Insurance Act. reimbursement, advance payments for concept proposals, and user fees. to any direct action taken by FCIC or to In addition to the changes required by the Agricultural Act of 2014, other 400.713 Non-reinsured supplemental (NRS) require the insurance provider to take policy. specific action under the terms of the changes are being proposed to provide crop insurance policy, the clarity or lessen the burden on Subpart V—Submission of Policies, administrative appeal provisions submitters or FCIC. This rule contains Provisions of Policies, Rates of published at 7 CFR part 11 must be proposed revisions to definitions to Premium, and Non-Reinsured exhausted before any action against clarify the meaning of terms used in Supplemental Policies. FCIC for judicial review may be brought. Subpart V as well as new definitions for terms that were either not defined or not Environmental Evaluation Authority: 7 U.S.C. 1506(l), 1506(o), previously used. This rule also contains 1508(h), 1522(b), 1523(i). This action is not expected to have a proposed changes to clarify FCIC and significant economic impact on the submitter responsibilities with respect § 400.700 Basis, purpose, and quality of the human environment, to timing, content, approval, applicability. health, or safety. Therefore, neither an reimbursement for research and This subpart establishes guidelines, Environmental Assessment nor an development costs and maintenance the approval process, and Environmental Impact Statement is costs, and potential user fees for such responsibilities of FCIC and the needed. submissions. To lessen the burden on applicant for policies, provisions of submitters, this rule proposes to reduce policies, and rates of premium Background the number of printed copies of the submitted to the Board as authorized FCIC makes available standard submission that must be provided to under section 508(h) of the Act. It also policies for producers to insure certain FCIC. This rule proposes to provide provides procedures for reimbursement agricultural commodities against additional guidance for submitting of research and development costs and various agricultural production risks concept proposals, including maintenance costs for concept proposals and perils. Under the provisions of confidentially standards and advance and approved submissions. Guidelines section 508(h) of the Act, any person payment provisions. This rule also for submitting concept proposals and may submit or propose other crop proposes changes to guidelines for non- the standards for approval and advance insurance policies, plans of insurance, reinsured supplemental policies to be payments are provided in this subpart. provisions of policies, or rates of submitted to FCIC including a proposed This subpart also provides guidelines premium to the FCIC Board of Directors provision to decrease the burden on and reference to procedures for (Board) for approval for reinsurance and FCIC by increasing the time FCIC has to submitting index-based weather plans of subsidy. These policies may be review such policies from 120 to 150 insurance as authorized under section submitted without regard to certain days. 523(i) of the Act. The procedures for

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submitting non-reinsured supplemental Applicant. Any person or entity that have a familial relationship) with the policies in accordance with the submits to the Board for approval a submitter; Standard Reinsurance Agreement (SRA) submission under section 508(h) of the (2) Who will not benefit financially are also contained within. Act, a concept proposal under section from the submission, concept proposal, 522 of the Act, or an index-based or index-based weather plan of § 400.701 Definitions. weather plan of insurance under section insurance if approved, or from the Act. Subtitle A of the Federal Crop 523(i) of the Act. administration of any approved policy Insurance Act, as amended (7 U.S.C. Approved insurance provider. A legal or plan of insurance; or 1501–1524). entity that has entered into a (3) Must not be employed by or work Actuarial documents. The reinsurance agreement with FCIC for the under contract or be associated in any information for the crop or insurance applicable reinsurance year. similar manner to the applicant on a year that is available for public Approved procedures. The applicable regular basis. inspection in your agent’s office and handbooks, manuals, memoranda, Endorsement. A document that published on RMA’s Web site, and that bulletins or other directives issued by amends or revises an insurance policy shows available insurance policies, RMA or the Board. reinsured under the Act in a manner coverage levels, information needed to Board. The Board of Directors of that changes existing, or provides determine amounts of insurance and FCIC. additional, coverage provided by such guarantees, prices, premium rates, Commodity. Has the same meaning as policy. Expert reviewer. Independent persons premium adjustment percentages, section 518 of the Act. contracted by the Board who meets the practices, particular types or varieties of Complete. A submission, concept criteria for underwriters or actuaries the insurable crop or agricultural proposal, or index-based weather plan that are selected by the Board to review commodity, insurable acreage, and other of insurance determined by RMA and a concept proposal, submission, or related information regarding insurance the Board to contain all required index-based weather plan of insurance in the county or state. documentation in accordance with and provide advice to the Board Actuarially appropriate. Premium § 400.705 and is of sufficient quality, as rates expected to cover anticipated regarding the results of their review, determined by the Board and RMA, to FCIC. The Federal Crop Insurance losses and establish a reasonable reserve conduct a meaningful review. Corporation, a wholly owned based on valid reasoning, an Complexity. Consideration of factors government corporation within USDA, examination of available risk data, or such as originality of policy materials, whose programs are administered by knowledge or experience of the underwriting methods, actuarial rating RMA. expected value of future costs associated methodology, and the pricing Index-based weather plan of with the risk to be covered. This will be methodology used in design, insurance. A risk management product expressed by a combination of data construction and processes for the full in which indemnities are based on a including, but not limited to liability, development of a policy or plan of defined weather parameter exceeding or premium, indemnity, and loss ratios insurance. failing to meet a given threshold during based on actual data or simulations Concept proposal. A written proposal a specified time period. The weather reflecting the risks covered by the for a prospective submission, submitted index is a proxy to measure expected policy. under section 522 of the Act for advance loss of production when the defined Administrative and operating (A&O) payment of research and development, weather parameter does not meet the subsidy. The subsidy for the and containing enough information that threshold. administrative and operating expenses the Board is able to determine that, if Limited resource producer. Has the authorized by the Act and paid by FCIC approved, will be developed into a same meaning as the term defined by on behalf of the producer to the viable and marketable policy consistent USDA at: www.lrftool.sc.egov.usda.gov/ approved insurance provider. Loss with Board approved procedures, these LRP_Definition.aspx or a successor Web adjustment expense reimbursement paid regulations, and section 508(h) of the site. by FCIC for catastrophic risk protection Act. Livestock commodity. Has the same (CAT) eligible crop insurance contracts Delivery system. The components or meaning as the term in section 523(i) of is not considered as A&O subsidy. parties that make the policy or plan of the Act. Advance payment. A portion, up to 50 insurance available to the public for Maintenance. For the purposes of this percent, of the estimated research and sale. The delivery system includes, but subpart only, the process of continual development costs, that may be is not limited to RMA, approved support, revision or improvement, as approved by the Board under section insurance providers, and agents. needed, for an approved submission, 522(b) of the Act for an approved Development. The process of including the periodic review of concept proposal, and after the composing documentation and premium rates and prices, updating or applicant has begun research and procedures, pricing and rating modifying the rating or pricing development activities, the Board may methodologies, administrative and methodologies, updating or modifying at its sole discretion provide up to an operating procedures, systems and policy terms and conditions, adding a additional 25 percent advance payment software, supporting materials, and new commodity under similar policy of the estimated research and documentation necessary to create and terms and conditions with similar rating development costs. implement a submission. and pricing methodology, or expanding Agent. An individual licensed by the Disinterested third party. A person a plan or policy to additional states and State in which an eligible crop who: counties, and any other actions insurance contract is sold and serviced (1) Does not have any familial necessary to provide adequate, for the reinsurance year, and who is relationship (parents, brothers, sisters, reasonable and meaningful protection employed by, or under contract with, children, spouse, grandchildren, aunts, for producers, ensure actuarial the approved insurance provider, or its uncles, nieces, nephews, first cousins, soundness, or to respond to statutory or designee, to sell and service such or grandparents, related by blood, regulatory changes. A concept proposal eligible crop insurance contracts. adoption or marriage, are considered to that is similar to a previously approved

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submission will be considered that offers a specific type of coverage to Special Provisions. Has the same maintenance for the similar approved one or more agricultural commodities. meaning as the term in section 1 of the submission if submitted by the same Policy. Has the same meaning as the Basic Provisions (7 CFR 457.8). person. term in section 1 of the Basic Provisions Specialty crops. Fruits and vegetables, Maintenance costs. Specific expenses (7 CFR 457.8). tree nuts, dried fruits, and horticulture associated with the maintenance of an Rate of premium. The dollar amount and nursery crops (including approved submission as authorized by per insured unit, or percentage rate per floriculture). § 400.712. dollar of liability, that is needed to pay Socially disadvantaged producer. Has Maintenance period. A period of time anticipated losses and provide a the same meaning as section 2501(E) of that begins on the date the Board reasonable reserve. the Food, Agriculture, Conservation, approves the submission and ends on Reinsurance year. The term beginning and Trade Act of 1990 (7 U.S.C. the date that is not more than four 1 and ending on of the 2279(e)). reinsurance years after such approval. following year and, for reference Standard Reinsurance Agreement Manager. The Manager of FCIC. purposes, identified by reference to the (SRA). The reinsurance agreement Marketing plan. A plan that identifies, year containing June. between FCIC and the approved at a minimum, the expected number of Related material. The actuarial insurance provider, under which the potential buyers, premium, liability, and documents for the insured commodity approved insurance provider is the data upon which such information and any underwriting or loss adjustment authorized to sell and service the is based. Such data must include, but is manuals, handbooks, forms, instructions eligible crop insurance contracts for not limited to, focus group results, or other information needed to which the premium discount is market research studies, qualitative administer the policy. proposed. For the purposes of this market estimates, effects upon the Research. For the purposes of subpart, all references to the SRA will delivery system or participants, an development, the gathering of also include any other reinsurance assessment of factors that could information related to: producer needs agreements entered into with FCIC, negatively or adversely affect the and interests for risk management; the including the Livestock Price market, responses from a reasonable marketability of the policy or plan of Reinsurance Agreement. representative cross-section of insurance; appropriate policy terms, Submission. A policy, plan of producers or significant market segment premium rates, price elections, insurance, provision of a policy or plan to be affected by the policy or plan of administrative and operating of insurance, or rates of premium insurance, and if applicable, results procedures, supporting materials, provided by an applicant to FCIC in from the consultation with the major documentation, and the systems and accordance with the requirements of producer groups of specialty crops software necessary to implement a § 400.705. Submissions as referenced in demonstrating their interest in policy or plan of insurance. The this subpart do not include concept purchasing the product. gathering of information to determine proposals, index-based weather plans of Multiple peril crop insurance (MPCI). whether it is feasible to expand a policy insurance, or non-reinsured Policies reinsured by FCIC that provide or plan of insurance to a new area or to supplemental policies. protection against multiple causes of cover a new commodity under the same Submitter. Same meaning as loss that adversely affect production or policy terms and conditions, price, and applicant. revenue, such as to natural disasters, premium rates is not considered Sufficient quality. The material such as hail, drought, and floods. research. presented is complete, understandable National Agricultural Statistics Research and development costs. and unambiguous, so that a Service (NASS). An agency within Specific expenses incurred and directly disinterested third party can USDA, or its successor agency that related to the research and development understand, comprehend and make collects and analyzes data collected activities of a submission as authorized calculations, draw substantiated from producers and other sources. in § 400.712. conclusions or results to determine Non-reinsured supplemental policy Risk Management Agency (RMA). An whether the submission, concept (NRS). A policy, endorsement, or other agency within USDA that is authorized proposal, or index-based weather plan risk management tool not reinsured by to administer the crop insurance of insurance is, or can result in, a viable FCIC under the Act, that offers program on behalf of FCIC. and marketable insurance product with additional coverage, other than for loss Risk subsidy. The portion of the actuarially appropriate rates, reasonable related to hail. premium paid by FCIC on behalf of the expected market prices, provides Non-significant changes. Minor insured. meaningful coverage, and that protects changes to the policy or plan of Sales closing date. A date contained the interests of producers and program insurance, such as technical corrections, in the Special Provisions by which an integrity. The material must be that do not affect the rating or pricing application must be filed and the last presented in Microsoft Office format methodologies, the amount of subsidy date by which the insured may change and must also contain adequate owed, the amount or type of coverage, the crop insurance coverage for a crop information that is presented clearly FCIC’s reinsurance risk, or any other year. enough for the determination to be condition that does not affect liability or Secretary. The Secretary of the United made whether RMA has the resources to the amount of loss to be paid under the States Department of Agriculture. implement, administer, and deliver the policy. Revisions to approved plans Significant change. Any change to the submission effectively and efficiently. required by statutory or regulatory policy or plan of insurance that may Liability (guarantee), premium, and changes are included in this category. affect the rating and pricing indemnity are clearly defined and Changes to the policy that involve methodologies, the amount of subsidy consistent in calculation throughout the concepts that have been previously sent owed, the amount of coverage, the policy materials and appropriate for the for expert review are also included in interests of producers, FCIC’s commodity and the risks covered. As this category. reinsurance risk, or any condition that applicable, the policy, loss adjustment Plan of insurance. A class of policies, may affect liability or the amount of loss methods, underwriting procedures, and such as yield, revenue, or area based to be paid under the policy. actuarial rating and pricing

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methodologies must be clearly financial information in accordance 0801, Room 3053 South Building, identified and correspond to the risks with 5 U.S.C. 552(b)(4) and no Washington, DC 20250–0801. covered. information related to such submission, (e) In addition to the requirements in Targeted producer. Producers who are concept proposal, or index-based paragraph (a) of this section, a considered small, socially weather plan of insurance will be submission must be received not later disadvantaged, beginning and limited released by FCIC unless authorized in than 240 days prior to the earliest resource or other specific aspects writing by the applicant. proposed sales closing date to be designated by FCIC for review. (d) All submissions, concept considered for sale in the requested crop USDA. The United States Department proposals, and index-based weather year. of Agriculture. plans of insurance, will be kept (f) To be offered for sale in a crop User fees. Fees, approved by the confidential until approved by the year, there must be at least sixty days Board, that can be charged to approved Board and will be given an between the date the policy has been insurance provider for use of a policy or identification number for tracking approved by the Board and ready to be plan of insurance once the period for purposes, unless the applicant advises made available for sale and the earliest maintenance has expired that covers the otherwise. sales closing date, unless this expected maintenance costs to be requirement is waived by the Board. incurred by the submitter. § 400.703 Timing and format. (g) Notwithstanding, paragraph (f) of Viable and marketable. A (a) A submission, concept proposal, or this section, the Board, or RMA if determination by the Board based on a index-based weather plan of insurance authorized by the Board, shall detailed, written marketing plan may only be provided to FCIC during determine when sales can begin for a demonstrating that a sufficient number the first five business days in January, submission approved by the Board. of producers will purchase the product April, July, and October. § 400.704 Covered by this subpart. to justify the resources and expenses (b) A submission, concept proposal, required to offer the product for sale and (a) An applicant may submit to the or index-based weather plan of Board, in accordance with § 400.705, a maintain the product for subsequent insurance must be provided to FCIC in years. submission that is: the following format: (1) A policy or plan of insurance not § 400.702 Confidentiality and duration of (1) Electronic format, sent to the currently reinsured by FCIC; confidentiality. address in paragraph (d)(1) of this (2) One or more proposed revisions to (a) Pursuant to section 508(h)(4)(A) of section by the due date in paragraph (a) a policy or plan of insurance authorized the Act, prior to approval by the Board, of this section. The electronic copy must under the Act; or any submission submitted to the Board be provided as a single document so (3) Rates of premium for any policy or under section 508(h) of the Act, concept that when printed the order and content plan of insurance authorized under the proposal submitted under section 522 of exactly match the hard copy; and Act. the Act, or index-based weather plan of (2) Two hard copies, mailed to the (b) An applicant must submit to the insurance submitted under section addresses in paragraph (d)(2) of this Board, any significant change to a 523(i) of the Act, including any section and postmarked by the due date previously approved submission, information generated from the in paragraph (a) of this section. The including requests for expansion, prior submission, concept proposal, or index- hard copies must exactly match the to making the change in accordance based weather plan of insurance, will be electronic copy. with § 400.705. (c) An applicant may submit a considered confidential commercial or (c) Any submission, concept proposal, concept proposal to the Board prior to financial information for purposes of 5 or index-based weather plan of developing a full submission, in U.S.C. 552(b)(4) and will not be released insurance not provided within the first accordance with this subpart and the by FCIC to the public, unless the 5 business days of a month stated in Procedures Handbook 17030— applicant authorizes such release in paragraph (a) of this section will be Approved Procedures for Submission of writing. considered to have been provided in the (b) Once the Board approves a next month stated in paragraph (a). For Concept Proposals Seeking Advance submission or an index-based weather example, if an applicant provides a Payment of Research and Development plan of insurance, information provided submission on , it will be Expenses, which can be found on the with the submission (including considered to have been received on RMA Web site at www.rma.usda.gov. (d) An applicant who is an approved information from the concept proposal) April 1. insurance provider may submit an or the index-based weather plan of (d) Any submission, concept index-based weather plan of insurance insurance, or generated in the approval proposal, or index-based weather plan for consideration as a pilot program in process, may be released to the public, of insurance must be provided: accordance with this subpart and the as applicable, including any (1) In electronic format to the Deputy Procedures Handbook 17050— mathematical modeling and data, unless Administrator for Product Management Approved Procedures for Submission of it remains confidential business (or successor) at DeputyAdministrator@ Index-based Weather Plans of Insurance, information under 5 U.S.C. 552(b)(4). rma.usda.gov and the Administrator at which can be found on the RMA Web While the expert reviews are releasable [email protected]; and (2) In hard copy format, with one hard site at www.rma.usda.gov. once the submission or an index-based (e) An applicant must submit a non- copy provided to the Deputy weather plan of insurance has been reinsured supplemental policy or Administrator for Product Management approved, the names of the expert endorsement to RMA in accordance (or any successor position), USDA/Risk reviewers may be redacted to prevent with § 400.713. any harassment or undue pressure on Management Agency, Beacon Facility the expert reviewers. Mail Stop 0812, 9240 Troost Ave., § 400.705 Contents for new and changed (c) Any submission, concept proposal, Kansas City, MO 64131–3055, and one submissions, concept proposals, and or index-based weather plan of identical hard copy must be provided to indexed-based weather plans of insurance. insurance disapproved by the Board the Administrator, Risk Management (a) A complete submission must will remain confidential commercial or Agency, 1400 Independence Ave., Stop contain the following material, as

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applicable, in the order given, in a 3- executed between the applicant and (e) The fourth section must contain a ring binder for hard copies and in a FCIC; and marketing plan, including, as single Microsoft Word document file for (10) A statement of whether the applicable: electronic copies, with a table of submission will be filed with the (1) A list of counties and states where contents, page numbers, and section applicable office responsible for the submission is proposed to be dividers clearly labeling each section, as regulating insurance in each state offered; applicable. All relevant materials proposed for insurance coverage, and if (2) The amount of commodity (acres, should be provided in the designated not, reasons why the submission will head, board feet, etc.), the amount of section and not appended to the end of not be filed for review. production, and the value of each the submission. (c) The second section must contain agricultural commodity proposed to be (b) The first section will contain the benefits of the plan, including, as covered in each proposed county and general information numbered as applicable, a summary that includes: state; follows (1, 2, 3, etc.), including, as (1) How the submission offers (3) A reasonable estimate of expected applicable: coverage or other benefits not currently liability and premium, for each (1) The applicant’s name(s), address available from existing public or private proposed county and state and total or primary business location, phone programs; expected liability and premium by crop number, and email address; (2) The projected demand for the year based on the marketing plan and an (2) The type of submission (see submission, including support for and estimate of the market penetration of § 400.704) and a notation of whether or against development from market other similar products; not the submission was approved by the research, producers or producer groups, (4) If available, any insurance Board as a concept proposal; agents, lending institutions, and other experience for each year and in each (3) A statement of whether the interested parties that provide verifiable proposed county and state in which the applicant is requesting: evidence of demand; policy has been previously offered for (i) Reinsurance; (3) Potential impacts the submission sale including an evaluation of the (ii) Risk subsidy; may have on producers both where the policy’s performance and, if data are (iii) A&O subsidy; new plan will and will not be available available, a comparison with other (iv) Reimbursement for research and (include both positive and negative similar insurance policies reinsured development costs, as applicable and, if impacts); under the Act; the submission was previously (4) How the submission meets public (5) Focus group results, both positive submitted as a concept proposal, the policy goals and objectives consistent and negative reactions; amount of the advance payment for with the Act and other laws, as well as (6) Market research studies that expected research and development policy goals supported by USDA and include: costs; or the Federal Government; and (i) Evidence the proposed submission (v) Reimbursement for expected (5) A detailed description of the will be positively received by maintenance costs, if applicable; coverage provided by the submission producers; and (4) The proposed agricultural and its applicability to all producers, (ii) Market estimates that show commodities to be covered, including including targeted producers. demand and level of coverage for which types, varieties, and practices covered (d) Except as provided in this section, producers are willing to pay; by the submission; the third section must contain the (7) For submissions proposing (5) The crop or insurance year and policy, that is clearly written in plain products for specialty crops a reinsurance year in which the language in accordance with the Plain consultation report must be provided submission is proposed to be available Writing Act of 2010 (5 U.S.C. 301) such that includes a summary and analysis of for purchase by producers; that producers will be able to discussions with groups representing (6) The proposed sales closing date, if understand the coverage being offered. producers of those agricultural applicable, or if not applicable, the The policy language permits actuaries to commodities in all major producing earliest date the applicant expects to form a clear understanding of the areas for commodities to be served or release the product to the public; payment contingencies for which they potentially impacted, either directly or (7) The proposed area for the plan of will set rates. The policy language does indirectly, and the expected impact of insurance and if applicable, the reasons not encourage an excessive number of the proposed submission on the general why the submission is not being disputes or legal actions because of marketing and production of the crop proposed for other areas producing the misinterpretations. from both a regional and national commodity; (1) If the submission involves a new perspective including evidence that the (8) Any known or anticipated future insurance policy or plan of insurance: submission will not create adverse expansion plans; (i) All applicable policy provisions; market distortions; (9) Identification, including names, and (8) Effects upon the delivery system or addresses, telephone numbers, and (ii) A list of any additional coverage participants including: email addresses, of the person(s) that may be elected by the insured in (i) Estimated computer system responsible for: conjunction with the submission such impacts and costs; (i) Addressing questions regarding the as applicable endorsements (include a (ii) Estimated administrative and policy, underwriting rules, loss description of the coverage and how training costs; and adjustment procedures, rate and price such coverage may be obtained). (iii) What, if any, efficiency will be methodologies, data processing and (2) If the submission involves a gained; record-keeping requirements, and any change to a previously approved policy, (9) Correspondence from producers other questions that may arise in plan of insurance, or rates of premium, expressing the need for such policy or implementing or administering the the proposed revisions, rationale for plan of insurance; and program if it is approved; and each change, data and analysis (10) A commitment in writing from at (ii) Annual reviews to ensure supporting each change, the impact of least one approved insurance provider compliance with all requirements of the each change, and the impact of all to sell and support the policy or plan of Act, this subpart, and any agreements changes in aggregate. insurance.

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(f) The fifth section must contain the minimum sample requirements, row depicting good and poor actuarial information related to the underwriting width factors, etc.). experience. and loss adjustment of the submission, (g) The sixth section must contain (h) The seventh section must contain including as applicable: information related to prices and rates forms, instructions for completing (1) Detailed rules for determining of premium, including, as applicable: forms, and statements for all forms insurance eligibility, including all (1) A detailed description of the applicable to the submission in a format producer reporting requirements; specific premium rating methodology compatible with the Document and (2) Relevant dates; proposed to be used and the basis for Supplemental Standards Handbook (3) Step by step examples of the data selection of the rating methodology; (FCIC 24040) found at http:// and calculations needed to establish the (2) A list of all assumptions made in www.rma.usda.gov/handbooks/24000/ insurance guarantee (liability) and the premium rating and commodity index.html. premium per acre or other unit of pricing methodologies, and the basis for (i) The eighth section must contain measure, including worksheets that these assumptions; the following: provide the calculations in sufficient (3) A detailed description of the (1) A statement certifying that the detail and in the same order as pricing and rating methodologies, submitter and any approved insurance presented in the policy to allow including: provider or its affiliates will not solicit verification that the premiums charged (i) Supporting documentation; or market the submission until at least for the coverage are consistent with (ii) All mathematical formulas and 60 days after all policy materials are policy provisions; equations; released to the public by RMA, unless (iii) Data and data sources used in (4) Step-by-step examples of otherwise specified by the Board; determining rates and prices and a calculations used to determine (2) An explanation of any provision of detailed assessment of the data and how indemnity payments for all probable the policy not authorized under the Act it supports the proposed rates and situations where a partial or total loss and identification of the portion of the prices; may occur; rate of premium due to these provisions; (iv) A detailed explanation of how the (5) A detailed description of the and rates account for each of the risks causes of loss covered by the policy or (3) If applicable, agent and loss plan of insurance and any causes of loss covered by the policy; and (v) A detailed explanation of how the adjuster training plans. excluded; (j) The ninth section must contain a (6) Any statements to be included in prices are applicable to the policy; statement from the submitter that, if the the actuarial documents including any (4) An example of both a rate submission is approved, the submitter intended Special Provisions statements calculation and a price calculation; will work with RMA and its computer that may change any underlying policy (5) A discussion of the applicant’s programmers as needed to assure an terms or conditions; and objective evaluation of the accuracy of effective and efficient implementation (7) The loss adjustment standards the data, the short and long term process. The applicant must consult handbook for the policy or plan of availability of the data, and how the with RMA to determine whether or not insurance that includes: data will be obtained (if the data source (i) A table of contents and is confidential or proprietary explain the submission can be effectively and introduction; the cost of obtaining the data); and efficiently implemented and (ii) A section containing (6) An analysis of the results of administered through the current abbreviations, acronyms, and simulations or modeling showing the information technology standards and definitions; performance of proposed rates and systems. (iii) A section containing insurance commodity prices, as applicable, based (1) If FCIC approves the submission contract information (insurability on one or more of the following (Such and determines that its information requirements; Crop Provisions not simulations must use all years of technology systems have the capacity to applicable to catastrophic risk experience available to the applicant implement and administer the protection; specific unit division and must reflect both partial losses and submission, the applicant must provide guidelines, if applicable; notice of total losses): a document detailing acceptable damage or loss provisions; quality (i) A recalculation of total premium computer processing requirements adjustment provisions; etc.); and losses compared to a similar or consistent with those used by RMA as (iv) A section that thoroughly comparable insurance plan offered shown on the RMA Web site in the explains appraisal methods, if under the authority of the Act with Appendix III/M–13 Handbook. This applicable; modifications, as needed, to represent information details the acceptable (v) Illustrative samples of all the the components of the submission; computer processing requirements in a applicable forms needed for insuring (ii) A simulation that shows liability, manner consistent with that used by and adjusting losses in regards to the premium, indemnity, and loss ratios for RMA to facilitate the acceptance of submission, plus detailed instructions the proposed insurance product based producer applications and related data. for their use and completion; on the probability distributions used to (2) Any computer systems, (vi) Instructions, examples of develop the rates and commodity prices, requirements, code and software must calculations, and loss adjustment as applicable, including sensitivity tests be consistent with that used by RMA procedures that are necessary to that demonstrate price or yield and comply with the standards establish the amounts of coverage and extremes, and the impact of established in Appendix III/M–13 loss; inappropriate assumptions; or Handbook, or any successor document, (vii) A section containing any special (iii) Any other comparable simulation of the SRA or other reinsurance coverage information (i.e., replanting, that provides results indicating both agreement as specified by FCIC. tree replacement or rehabilitation, aggregate and individual performance of (3) These requirements are available prevented planting, etc.), as applicable; the submission including expected from the USDA/Risk Management and liability, premium, indemnity, and loss Agency, Beacon Facility Mail Stop 0812, (viii) A section containing all ratios for the proposed insurance 9240 Troost Ave., Kansas City, MO applicable reference material (i.e., product, under various scenarios 64131–3055, or on RMA’s Web site at

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http://www.rma.usda.gov/data/#m13, or submits the index-based weather plan of the results of RMA’s initial review, to a successor Web site. insurance must provide evidence they the Board for its determination of (k) The tenth section submitted on have: completeness. separate pages and in accordance with (1) Adequate experience underwriting (b) Upon the Board’s receipt of a §§ 400.712 must specify: and administering policies or plans of submission, the Board will: (1) On one page, the amount received insurance that are comparable to the (1) Determine if the submission is for an advance payment, an estimate of proposed policy of plan of insurance; complete (The date the Board votes to the total amount of reimbursement for (2) Sufficient assets or reinsurance to contract with the expert reviewers is the research and development costs (new satisfy the underwriting obligations of date the submission is deemed to be products only) or an estimate for the approved insurance provider, and complete for the start of the 120 day maintenance costs for the year that the possess a sufficient insurance credit time-period for approval); submission will be effective (for rating from an appropriate credit rating (2) Unless the submission makes non- products that are within the bureau; and significant changes to a policy or plan maintenance period); and (3) Applicable authority and approval of insurance, or involves policy (2) On another page, a detailed from each State in which the approved provisions that have already undergone estimate of maintenance costs for future insurance provider intends to sell the expert review, forward the complete years of the maintenance period and the insurance product. submission to at least five expert basis that such maintenance costs will reviewers to review the submission: be incurred, including, but not limited § 400.706 Review. (i) Of the five expert reviewers, no to: (a) Prior to providing a submission, more than one will be employed by the (i) Any anticipated expansion; concept proposal, or index-based Federal Government, and none may be (ii) Anticipated changes or updates to weather plan of insurance to the Board, employed by any approved insurance policy materials; RMA will: provider or their representative; and (iii) The generation of premium rates; (1) Review the submission, concept (ii) The expert reviewers will each (iv) The determination of prices; and proposal, or index-based weather plan provide their individual assessment of (v) Any other costs that the applicant of insurance to determine if all required whether the submission: anticipates will be requested for documentation is included in (A) Protects the interests of reimbursement of maintenance costs or accordance with § 400.705; agricultural producers and taxpayers; expenses; (2) Review the submission, concept (B) Is actuarially appropriate; (l) The eleventh section must contain proposal, or index-based weather plan (C) Follows appropriate insurance executed (signed) certification of insurance to determine whether it is principles; statements in accordance with the of sufficient quality to conduct a (D) Meets the requirements of the Act; (E) Does not contain excessive risks; following: meaningful review such that the Board (F) Follows sound, reasonable, and (1) ‘‘{Applicant’s Name} hereby claim will be able to make an informed appropriate underwriting principles; that the basis and amounts set forth in decision regarding approval or (G) Will provide a new kind of this section and § 400.712 are correct disapproval; coverage that is likely to be viable and and due and owing to {Applicant’s (3) In accordance with section } marketable; Name by FCIC under the Federal Crop 508(h)(1)(B) of the Act, at its sole (H) Will provide crop insurance Insurance Act’’; and discretion, determine if the policy or { } coverage in a manner that addresses a (2) ‘‘ Applicant Name understands plan of insurance: clear and identifiable flaw or problem in that, in addition to criminal fines and (i) Will likely result in a viable and an existing policy; imprisonment, the submission of false marketable policy; (I) Will provide a new kind of or fraudulent statements or claims may (ii) Will provide crop insurance coverage for a commodity that result in civil and administrative coverage in a significantly improved previously had no available crop sanctions.’’ form; and insurance, or has demonstrated a low (m) The contents required for concept (iii) Adequately protect the interests level of participation or coverage level proposals are found in the Procedures of producers. under existing coverage; Handbook 17030—Approved (4) Except for submissions developed (J) May have a significant adverse Procedures for Submission of Concept from a concept proposal funded for impact on the crop insurance delivery Proposals Seeking Advance Payment of advanced payment by the Board, reject system; Research and Development Expenses. In and return any submission, concept (K) Contains a marketing plan that addition, the proposal must provide a proposal, or indexed based weather plan reasonably demonstrates the product detailed description of why the concept of insurance that: would be viable and marketable; provides insurance: (i) Does not contain all the required (L) If applicable, contains a (1) In a significantly improved form; information or is not of sufficient consultation report that provides (2) To a crop or region not quality to conduct a meaningful review; evidence the submission will not create traditionally served by the Federal crop (ii) Is unlikely result in a viable and adverse market distortions; and insurance program; or marketable policy; (M) Meets any other criteria the Board (3) In a form that addresses a (iii) Will not provide crop insurance may deem necessary; recognized flaw or problem in the coverage in a significantly improved (3) Return to the applicant any program; form; and submission the Board determines is not (n) The contents required for index- (iv) Will not adequately protect the complete, along with an explanation of based weather plans of insurance are interests of producers. the reason for the determination and: found in the Procedures Handbook (5) Except as provided in paragraph (i) With respect to submissions 17050—Approved Procedures for (a)(4) of this section or if the submission developed from approved concept Submission of Index-based Weather was developed from an approved proposals, the provisions in Plans of Insurance. In accordance with concept proposal, forward the § 400.712(c)(1) shall apply; and the Board approved procedures, the submission, concept proposal, or index- (ii) Except for submissions developed approved insurance provider that based weather plan of insurance, and from concept proposals, if the

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submission is resubmitted at a later plan of insurance would, in good faith, of insurance that provide a new kind of date, it will be considered a new would meet the requirement of being coverage for specialty crops and submission solely for the purpose of likely to result in a viable and livestock commodities that previously determining the amount of time that the marketable policy consistent with had no available crop insurance, or has Board must take action; section 508(h); demonstrated a low level of (4) For complete submissions: (5) At its sole discretion, determine participation under existing coverage; (i) Request review by RMA to provide whether the concept proposal, if and its assessment of whether the developed into a policy or plan of (5) Unless all the requirements for submission: insurance would meet the requirement approval of index-based weather plans (A) Meets the criteria listed in of providing coverage: of insurance in this subsection are met subsections (b)(2)(ii)(A) through (M); (i) In a significantly improved form; or reasons for notice of disapproval exist (B) Is consistent with USDA’s public (ii) To a crop or region not as specified in paragraph (m) of this policy goals; traditionally served by the Federal crop section, provide a notice of intent to (C) Does not increase or shift risk to insurance program; or disapprove including the reasons for the any other FCIC reinsured policy; (iii) In a form that addresses a intent to disapprove. (D) Can be implemented, recognized flaw or problem in the (e) All comments and evaluations will administered, and delivered effectively program; be provided to the Board by a date and efficiently using RMA’s information (6) Determine whether the proposed determined by the Board to allow the technology and delivery systems; and budget and timetable are reasonable; Board adequate time for review. (E) Contains requested amounts of (7) Determine whether the concept (f) The Board will consider all government reinsurance, risk subsidy, proposal meets all other requirements comments, evaluations, and and administrative and operating imposed by the Board or as otherwise recommendations in its review process. subsidies that are reasonable and specified in Procedures Handbook Prior to making a decision, the Board appropriate for the type of coverage 17030—Approved Procedures for may request additional information provided by the policy submission; and Submission of Concept Proposals from RMA, OGC, the expert reviewers, (ii) Seek review from the Office of the Seeking Advance Payment of Research or the applicant. General Counsel (OGC) to determine if and Development Expenses; (g) In considering whether to approve the submission conforms to the (8) Provide a date by which the a submission and when such requirements of the Act and all submission must be provided in submission will be offered for sale, the applicable Federal statutes and consultation with the applicant; and Board will: regulations. (9) Unless all the requirements for (1) First, consider policies or plans of (5) Unless all the requirements for approval of concept proposals in this insurance that address underserved approval for submissions in this subsection are met or reasons for commodities, including commodities subsection are met or reasons for notice disapproval exist as specified in for which there is no insurance; of disapproval exist as specified in subsection (l), provide a notice of (2) Second, consider existing policies subsection (k), provide a notice of intent disapproval, including the reasons for or plans of insurance for which there is to disapprove, including the reasons for disapproval. inadequate coverage or there exists low the intent to disapprove. (d) Upon the Board’s receipt of an levels of participation; and (c) Upon the Board’s receipt of a index-based weather plan of insurance, (3) Last, consider all policies or plans concept proposal, the Board will: the Board will: of insurance submitted to the Board that (1) Determine whether the concept (1) Determine whether the index- do not meet the criteria described in proposal is complete (The date the based weather plan of insurance is paragraph (g)(1) or (2) of this section. Board votes to contract with expert complete (The date the Board votes to (h) At any time an applicant may reviewers is the date the concept contract with expert reviewers is the request a time delay after the proposal is deemed to be a complete date the index-based weather plan of submission, concept proposal, or index- concept proposal for the start of the 120 insurance is deemed to be a complete based weather plan of insurance has day time-period for approval); for the start of the 120 day time-period been placed on the Board meeting (2) If complete, forward the complete for approval); agenda. The Board is not required to concept proposal to at least two expert (2) If determined to be complete, agree to such an extension. reviewers with underwriting or actuarial contract with five expert reviewers and (1) With respect to submissions from experience to review the concept in review the index-based weather plan of concept proposals approved by the accordance with section 522(b)(2) of the insurance in accordance with section Board for advanced payment, the Act, this subpart, and Procedures 523(i) of the Act, this subpart, and applicant must provide good cause why Handbook 17030—Approved Procedures Handbook 17050— consideration should be delayed. Procedures for Submission of Concept Approved Procedures for Submission of (2) Any requested time delay is not Proposals Seeking Advance Payment of Index-based Weather Plans of Insurance; limited in the length of time unless a Research and Development Expenses; (3) Return to the applicant any index- date is set by the Board by which all (3) Return to the applicant any based weather plan of insurance the revisions to the submission, concept concept proposal the Board determines Board determines is not complete, along proposal or indexed-based weather plan is not complete, along with an with an explanation of the reason for the of insurance must be made. However, explanation of the reason for the determination (If the index-based delays may make implementation of the determination (If the concept proposal weather plan of insurance is submission for the targeted crop year is resubmitted at a later date, it will be resubmitted at a later date, it will be impractical or impossible as determined considered a new concept proposal considered a new index-based weather by the Board. solely for the purposes of determining plan of insurance solely for the (3) The time period during which the the amount of time that the Board must purposes of determining the amount of Board will make a decision to approve take action); time that the Board must take action); or disapprove the submission, concept (4) Determine whether the concept (4) Give the highest priority for proposal or indexed-based weather plan proposal, if developed into a policy or approval of index-based weather plans of insurance shall be extended

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commensurately with any time delay (3) The submission does not conform later than 120 days after the Board has requested by the applicant. to sound insurance and underwriting determined it to be complete. (i) The applicant may withdraw a principles; (o) If a notice of intent to disapprove submission, concept proposal, index- (4) The risks associated with the all or part of a submission or index- based weather plan of insurance, or a submission are excessive or it increases based weather plan of insurance has portion of a submission or concept or shifts risk to another reinsured been provided by the Board, the proposal, at any time by presenting a policy; applicant must provide written notice to request to the Board. A withdrawn (5) The submission does not meet the the Board not later than 30 days after submission, concept proposal or index- requirements of the Act; or the Board provides such notice if the based weather plan of insurance that is (6) The 90 day deadline under submission or index-based weather plan resubmitted will be deemed a new subsection (i) will expire before the of insurance will be modified. If the submission, concept proposal, or index- Board has time to make an informed applicant does not respond within the based weather plan of insurance solely decision to approve or disapprove the 30-day period, the Board will send the for the purposes of determining the submission. applicant a letter stating the submission amount of time that the Board must take (l) The Board may disapprove a or index-based weather plan of action. concept proposal if it determines: insurance is disapproved. (j) The Board will render a decision (1) The concept, in good faith, will (p) If the applicant elects to modify on a submission, concept proposal, or not likely result in a viable and the submission or index-based weather indexed-based weather plan of marketable policy consistent with plan of insurance: insurance, with or without revision section 508(h); (1) The applicant must advise the within 90 days after the date the (2) At the sole discretion of the Board, Board of a date by which the modified submission, concept proposal, or the concept, if developed into a policy submission or index-based weather plan indexed-based weather plan of and approved by the Board, would not of insurance will be presented to the insurance is considered complete by the provide crop insurance coverage: Board; and Board, unless the Board agrees to a time (i) In a significantly improved form; (2) The remainder of the time left delay in accordance with paragraph (h) (ii) To a crop or region not between the Board’s notice of intent to of this section. Failure to approve a traditionally served by the Federal crop disapprove and the expiration of the 120 submission, concept proposal, or insurance program; or day deadline is tolled until the modified (iii) In a form that addresses a indexed-based weather plan of submission or index-based weather plan recognized flaw or problem in the insurance constitutes intent to give of of insurance is received by the Board. program; (3) The Board will disapprove a intent to disapprove a submission or (3) The proposed budget and modified submission or index-based index-based weather plan of insurance timetable are not reasonable, as weather plan of insurance if the: or disapproval of a concept proposal. determined by the Board; or (i) Causes for disapproval stated by (k) The Board may provide a notice of (4) The concept proposal fails to meet the Board in its notification of intent to intent to disapprove a submission if it one or more requirements established by disapprove the submission or index- determines: the Board. based weather plan of insurance are not (1) The interests of producers and (m) The Board may provide a notice satisfactorily addressed; taxpayers are not protected, including of intent to disapprove an index-based (ii) Board determines there is but not limited to: weather plan of insurance if it insufficient time for the Board to finish (i) The submission does not provide determines there is not: its review before the expiration of the adequate coverage or treats producers (1) Adequate experience underwriting 120-day deadline for disapproval of a disparately; and administering policies or plans of submission or index-based weather plan (ii) The applicant has not presented insurance that are comparable to the of insurance, unless the applicant grants sufficient documentation that the proposed policy or plan of insurance; the Board an extension of time to submission will provide a new kind of (2) Sufficient assets or reinsurance to adequately consider the modified coverage that is likely to be viable and satisfy the underwriting obligations of submission or index-based weather plan marketable; the approved insurance provider, and of insurance (If an extension of time is (iii) Coverage would be similar to possess a sufficient insurance credit agreed upon, the time period during another policy or plan of insurance that rating from an appropriate credit rating which the Board must act on the has not demonstrated a low level of bureau, in accordance with Board modified submission or index-based participation or does not contain a clear procedures; and weather plan of insurance will tolled and identifiable flaw, and the producer (3) Applicable authority and approval during the extension); or would not significantly benefit from the from each State in which the approved (iii) Applicant does not present a submission; insurance provider intends to sell the modification of the submission or (iv) The submission may create insurance product. index-based weather plan of insurance adverse market distortions or adversely (n) Unless otherwise provided for in to the Board on the date the applicant impact other crops or agricultural this section: specified and the applicant does not commodities if marketed; (1) If the Board intends to disapprove request an additional time delay. (v) The submission will have a a submission or index-based weather (q) If the Board fails to render a significant adverse impact on the plan of insurance or disapproves a decision on a new submission or index- private delivery system; or concept proposal, the Board will based weather plan of insurance within (vi) The submission cannot be provide the applicant with a written the time periods specified in paragraph implemented, administered, and explanation outlining the basis for the (j) or (n) of this section, such submission delivered effectively and efficiently intent to disapprove or disapproval; and or index-based weather plan of using RMA’s information technology (2) Any approval or disapproval of a insurance will be deemed approved by and delivery systems; submission, concept proposal, or index- the Board for the initial reinsurance year (2) The premium rates are not based weather plan of insurance must designated for the submission or index- actuarially appropriate; be made by the Board in writing not based weather plan of insurance. The

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Board must approve the submission or (5) The property rights to the (ii) Significant changes will be index-based weather plan of insurance submission will automatically transfer considered a new submission; for it to be available for any subsequent to FCIC if the applicant elects not to (3) Except as provided in paragraph reinsurance year. maintain the submission under (a)(4) of this section, the applicant is § 400.712(a)(3) or fails to notify FCIC of solely liable for any mistakes, errors, or § 400.707 Presentation to the Board for flaws in the submitted policy, plan of approval or disapproval. its decision to elect or not elect maintenance of the program under insurance, their related materials, or the (a) The Board will inform the § 400.712(l). rates of premium that have been applicant of the date, time, and place of (b) Requirements and procedures for approved by the Board unless the policy the Board meeting. or plan of insurance is transferred to (b) The applicant will be given the approved index-based weather plans of FCIC in accordance with § 400.712(l) opportunity and is encouraged to insurance are contained in Procedures (The applicant remains liable for any present the submission, concept Handbook 17050—Approved mistakes, errors, or flaws that occurred proposal, or index-based weather plan Procedures for Submission of Index- prior to transfer of the policy or plan of of insurance to the Board in person. The based Weather Plans of Insurance. In accordance with the Board approved insurance to FCIC); applicant must confirm in writing, (4) If the mistake, error, or flaw in the email or fax whether the applicant will procedures, index-based weather plans policy, plan of insurance, their related present in person to the Board. of insurance are not eligible for federal materials, or the rates of premium is (c) If the applicant elects not to reinsurance, but may be approved for present the submission, concept risk subsidy and A&O subsidy. discovered more than 45 days prior to the cancellation or termination date for proposal, or index-based weather plan § 400.709 Roles and responsibilities. of insurance to the Board, the Board will the policy or plan of insurance, the make its decision based on the (a) With respect to the applicant: applicant may request in writing that information provided in accordance (1) The applicant is responsible for: FCIC withdraw the approved policy, with § 400.705 and § 400.706. (i) Preparing and ensuring that all plan of insurance, or rates of premium: policy documents, rates of premium, (i) Such request must state the § 400.708 Post approval. prices, and supporting materials, discovered mistake, error, or flaw in the (a) After a submission is approved by including actuarial documents, are policy, plan of insurance, or rates of the Board, and prior to it being made submitted by the deadline specified by premium, and the expected impact on available for sale to producers: FCIC, in the form approved by the the program; and (1) The following must be executed, Board, and are in compliance with (ii) For all timely received requests for as applicable: Section 508 of the Rehabilitation Act; withdrawal, no liability will attach to (i) If required by FCIC, an agreement (ii) Annually updating and providing such policies, plans of insurance, or between the applicant and FCIC that maintenance changes no later than 180 rates of premium that have been specifies: days prior to the earliest contract change withdrawn and no producer, approved (A) In addition to the requirements in date for the commodity in all counties insurance provider, or any other person § 400.709, responsibilities of each with or states in which the policy or plan of will have a right of action against the respect to the implementation, delivery insurance is sold; applicant; and maintenance of the submission; and (iii) Timely addressing responses to (5) Notwithstanding the policy (B) The required timeframes for procedural issues, questions, problems provisions regarding cancellation, any submission of any information and or clarifications in regard to a policy or policy, plan of insurance, or rates of documentation needed to administer the plan of insurance (all such resolutions premium that have been withdrawn by approved submission; the applicant, in accordance with (ii) A reinsurance agreement if terms for approved submissions will be communicated to all approved paragraph (a)(4) of this section is and conditions differ from the available deemed canceled and applications are existing reinsurance agreements; and insurance providers through FCIC’s official issuance system); and deemed not accepted as of the date that (iii) A training package to facilitate FCIC publishes the notice of withdrawal (iv) If requested by the Board, implementation of the approved on its Web site at www.rma.usda.gov. providing an annual review of the submission; (i) Approved insurance providers will policy’s performance, in writing to the (2) The Board may limit the be notified in writing by FCIC that the Board, 180 days prior to the contract availability of coverage, for any policy policy, plan of insurance, or premium change date for the plan of insurance or plan of insurance developed under rates have been withdrawn; and the authority of the Act and this (The first annual report will be (ii) Producers will have the option of regulation, on any farm or in any county submitted one full year after selecting any other policy or plan of or area; implementation of an approved policy insurance authorized under the Act that (3) A submission approved by the or plan of insurance, as agreed to by the is available in the area by the sales Board under this subpart will be made submitter and RMA); closing date for such policy or plan of available to all approved insurance (2) Only the applicant may make insurance; and providers under the same reinsurance, changes to the policy, plan of insurance, (6) Failure of the applicant to perform subsidy, and terms and conditions as or rates of premium approved by the all of the applicant’s responsibilities received by the applicant; Board: may result in the withdrawal of (4) Any solicitation, sales, marketing, (i) Any changes to approved approval for the policy or plan of or advertising of the approved submissions, both non-significant and insurance. submission by the applicant before FCIC significant, must be submitted to FCIC (b) With respect to FCIC: has made the policy materials available in the form of a submission for review (1) FCIC is responsible for: to all interested parties through its in accordance with this subpart no later (i) Conducting a review of the official issuance system will result in than 180 days prior to the earliest submission in accordance with the denial of reinsurance, risk subsidy, contract change date for the commodity § 400.706 and providing its and A&O subsidy for those policies in all counties or states in which the recommendations to the Board; affected; and policy or plan of insurance is sold; and (ii) With respect to submissions:

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(A) Ensuring that all approved § 400.711 Right of review, modification, FCIC for the submission, and no insurance providers receive the and the withdrawal of approval. additional amounts will be owed to the approved policy or plan of insurance, (a) At any time after approval, the applicant if the submission is and related material, for sale to Board may review any policy, plan of transferred to FCIC in accordance with producers in a timely manner (All such insurance, related material, or rates of paragraph (l) of this section; and information shall be communicated to premium approved under this subpart, (3) If the applicant elects at any time all approved insurance providers including index-based weather plans of not to continue to maintain the through FCIC’s official issuance system); insurance and request additional submission, it will automatically (B) As applicable, ensuring that information to determine whether the become the property of FCIC and the approved insurance providers receive policy, plan of insurance, related applicant will no longer have any reinsurance under the same terms and material, or rates of premium comply property rights to the submission and conditions as the applicant (Approved with the requirements of this subpart. will not receive any user fees for the (b) The Board will notify the insurance providers should contact plan of insurance; applicant of any problem or issue that FCIC to obtain and execute a copy of the (b) The Board approved procedures may arise and allow the applicant an reinsurance agreement) if required; and and time-frames must be followed, or opportunity to make any needed research and development costs and (C) Reviewing the activities of change. If the contract change date has maintenance costs may not be approved insurance providers, agents, passed, the applicant will be liable for reimbursed, unless otherwise loss adjusters, and producers to ensure such problems or issues for the crop determined by the Board. that they are in accordance with the year in accordance with § 400.709 until (1) After a submission has been terms of the policy or plan of insurance, the policy may be changed. approved by the Board for reinsurance, the reinsurance agreement, and all (c) The Board may withdraw approval to be considered for reimbursement of: applicable procedures; for the applicable policy, plan of (i) Research and development costs, (2) FCIC will not be liable for any insurance or rate of premium, including the applicant must submit the total mistakes, errors, or flaws in the policy, index-based weather plans of insurance, amount requested and all supporting plan of insurance, their related as applicable, if: documentation to FCIC by electronic materials, or the rates of premium and (1) The applicant fails to perform the method or by hard copy and such no cause of action may be taken against responsibilities stated under information must be received by FCIC FCIC as a result of such mistake, error, § 400.709(a); on or before immediately or flaw in a submission or index-based (2) The applicant does not timely and following the date the submission was weather plan of insurance submitted satisfactorily provide materials or released to approved insurance under this subpart; resolve any issue to the Board’s providers through FCIC’s issuance satisfaction so that necessary changes system; or (3) If at any time prior to the can be made prior to the earliest cancellation date, FCIC discovers there (ii) Maintenance costs, the applicant contract change date; must submit the total amount requested is a mistake, error, or flaw in the policy, (3) The Board determines the plan of insurance, their related and all supporting documentation to applicable policy, plan of insurance or FCIC by electronic method or by hard materials, or the rates of premium, or rate of premium, including index-based any other reason for withdrawal of copy and such information must be weather plans of insurance is not in received by FCIC on or before August 1 approval contained in § 400.706(k) conformance with the Act, these exists, FCIC will deny reinsurance for of each year of the maintenance period. regulations or the applicable (2) Given the limitation on funds, such policy or plan of insurance (If procedures; reinsurance is denied, a written notice regardless of when the request is (4) The policy, plan of insurance, or received, no payment will be made prior will be provided to on RMA’s Web site rates of premium are not sufficiently at www.rma.usda.gov); to of the applicable fiscal marketable according to the applicant’s year. (4) If maintenance of the policy or estimate in the submission or fails to (c) Applicants submitting a concept plan of insurance is transferred to FCIC perform sufficiently as determined by proposal may request an advance in accordance with § 400.712(l), FCIC the Board; or payment of up to 50 percent of the will assume liability for the policy or (5) The interest of producers or tax projected total research and plan of insurance for any mistake, error, payers is not protected or the development costs, and after the or flaw that occur after the date the continuation of the program raises applicant has begun research and policy is transferred. questions or issues of program integrity. development activities, the Board may (c) If approval by the Board is § 400.712 Research and development at its sole discretion provide up to an withdrawn or reinsurance is denied for reimbursement, maintenance additional 25 percent advance payment any submission, the approved insurance reimbursement, advance payments for of the estimated research and provider must cancel the policy or plan concept proposals, and user fees. development costs, if requested in of insurance in accordance with its (a) For submissions approved by the accordance with Procedures Handbook terms. Board for reinsurance under section 17030—Approved Procedures for 508(h) of the Act: Submission of Concept Proposals § 400.710 Preemption and premium Seeking Advance Payment of Research taxation. (1) The submission may be eligible for a one-time payment of research and and Development Expenses. A policy or plan of insurance that is development costs and reimbursement (1) If a concept proposal is approved approved by the Board for FCIC of maintenance costs for up to four by the Board for advance payment, the reinsurance is preempted from state and reinsurance years, as determined by the applicant is responsible for local taxation. This preemption does not Board; independently developing a submission apply to index-based weather plans of (2) Reimbursement of research and that is complete and of sufficient quality insurance approved for premium development costs or maintenance costs as specified in this subpart by the subsidy or A&O subsidy under this part. will be considered as payment in full by deadline set by the Board.

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(i) If an applicant fails to fulfill the (2) Exceed the amount authorized by (A) One line per employee or obligation to provide a submission that law, each applicant’s reimbursement contractor, include job title, total hours, is complete and of sufficient quality by determined reasonable by the Board will and total dollars; the deadline set by the Board, the Board be determined by dividing the total (B) The rates charged must be shall provide a notice of non- amount of each individual applicant’s commensurate with the tasks performed compliance to the applicant and allow reimbursable costs authorized in (For example, a person performing the not less than 30 days for the applicant paragraphs (e) through (j) of this section task of data entry should not be paid at to respond; by the total amount of the aggregate of the rate for performing data analysis); (ii) If the applicant fails to respond, to all applicants’ reimbursable costs (C) The wage rate and benefits shall the satisfaction of the Board, with just authorized in paragraphs (e) through (j) not exceed two times the hourly wage cause as to why a submission that is for the year and multiplying the result rate plus benefits provided by the complete and of sufficient quality was by the amount of reimbursement Bureau of Labor Statistics; and not provided by the deadline set by the authorized under the Act. (D) The applicant must report any Board, the applicant shall return the (e) The amount of reimbursement for familial or business relationship that amount of the advance payment plus research and development costs exists between the applicant and the interest at the rate of 1.25 percent requested by the applicant may be contractor or employee (Reimbursement simple interest per calendar month; reduced based on: may be limited or denied if the (iii) If the applicant responds, to the (1) The complexity of the policy, plan contractor or employee is associated to satisfaction of the Board, with just cause of insurance, or rates of premium, so the applicant and they may be as to why a submission that is complete requests for reimbursements for considered as one and the same. This and of sufficient quality was not submissions: includes a separate entity being created by the applicant to conduct research provided by the deadline set by the (i) Adding commodities to existing and development. Reimbursement may Board, the applicant will be given a new plans of insurance (i.e., Yield Protection be limited or denied if the contractor is deadline by which to provide a and Revenue Protection under the paid a salary or other compensation); submission that is complete and of Common Crop insurance Policy Basic sufficient quality; and (ii) Travel and transportation (One Provisions, Area Risk Protection, Actual line per event, include the job title, (iv) If the applicant fails to provide a Revenue History, Whole Farm, Rainfall submission that is complete and of destination, purpose of travel, lodging Index, Vegetative Index, etc.) may be cost, mileage, air or other identified sufficient quality by the deadline, no reduced by as much as 20 percent; additional extensions will be approved transportation costs, food and (ii) Using existing rating miscellaneous expenses, other costs, by the Board and the applicant shall methodologies or commodity prices or a return the amount of the advance and the total cost); price methodology may be reduced by (iii) Software and computer payment plus interest at the rate of 1.25 as much as 10 percent; programming developed specifically to percent simple interest per calendar (iii) Using existing policy provisions, determine appropriate rates, prices, or month. procedures, etc., may be reduced by as coverage amounts (Identify the item, (2) If an applicant receives an advance much as 10 percent; and include the purpose, and provide payment for a portion of the expected (2) The scope as measured by the receipts or contract or straight-time research and development costs for a agricultural commodities proposed to be hourly wage, hours, and total cost. concept proposal that is developed into covered or geographic area the proposed Software developed to send or receive a submission and determined by the submission will cover, as determined by data between the producer, agent, Board to be complete and of sufficient FCIC so requests for reimbursements for approved insurance provider or RMA or quality, but the submission is not submissions: such other similar software may not be approved by the Board following expert included as an allowable cost); review, the Board will not: (i) That cover a single commodity may be reduced by 10 percent; and (iv) Miscellaneous expenses such as (i) Seek a refund of any advance postage, telephone, express mail, and payments for research and development (ii) That cover a small geographic area compared to the total growing area for printing (Identify the item, cost per unit, costs; and number of items, and total dollars); and (ii) Make any further research and the commodity may be reduced by 10 percent. (v) Training costs expended to development cost reimbursements facilitate implementation of a new associated with the submission. (f) Research and development and maintenance costs must be supported by approved submission (Include (d) Under section 522 of the Act, there instructor(s) hourly rate, hours, and cost are limited funds available on an annual itemized statements and supporting documentation (copies of contracts, of materials and travel) conducted at a fiscal year basis to pay for national level, directed to all approved reimbursements of research and billing statements, time sheets, travel vouchers, accounting ledgers, etc.). insurance providers interested in selling development costs (including advance the submission, and approved prior to (1) Actual costs submitted will be payments for concept proposals) and the training by RMA). maintenance costs. Consistent with examined for reasonableness and may (3) The following expenses are paragraphs (e) through (j) of this section be adjusted at the sole discretion of the specifically not eligible for research and if all applicants’ requests for Board. development and maintenance cost reimbursement of research and (2) Allowable research and reimbursement: development costs (including advance development costs and maintenance (i) Copyright fees, patent fees, or any payments for concept proposals) and costs (directly related to research and other charges, costs or expenses related maintenance costs in any fiscal year: development or maintenance of the to the use of intellectual property; (1) Do not exceed the maximum submission only) may include the (ii) Training costs, excluding training amount authorized by law, the following: costs to facilitate implementation of the applicants may receive the full amount (i) Wages and benefits, exclusive of approved submission in accordance of reimbursement determined bonuses, overtime pay, or shift with subsection (f)(2)(v); reasonable by the Board; or differentials; (iii) State filing fees and expenses;

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(iv) Normal ongoing administrative Board, expert reviewers and RMA will (i) Is unreasonable in relation to the expenses or indirect overhead costs (for be evaluated based on the substance of maintenance costs associated with the example, costs associated with the the issue and the amount of time policy or plan of insurance; or management or general functions of an reasonably necessary to address the (ii) Unnecessarily inhibits the use of organization, such as costs for internet specific issue raised. Delays and the policy or plan of insurance by service, telephone, utilities, and office additional costs caused by the inability approved insurance providers. supplies); or refusal to adequately address issues (6) If the total user fee exceeds the (v) Paid or incurred losses; may not be considered reimbursable, as maximum amount determined by the (vi) Loss adjustment expenses; determined at the sole discretion of the Board, the maximum amount (vii) Sales commission; Board. determined by the Board will be divided (viii) Marketing costs; (k) If the Board withdraws its by the number of policies earning (ix) Lobbying costs; approval for reinsurance at any time premium to determine the amount to be (x) Product or applicant liability during the period that reimbursement paid by each approved insurance resulting from the research, for maintenance is being made or user provider. development, preparation or marketing fees are being collected, no maintenance (7) Reasonableness of the initial of the policy; reimbursement shall be made nor any request to charge a user fee will be (xi) Copyright infringement claims user fee be owed after the date of such determined by the Board based on a resulting from the research, withdrawal. comparison of the amount of development, preparation or marketing (l) Not later than 180 days prior to the reimbursement for maintenance of the policy; end of the last reinsurance year in previously received, the number of (xii) Costs of making program changes which a maintenance reimbursement policies, the number of approved as a result of any mistakes, errors or will be paid for the approved insurance providers, and the expected flaws in the policy or plan of insurance; submission, the applicant must notify total amount of user fees to be received (xiii) Costs associated with building FCIC in writing regarding its decision in any reinsurance year. rents or space allocation; on future ownership and maintenance (8) A user fee unnecessarily inhibits (xiv) Costs in paragraphs (i) and (j) of of the policy or plan of insurance. the use of a policy or plan of insurance this section determined by the Board to (1) The applicant must notify FCIC in if it is so high that approved insurance be ineligible for reimbursement; and writing whether it intends to: providers will not sell the policy. (xv) Local, State, or Federal taxes. (i) Continue to maintain the policy or (9) The user fee charged to each (g) Requests for reimbursement of plan of insurance and charge approved approved insurance provider will be maintenance costs must be supported by insurance providers a user fee to cover considered payment in full for the use itemized statements and supporting maintenance expenses for all policies of such policy, plan of insurance or rate documentary evidence for each earning premium; or of premium for the reinsurance year in reinsurance year in the maintenance (ii) Transfer responsibility for which payment is made. period. maintenance to FCIC. (10) It is the sole responsibility of the (1) Actual costs submitted will be (2) If the applicant fails to notify FCIC applicant to collect such fees from an examined for reasonableness and may in writing by the deadline, the policy or approved insurance provider and any be adjusted at the sole discretion of the plan of insurance will automatically indebtedness for such fees must be Board. transfer to FCIC beginning with the next resolved by the applicant and approved (2) Maintenance costs for the reinsurance year. insurance provider. following activities may be reimbursed: (3) If the applicant elects to: (i) Applicants may request that FCIC (i) Expansion of the original (i) Continue to maintain the policy or provide the number of policies sold by submission into additional crops, plan of insurance, the applicant must each approved insurance provider. counties or states; submit a request for approval of the user (ii) Such information will be provided (ii) Non-significant changes to the fee by the Board at the time of the not later than 90 days after such request policy and any related material; election; or is made or not later than 90 days after (iii) Non-significant or significant (ii) Transfer the policy or plan of the requisite information has been changes to the policy as necessary to insurance to FCIC, FCIC may at its sole provided to FCIC by the approved protect program integrity or as required discretion, continue to maintain the insurance provider, whichever is later. by Congress; and policy or plan of insurance or elect to (11) Every two years after approval of (iv) Any other activity that qualifies as withdraw the availability of the policy a user fee, or if the applicant has made maintenance. or plan of insurance. a significant change to the approved (h) Projected costs for research and (4) Requests for approval of the user submission, applicants must submit development for concept proposals shall fee must be accompanied by written documentation to the Board for review be based on a reasonable estimate of the documentation to support the amount in determining if the user fee should be costs allowed in paragraph (f) of this requested will only cover direct costs to revised. section. maintain the plan of insurance. Costs (12) The Board may review the (i) If a submission is determined to be that are not eligible for research and amount of the user fee at any time at its of insufficient quality to refer to expert development and maintenance sole discretion. review, or is considered incomplete and reimbursements under this section are (m) The Board may consider is subsequently resubmitted and not eligible to be considered for information from the Equal Access to approved, the costs to perfect the determining the user fee. Justice Act, 5 U.S.C. 504, the Bureau of submission may not be considered (5) The Board will approve the Labor Statistic’s Occupational reimbursable costs depending on the amount of user fee, including the Employment Statistics Survey, the level of insufficiency or incompleteness maximum amount of total maintenance Bureau of Labor Statistic’s Employment of the submission, as determined at the that may be collected per year, that is Cost Index, and any other information sole discretion of the Board. payable to the applicant by approved determined applicable by the Board, in (j) Reimbursement of costs associated insurance providers unless the Board making a determination whether to with addressing issues raised by the determines that the user fee charged: approve a submission for

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reimbursement of research and deny reinsurance, A&O subsidy and risk concluded, the NRS must be development costs, maintenance costs, subsidy on the underlying FCIC resubmitted for review. or user fees. reinsured policy for which such NRS Signed in Washington, DC, on February 13, (n) For purposes of this section, rights policy was sold. 2015. to, or obligations of, research and (1) If the NRS policy materially Brandon Willis, development cost reimbursement, increases or shifts risk to the underlying Manager, Federal Crop Insurance maintenance cost reimbursement, or policy or plan of insurance reinsured by Corporation. user fees cannot be transferred from any FCIC. [FR Doc. 2015–03604 Filed 2–23–15; 8:45 am] individual or entity unless specifically (i) An NRS policy will be considered BILLING CODE 3410–08–P approved in writing by the Board. to materially increase or shift risk to the (o) Applicants requesting underlying policy or plan of insurance reimbursement for research and reinsured by FCIC if it creates an COMMODITY FUTURES TRADING development costs, maintenance costs, incentive for moral hazard such as a COMMISSION or user fees, may present their request financial incentive to increase the in person to the Board prior to number or size of losses or, allows for 17 CFR Parts 1, 15, 17, 19, 32, 37, 38, consideration for approval. aggregate indemnities in excess of the 140, and 150 (p) Index-based weather plans of expected value of the insured insurance are not eligible for commodity. RIN 3038–AD99; 3038–AD82 reimbursement from FCIC for (ii) The NRS must include language maintenance costs or research and that clearly states no indemnity will be Position Limits for Derivatives and development costs. Submitters of paid in excess of the initial value of the Aggregation of Positions approved index-based weather plans of insured commodity. AGENCY: Commodity Futures Trading insurance may collect user fees from (2) The NRS reduces or limits the Commission. other approved insurance providers in rights of the insured with respect to the ACTION: Notice of proposed rulemaking; accordance with Procedures Handbook underlying policy or plan of insurance 17050—Approved Procedures for provision of Table 11a; and reopening of reinsured by FCIC. An NRS policy will comment periods. Submission of Index-based Weather be considered to reduce or limit the Plans of Insurance. rights of the insured with respect to the SUMMARY: On , 2013, the § 400.713 Non-reinsured supplemental underlying policy or plan of insurance Commodity Futures Trading (NRS) policy. if it alters the terms or conditions of the Commission (‘‘Commission’’) published (a) Unless otherwise specified by underlying policy or otherwise in the Federal Register a notice of FCIC, any NRS policy that covers the preempts procedures issued by FCIC. proposed rulemaking (the ‘‘Position same agricultural commodity as any (3) The NRS disrupts the marketplace. Limits Proposal’’) to establish policy reinsured by FCIC under the Act An NRS policy will be considered to speculative position limits for 28 must be provided to RMA to ensure it disrupt the marketplace if it encourages exempt and agricultural commodity does not shift any loss under the FCIC planting more acres of the insured futures and options contracts and the reinsured policy. Failure to provide commodity in excess of normal market physical commodity swaps that are such NRS policy or endorsement to demand, adversely affects the sales or economically equivalent to such RMA prior to its issuance shall result in administration of reinsured policies, contracts. On , 2013, the the denial of reinsurance, A&O subsidy undermines producers’ confidence in Commission published in the Federal and risk subsidy on the underlying FCIC the Federal crop insurance program, or Register a notice of proposed reinsured policy for which such NRS harms public perception of the Federal rulemaking (the ‘‘Aggregation policy was sold. crop insurance program. Proposal’’) to amend existing (b) Three hard copies, and an (4) The NRS is an impermissible regulations setting out the Commission’s electronic copy in a format approved by rebate. An NRS may be considered to be policy for aggregation under its position RMA, of the new or revised NRS policy an impermissible rebate if FCIC limits regime. The Commission’s Energy and related materials must be submitted determines that the premium rates and Environmental Markets Advisory at least 150 days prior to the first sales charged are insufficient to cover the Committee has scheduled a public closing date applicable to the NRS expected losses and a reasonable reserve meeting to be held on February 26, policy. At a minimum, examples that or it offers other benefits that are 2015, which will consider, among other demonstrate how liability and generally provided at a cost. matters, exemptions for bona fide indemnities are determined under (5) The NRS policy is conditioned hedging positions. In conjunction with differing scenarios must be included. upon or provides incentive for the the meeting of the Commission’s Energy (1) Hard copies of the NRS must be purchase of the underlying policy or and Environmental Markets Advisory sent to the Deputy Administrator for plan of insurance reinsured by FCIC Committee, the Commission will post Product Management (or successor), with a specific agent or approved an agenda and associated materials, if USDA/Risk Management Agency, insurance provider. any, on the Commission’s Web site; Beacon Facility Mail Stop 0812, 9240 (d) RMA will respond not less than 60 additionally, access to a video webcast Troost Ave., Kansas City, MO 64131– days before the first sales closing date or of the meeting will be added to the Web 3055. provide notice why RMA is unable to site. In addition, and in connection with (2) Electronic copies of the NRS must respond within the time frame allotted. the meeting, the Commission is be sent to the Deputy Administrator for (e) NRS policies reviewed by RMA providing counts of the unique persons Product Management (or successor) at will not need to be submitted for a five over percentages of the 28 proposed [email protected]. year period unless a change is made to position limit levels (currently provided (c) RMA will review the NRS policy. the NRS or the underlying policy or the in Table 11 of the Position Limits If any of the conditions found in loss ratio for the NRS policy exceeds Proposal based on counts from the paragraphs (c)(1) through (5) of this 2.0. Once any changes are made to period of , 2011, to December section are found to occur, FCIC will either policy or the five year period has 31, 2012 period) in a new table, Table

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11a, based on counts from the period of deem to be inappropriate for The Commission published the January 1, 2013, to December 31, 2014. publication, such as obscene language. Position Limits Proposal and the To provide commenters with a All submissions that have been redacted Aggregation Proposal separately because sufficient period of time to respond to or removed that contain comments on it believes that the proposed questions raised and points made at the the merits of the rulemaking will be amendments regarding aggregation of Energy and Environmental Markets retained in the public comment file and positions could be appropriate Committee meeting, as well as to will be considered as required under the regardless of whether the Position provide an opportunity to comment on Administrative Procedure Act and other Limits Proposal is finalized.8 If the Table 11a, the Commission will reopen applicable laws, and may be accessible Aggregation Proposal is finalized first, the comment periods for an additional under the Freedom of Information Act. the modifications would apply to the 30 days. The Commission is providing FOR FURTHER INFORMATION CONTACT: current position limits regime for notice that comments may be made on Stephen Sherrod, Senior Economist, futures and option contracts on nine the issues addressed at the meeting or Division of Market Oversight, (202) 418– enumerated agricultural commodities. If in the associated materials posted to the 5452, [email protected]; or Riva Spear the Position Limits Proposal is Commission’s Web site, as they pertain Adriance, Senior Special Counsel, subsequently finalized, the to energy commodities. Furthermore, Division of Market Oversight, (202) 418– modifications in the Aggregation comments may be made on Table 11a, 5494, [email protected]; Commodity Proposal would apply to the position showing counts of the unique persons Futures Trading Commission, Three limits regime for 28 exempt and over percentages of the 28 proposed Lafayette Centre, 1155 21st Street NW., agricultural commodity futures and position limit levels based on counts Washington, DC 20581. options contracts and the physical from the period of January 1, 2013, to SUPPLEMENTARY INFORMATION: commodity swaps that are economically December 31, 2014. equivalent to such contracts. I. Background In order to provide interested parties DATES: The comment periods for the with an opportunity to comment on the Aggregation Proposal published The Commission has long established Aggregation Proposal during the November 15, 2013, at 78 FR 68946, and and enforced speculative position limits comment period on the Position Limits for the Position Limits Proposal for futures and options contracts on Proposal, the Commission extended the published December 12, 2013, at 78 FR various agricultural commodities as comment period for the Aggregation 75680, will reopen on February 26, authorized by the Commodity Exchange 1 Proposal to , 2014, the same 2015, and will close on , 2015. Act (‘‘CEA’’). The part 150 position limits regime 2 generally includes three end date as the comment period for the ADDRESSES: You may submit comments, 9 components: (1) the level of the limits, Position Limits Proposal. identified by RIN 3038–AD99 for the which set a threshold that restricts the Subsequent to publication of the Position Limits Proposal or RIN 3038– number of speculative positions that a Position Limits Proposal and the AD82 for the Aggregation Proposal, by person may hold in the spot-month, Aggregation Proposal, the Commission any of the following methods: individual month, and all months directed staff to schedule a , • Agency Web site: http:// combined,3 (2) exemptions for positions 2014, public roundtable to consider comments.cftc.gov; certain issues regarding position limits • Mail: Christopher Kirkpatrick, that constitute bona fide hedging transactions and certain other types of for physical commodity derivatives. The Secretary of the Commission, 4 roundtable focused on hedges of a Commodity Futures Trading transactions, and (3) rules to determine which accounts and positions a person physical commodity by a commercial Commission, Three Lafayette Centre, enterprise, including gross hedging, 1155 21st Street NW., Washington, DC must aggregate for the purpose of determining compliance with the cross-commodity hedging, anticipatory 20581; 5 hedging, and the process for obtaining a • Hand Delivery/Courier: Same as position limit levels. The Position Limits Proposal generally sets out non-enumerated exemption. Discussion Mail, above; or included the setting of spot month • Federal eRulemaking Portal: http:// proposed changes to the first and second components of the position limits in physical-delivery and cash- www.regulations.gov. Follow settled contracts and a conditional spot- instructions for submitting comments. limits regime and would establish speculative position limits for 28 month limit exemption. Further, the Please submit your comments using roundtable included discussion of: The only one method. All comments must be exempt and agricultural commodity futures and option contracts, and aggregation exemption for certain submitted in English, or if not, ownership interests of greater than 50 accompanied by an English translation. physical commodity swaps that are ‘‘economically equivalent’’ to such percent in an owned entity; and Comments will be posted as received to aggregation based on substantially http://www.cftc.gov. You should submit contracts (as such term is used in CEA 6 identical trading strategies. As well, the only information that you wish to make section 4a(a)(5)). The Aggregation Proposal generally sets out proposed Commission invited comment on available publicly. If you wish the whether to provide parity for wheat Commission to consider information changes to the third component of the position limits regime.7 contracts in non-spot month limits. In that may be exempt from disclosure conjunction with the roundtable, staff under the Freedom of Information Act, 1 questions regarding these topics were a petition for confidential treatment of 7 U.S.C. 1 et seq. 2 See 17 CFR part 150. Part 150 of the posted on the Commission’s Web site. the exempt information may be Commission’s regulations establishes federal To provide commenters with a submitted under § 145.9 of the position limits on futures and option contracts in sufficient period of time to respond to Commission’s regulations (17 CFR nine enumerated agricultural commodities. questions raised and points made at the 145.9). 3 See 17 CFR 150.2. roundtable, the Commission published a The Commission reserves the right, 4 See 17 CFR 150.3. 5 document in the Federal Register on but shall have no obligation, to review, See 17 CFR 150.4. 6 See Position Limits for Derivatives, 78 FR 75680 , 2014 (79 FR 30762), reopening pre-screen, filter, redact, refuse or (Dec. 12, 2013). remove any or all of your submission 7 See Aggregation of Positions, 78 FR 68946 (Nov. 8 See id. at 68947. from http://www.cftc.gov that it , 2013). 9 See 79 FR 2394 (Jan. 14, 2014).

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the comment periods for the Position CommentList.aspx?id=1436. Comment to energy commodities, including Limit Proposal and the Aggregation letters received on the Aggregation hedges of a physical commodity by a Proposal for three weeks, from , Proposal are available at http:// commercial enterprise, as pertains to 2014 to , 2014. The Commission comments.cftc.gov/PublicComments/ energy commodities. published a document in the Federal CommentList.aspx?id=1427. In addition, and in connection with Register on July 3, 2014 (79 FR 37973), the Energy and Environmental Markets II. Reopening of Comment Period further extending the comment periods Advisory Committee meeting, the to , 2014. The Commission’s Energy and Commission is providing counts of the The Commission’s Agricultural Environmental Markets Advisory unique persons exceeding the 28 Advisory Committee met on December Committee has scheduled a meeting on proposed position limit levels (currently 9, 2014. The agenda adopted for the February 26, 2015. The agenda adopted provided in Table 11 of the Positions meeting included consideration, among for the meeting includes consideration Limits Proposal based on counts from other matters, of two issues associated of exemptions for bona fide hedging the period of January 1, 2011, to with the Position Limits rulemaking: positions. In conjunction with the December 31, 2012 period 12) by certain Deliverable supply and exemptions for meeting of the Commission’s Energy specified percentages in a new table, bona fide hedging positions. In and Environmental Markets Advisory Table 11a, based on counts from the conjunction with the meeting of the Committee, the Commission will post period of January 1, 2013, to December Commission’s Agricultural Advisory associated materials on the 31, 2014. As was the case with Table 11, Committee, the Commission posted Commission’s Web site; additionally, to provide the public with additional questions and presentation materials on access to a video webcast of the meeting information regarding the number of the Commission’s Web site; will be added to the Web site. To large position holders in the past two additionally, access to a video webcast provide interested persons with a calendar years, Table 11a provides of the meeting was added to the Web sufficient period of time to respond to counts of unique persons over 60, 80, site.10 To provide interested persons questions raised and points made at the 100, and 500 percent of the levels of the with a sufficient period of time to Energy and Environmental Markets position limits proposed for 28 core respond to questions raised and points Advisory Committee meeting, the referenced futures products.13 Note that made at the Agricultural Advisory Commission is reopening both the the 500 percent line is omitted from Committee meeting, the Commission Position Limit Proposal and the Table 11a for contracts where no person reopened both the Position Limit Aggregation Proposal for an additional held a position over that level. The Proposal and the Aggregation Proposal 30-day comment period. The Commission notes that in addition to for an additional 45-day comment Commission is providing notice that, in commenting on the agenda issues and period.11 addition to commenting on the agenda on the issues addressed at the meeting Comment letters received on the issues, comments may be made on the or in associated materials posted to the Position Limits Proposal are available at issues addressed at the meeting or in Commission’s Web site, as they pertain http://comments.cftc.gov/ associated materials posted to the to energy commodities, comments may PublicComments/ Commission’s Web site, as they pertain be made on Table 11a.

TABLE 11a—UNIQUE PERSONS OVER PERCENTAGES OF PROPOSED POSITION LIMIT LEVELS, JANUARY 1, 2013, TO DECEMBER 31, 2014

Unique persons over level Commodity type/core referenced futures contract Percent of Spot month level (physical- Spot month Single month All months delivery) (cash-settled)

Legacy Agricultural

CBOT Corn (C) ...... 60 206 — 12 25 80 147 — 4 7 100 49 — (*) 5 500 4 — — — CBOT Oats (O) ...... 60 (*) — 11 12 80 (*) — 6 8 100 — — (*) 5 CBOT Soybeans (S) ...... 60 127 — 14 18 80 90 — 9 11 100 31 — 6 9 500 9 — — — CBOT Soybean Meal (SM) ...... 60 53 — 42 54 80 31 — 12 19

10 Questions, presentation materials, and a video materials posted to the Commission’s Web site, as proposed initial limit levels, without regard to webcast have been made available at http:// they pertained to agricultural commodities, alternatives presented in the proposed rule. See 78 www.cftc.gov/PressRoom/Events/ including hedges of a physical commodity by a FR at 75839 for the proposed initial limit levels for opaevent_aac120914. commercial enterprise; and the process for the spot month. The Commission also proposed 11 See 79 FR 71973 (Dec. 4, 2014). The estimating deliverable supplies used in the setting alternatives methods for setting initial levels for the Commission also provided notice and clarification of spot month limits, as each pertained to spot month. See FR at 75727–8. The proposed that, in addition to commenting on the agenda agricultural commodities. See also 80 FR 200 (Jan. initial limit levels for the non-spot months are issues noted in the , 2014, Federal 5, 2015). found at 78 FR 76787 (Dec. 19, 2013). The Register release providing notice of the reopened 12 See 78 FR 75680 at 75731 (Dec. 12, 2013). Commission also proposed an alternative method to comment period, comments could be made on the 13 As is the case for Table 11, the Commission establish higher initial limit levels in the non-spot issues addressed at the meeting or in associated notes that Table 11a is presented using the months. See FR 78 at 75734.

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TABLE 11a—UNIQUE PERSONS OVER PERCENTAGES OF PROPOSED POSITION LIMIT LEVELS, JANUARY 1, 2013, TO DECEMBER 31, 2014—Continued

Unique persons over level Commodity type/core referenced futures contract Percent of Spot month level (physical- Spot month Single month All months delivery) (cash-settled)

100 16 — 6 11 500 (*) — — — CBOT Soybean Oil (SO) ...... 60 82 — 31 38 80 51 — 10 18 100 18 — 5 11 500 (*) — — — CBOT Wheat (W) ...... 60 39 — 35 33 80 30 — 12 17 100 10 — 8 11 500 (*) — — — ICE Cotton No. 2 (CT) ...... 60 16 — 15 22 80 10 — 10 14 100 7 — 8 10 500 4 — — — KCBT Hard Winter Wheat (KW) ...... 60 17 — 32 39 80 7 — 16 27 100 (*) — 12 12 MGEX Hard Red Spring Wheat (MWE) ...... 60 7 — 33 36 80 4 — 20 29 100 (*) — 15 21

Other Agricultural

CBOT Rough Rice (RR) ...... 60 9 — 6 5 80 7 — 4 4 100 (*) — (*) (*) CME Milk Class III (DA) ...... 60 NA 5 (*) 26 80 NA 4 — 15 100 NA (*) — 10 CME Feeder Cattle (FC) ...... 60 NA 113 8 14 80 NA 70 (*) 8 100 NA 28 — 5 CME Lean Hog (LH) ...... 60 NA 98 19 34 80 NA 74 8 24 100 NA 45 (*) 14 CME Live Cattle (LC) ...... 60 51 — 14 29 80 7 — 7 16 100 5 — (*) 8 ICUS Cocoa (CC) ...... 60 4 — 47 42 80 4 — 38 30 100 (*) — 21 21 ICE Coffee C (KC) ...... 60 14 — 30 32 80 10 — 13 16 100 6 — 8 11 500 (*) — — — ICE FCOJ–A (OJ) ...... 60 5 — 7 7 80 5 — 4 4 100 5 — 4 4 ICE Sugar No. 11 (SB) ...... 60 55 — 41 39 80 42 — 31 29 100 16 — 21 22 500 (*) — — — ICE Sugar No. 16 (SF) ...... 60 5 — 6 13 80 5 — 6 11 100 4 — 5 11

Energy

NYMEX Henry Hub Natural Gas (NG) ...... 60 187 236 (*) 7 80 142 205 (*) (*) 100 83 187 — (*) 500 (*) 46 — — NYMEX Light Sweet Crude Oil (CL) ...... 60 135 100 (*) 12 80 95 87 (*) 7 100 44 65 — (*) 500 — — — — NYMEX NY Harbor ULSD (HO) ...... 60 76 68 13 16

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TABLE 11a—UNIQUE PERSONS OVER PERCENTAGES OF PROPOSED POSITION LIMIT LEVELS, JANUARY 1, 2013, TO DECEMBER 31, 2014—Continued

Unique persons over level Commodity type/core referenced futures contract Percent of Spot month level (physical- Spot month Single month All months delivery) (cash-settled)

80 49 63 7 9 100 31 44 (*) 6 500 — 5 — — NYMEX RBOB Gasoline (RB) ...... 60 97 57 26 30 80 67 52 15 17 100 36 37 11 12 500 — (*) — —

Metals

COMEX Copper (HG) ...... 60 12 — 61 62 80 9 — 37 40 100 4 — 29 30 COMEX Gold (GC) ...... 60 13 — 22 24 80 9 — 14 14 100 5 — 10 11 COMEX Silver (SI) ...... 60 9 — 34 32 80 4 — 20 21 100 (*) — 16 16 NYMEX Palladium (PA) ...... 60 9 — 12 13 80 5 — 9 5 100 (*) — 4 4 NYMEX Platinum (PL) ...... 60 11 — 29 29 80 7 — 18 18 100 (*) — 9 9 Legend: * means fewer than 4 unique owners exceeded the level. — means no unique owner exceeded the level. NA means not applicable.14

Both comment periods will reopen on DEPARTMENT OF HEALTH AND because the currently available data are February 26, 2015, and will close on HUMAN SERVICES insufficient to classify it as GRASE and March 28, 2015. not misbranded, and additional Food and Drug Administration information is needed to allow us to Issued in Washington, DC, on February 19, determine otherwise. 2015, by the Commission. 21 CFR Part 310 Christopher J. Kirkpatrick, DATES: Submit either electronic or [Docket Nos. FDA–2003–N–0196 (Formerly written comments on this proposed Secretary of the Commission. 2003N–0233), FDA–1978–N–0018 (Formerly order by , 2015. Sponsors may Note: The following appendix will not 1978N–0038 and 78N–0038), and FDA–1996– submit written requests for a meeting N–0006 (Formerly 96N–0277)] appear in the Code of Federal Regulations. with FDA to discuss this proposed order Over-the-Counter Sunscreen Drug by March 27, 2015. See section VI for Appendix to Position Limits for Products—Regulatory Status of the proposed effective date of a final Derivatives and Aggregation of Enzacamene order based on this proposed order. Positions Reopening of Comment ADDRESSES: You may submit comments Periods—Commission Voting Summary AGENCY: Food and Drug Administration, by any of the following methods: HHS. On this matter, Chairman Massad and ACTION: Proposed order; request for Electronic Submissions Commissioners Wetjen, Bowen, and comments. Submit electronic comments in the Giancarlo voted in the affirmative. No following way: Commissioner voted in the negative. SUMMARY: The Food and Drug Administration (FDA or the Agency) is • Federal eRulemaking Portal: http:// [FR Doc. 2015–03834 Filed 2–24–15; 8:45 am] issuing a proposed sunscreen order www.regulations.gov. Follow the BILLING CODE 6351–01–P (proposed order) under the Federal instructions for submitting comments. Food, Drug, and Cosmetic Act (the Written Submissions FD&C Act), as amended by the Sunscreen Innovation Act (SIA). The Submit written submissions in the proposed order announces FDA’s following ways: tentative determination that • Mail/Hand delivery/Courier (for 14 Table notes: (1) Aggregation exemptions were not used in computing the counts of unique enzacamene is not generally recognized paper submissions): Division of Dockets persons; (2) the position data was for futures, as safe and effective (GRASE) and is Management (HFA–305), Food and Drug futures options and swaps that are significant price misbranded when used in over-the- Administration, 5630 Fishers Lane, Rm. discovery contracts (SPDCs). counter (OTC) sunscreen products 1061, Rockville, MD 20852.

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Instructions: All submissions received to be marketed in the United States received, and for which a TEA feedback must clearly identify the specific active without an approved new drug letter had not yet been issued (section ingredient (enzacamene) and the Docket application (NDA) or abbreviated new 586C(b)(4) of the FD&C Act (21 U.S.C. Nos. FDA–2003–N–0196, FDA–1978–N– drug application (ANDA). Because this 360fff–3(b)(4)), as amended by the SIA). 0018, and FDA–1996–N–0006 for this proposed order specifically addresses an Other provisions of the SIA that are not rulemaking. All comments received may OTC sunscreen active ingredient discussed in this proposed order be posted without change to http:// (enzacamene), the remainder of this address procedures applicable to other www.regulations.gov, including any discussion will refer only to ‘‘active pending and future sunscreen active personal information provided. For ingredients.’’ ingredient GRASE determinations, additional information on submitting Critical steps in a proceeding under pending and future GRASE comments, see the ‘‘Comments’’ heading the TEA regulation include the determinations for OTC products other of the SUPPLEMENTARY INFORMATION following: (1) FDA’s determination that than sunscreens, issuance of specified section of this document. an active ingredient had been marketed guidances and reports, and completion Docket: For access to the docket to for the proposed OTC use for a material of pending sunscreen rulemakings, read background documents or time and to a material extent (eligibility among others. comments received, go to http:// determination), and public call for A proposed sunscreen order under the www.regulations.gov and insert the submission of safety and efficacy data, SIA is an order containing FDA’s docket numbers, found in brackets in followed by; (2) review of safety and tentative determination proposing that a the heading of this document, into the efficacy data submitted by the sponsor nonprescription sunscreen active ‘‘Search’’ box and follow the prompts or other interested parties; and (3) ingredient or combination of and/or go to the Division of Dockets FDA’s initial determination that the data ingredients: (1) Is GRASE and is not Management, 5630 Fishers Lane, Rm. show the active ingredient to be either misbranded when marketed in 1061, Rockville, MD 20852. GRASE or not GRASE for OTC use accordance with the proposed order; (2) Submit requests for a meeting with under the applicable monograph is not GRASE and is misbranded; or (3) FDA to discuss this proposed order to conditions (including any new is not GRASE and is misbranded Kristen Hardin (see FOR FURTHER conditions rising from FDA’s review) because the data are insufficient to INFORMATION CONTACT). (GRASE determination). Under the TEA classify the active ingredient or FOR FURTHER INFORMATION CONTACT: regulation, FDA’s GRASE combination of ingredients as GRASE Kristen Hardin, Division of determinations are effectuated through and not misbranded, and additional Nonprescription Drug Products, Center notice and comment rulemaking to information is necessary to allow FDA for Drug Evaluation and Research, Food amend or establish the appropriate to determine otherwise (section 586(7) and Drug Administration, 10903 New monograph. of the FD&C Act, as amended by the Hampshire Ave., Bldg. 22, Rm. 5491, The TEA process in FDA regulations SIA). Publication of a proposed Silver Spring, MD 20993–0002, 240– was supplemented by Congress’s sunscreen order triggers several 402–4246. enactment of the SIA. Among other timelines under the SIA, including a 45- SUPPLEMENTARY INFORMATION: amendments it makes to the FD&C Act, day public comment period, and a 30- the SIA creates new procedures I. Regulatory Background day period in which a sponsor may specifically for reviewing the safety and request a meeting with FDA to discuss A. Regulatory and Statutory Framework effectiveness of nonprescription the proposed order. sunscreen active ingredients, including The data and information addressed those, such as enzacamene, that were B. FDA’s Review of Enzacamene in this proposed order were originally the subject of pending TEA proceedings Buchanan Ingersoll submitted a TEA submitted for review under FDA’s Time at the time the SIA was enacted. Like and Extent Application (TEA) in 2002 on behalf of Merck KGaA under the TEA regulation, the SIA calls for an § 330.14(c) seeking OTC monograph regulation, § 330.14 (21 CFR 330.14), a initial eligibility determination phase process that has since been status for the sunscreen active for nonprescription sunscreen active ingredient enzacamene (also known as supplemented with new statutory ingredients, followed by submissions of procedures established in the SIA (Pub. 4-Methylbenzylidene Camphor (4-MBC) safety and efficacy data and a GRASE or Eusolex 6300) at concentrations up to L. 113–195), enacted , determination phase. However, the SIA 2014. The discussion that follows 4 percent for use in OTC sunscreen requires FDA to make proposed and products (enzacamene TEA) (Note 1). briefly describes and compares the pre- final GRASE determinations for and post-SIA processes as they apply to FDA issued a TEA notice of eligibility nonprescription sunscreen active for enzacamene on , 2003 (68 FR the regulatory status of enzacamene. ingredients in the form of administrative The TEA regulation established a 41386), stating that enzacamene at orders rather than the multistep public process through which a sponsor could concentrations of up to 4 percent is rulemaking required by the TEA request that an active ingredient or other eligible to be considered for inclusion in regulation, and establishes strict OTC condition,1 the OTC sunscreen monograph (21 CFR particularly one not timelines for the necessary previously marketed in the United part 352, currently stayed) and calling administrative actions. for submission of safety and States, be added to an OTC drug Among other requirements, no later effectiveness data for enzacamene. In monograph to enable compliant OTC than 90 days after the SIA was enacted response, a submission of data dated drug products containing the condition (i.e., no later than February 24, 2015), , 2003, was made to the docket FDA must publish a proposed sunscreen 1 on behalf of Merck KGaA (enzacamene For purposes of OTC drug regulation, a order in the Federal Register for any ‘‘condition’’ is defined as an active ingredient or data submission) (Note 2), which nonprescription sunscreen active botanical drug substance (or a combination of active referred to materials previously ingredients or botanical drug substances), dosage ingredient, including enzacamene, for submitted to other dockets.2 At the time form, dosage strength, or route of administration which, on the date of enactment, an marketed for a specific OTC use, with specific exclusions (see § 330.14(a)(2)). This document will eligibility determination had been 2 These include FDA–1978–N–0018–0744–0756 refer simply to new ‘‘active ingredients,’’ since that issued under the TEA regulation and (Sup 24, 25, 26, 27 and 28), Request to Reopen is the condition under consideration. submissions of safety and efficacy data Continued

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the SIA was enacted, FDA had not corroborated by unpublished studies all requirements applicable to issued a TEA feedback letter or and other data (§ 330.10(a)(4)(i) (21 CFR nonprescription drugs would be GRAS otherwise responded to that submission. 330.10(a)(4)(i))). for use as labeled. To demonstrate that In accordance with new section FDA’s OTC drug regulations generally these requirements are met for 586C(b)(4) of the FD&C Act as amended identify the types of information that enzacamene, initial safety testing should by the SIA, we are issuing this notice as may be submitted as evidence that an be performed using enzacamene as the a proposed order for enzacamene. Based active ingredient or other OTC drug sole active ingredient up to the highest on our review of the available safety and condition is safe, as part of the concentration for which marketing efficacy data, we have made a tentative consideration of whether an active status is sought and eligibility has been determination that enzacamene is not ingredient or other condition is GRASE established: 4 percent. If initial testing GRASE and is misbranded because the (§ 330.10(a)(2)). For convenience, this suggests a particular safety concern data are insufficient to classify it as order uses the term ‘‘generally associated with enzacamene (e.g., a GRASE and not misbranded for use in recognized as safe (GRAS)’’ to refer to hormonal activity), FDA may request OTC sunscreens, and additional that aspect of the GRASE determination. additional studies to address that information is necessary to allow us to To apply the general OTC safety concern. determine otherwise. The remainder of standard to each potential new this proposed sunscreen order describes condition, FDA uses its scientific A. Human Safety Data our review of the available safety and expertise to determine what constitutes 1. Human Irritation, Sensitization, and efficacy data, identifies additional data ‘‘adequate tests by methods reasonably Photosafety Studies needed to demonstrate that enzacamene applicable to show the drug is safe under the prescribed, recommended, or Studies of skin irritation, is GRASE for the requested use, and sensitization, and photosafety are explains our rationale for specific suggested conditions of use.’’ In assessing what specific testing or other standard elements in the safety conclusions and data requirements. evaluation of topical drug products that, This proposed order will be open for data are needed to adequately like enzacamene-containing sunscreens, public comment (see DATES). The demonstrate the safety of enzacamene are applied to the skin repeatedly over sponsor may request a meeting with for use in sunscreen, FDA considers the long periods of time. FDA recommends FDA to discuss this proposed order (see circumstances under which OTC separate studies for skin irritation and DATES). We also invite the sponsor to sunscreen products that could contain sensitization. Skin irritation studies submit additional safety and/or efficacy enzacamene would be used by should generally include at least 30 data to inform our further consideration, consumers. evaluable subjects and should evaluate as publication of a final sunscreen order When used as directed with other sun the test formulation (i.e., enzacamene in under the SIA for enzacamene will be protection measures, broad spectrum an appropriate test vehicle), the vehicle contingent on receipt of such OTC sunscreen products with a sun alone, and both negative and positive information. (See section 586C(b)(9)(ii) protection factor (SPF) value of 15 or controls. Skin sensitization studies of the FD&C Act.) We specifically higher strongly benefit the public health generally should include at least 200 encourage the sponsor to discuss any by decreasing the risk of skin cancer and subjects and should evaluate the test proposed study protocols with us before premature skin aging associated with formulation containing enzacamene, the performing the studies. solar ultraviolet (UV) radiation, as well as by helping to prevent sunburn. vehicle, and a negative control. For both II. Safety Data Considerations for OTC (Sunscreens with lower SPF values, or irritation and sensitization studies, test Sunscreen Products Containing without broad spectrum protection, also site applications should be randomized Enzacamene help prevent sunburn.) When used as and the test observer blinded to the In evaluating the safety of a proposed directed by the required labeling, all identities of the test formulations. monograph active ingredient, FDA OTC sunscreen products are applied FDA recommends that photosafety applies the following regulatory liberally to the skin and reapplied evaluation generally involve studies of standard: Safety means a low incidence frequently throughout the day skin photoirritation (phototoxicity) and of adverse reactions or significant side (§ 201.327(e) (21 CFR 201.327(e))). skin photosensitization effects under adequate directions for use Because the effects of UV exposure are (photoallergenicity). General principles and warnings against unsafe use as well cumulative, to obtain the maximum for designing and conducting as low potential for harm which may benefit, users of broad spectrum photosafety studies are described in result from abuse under conditions of sunscreens with an SPF value of 15 or FDA guidance (Ref. 1). Photosafety widespread availability. Proof of safety higher are directed to use such products studies, like sensitization and irritation shall consist of adequate tests by regularly—on a routine basis (id.). Given studies, should be conducted using methods reasonably applicable to show these conditions of use, our safety enzacamene 4 percent in an appropriate the drug is safe under the prescribed, evaluation of an OTC sunscreen active test vehicle, the vehicle alone, and a recommended, or suggested conditions ingredient such as enzacamene must negative control. In addition, of use. This proof shall include results consider both short-term safety concerns phototoxicity studies should include at of significant human experience during (such as skin sensitization/irritation and least 30 evaluable subjects and marketing. General recognition of safety photosafety) and potential concerns photoallerginicity studies should shall ordinarily be based upon related to long-term sunscreen use, include at least 45 evaluable subjects. including potential systemic exposure published studies which may be Data Available for Enzacamene: Human via dermal absorption. The purpose of the safety testing Irritation, Sensitization, and Photosafety Rulemaking Record Respect Sunscreen Drug Studies Products for OTC, submitted on , 1999 described in this section II is to (1999 enzacamene submission); FDA–1978–N– establish whether an OTC sunscreen We reviewed the submitted study 0018–0766, Citizen Petition (CP1), submitted on product containing enzacamene and reports for human safety studies, , 1980; and Tracking number: 805596eb Legacy Doc. ID, SUP 5, ‘‘Supplement otherwise marketed under the including a skin irritation and from Rona Pearle’’ SUP5, submitted on , conditions described in a final sensitization study of enzacamene 5 1985. sunscreen order and in accordance with percent in 30 subjects (Note 3); skin

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irritation and sensitization study of potential safety signals. To ensure that that these studies were conducted in the enzacamene 5 percent in 10 subjects maximum penetration of enzacamene 1980s and the limit of analytical (Note 4); a photoirritation study of 4 has taken place and chances of it being detection for enzacamene was much percent enzacamene in 5 subjects (Note detected are optimal, studies should higher than it is today. 5); and two photosensitization studies, continue until steady state is reached. A review of the published literature one using 4 percent enzacamene in 5 General information and identified more recent studies related to subjects and the other using an recommendations on the design and the extent of absorption of enzacamene unknown concentration in 25 subjects conduct of human pharmacokinetic in humans after dermal application. A (Notes 6 and 7). Although these studies studies can be found in FDA guidance 2004 article from Janjua et al. (Ref. 3) suggest that enzacamene may not be a (Ref. 2). To support a GRAS reports on the absorption from a primary irritant, sensitizer, determination for enzacamene (up to 4 formulation containing 10 percent photosensitizer, or photoirritant, each of percent), such a study should be enzacamene and 2 other active the submitted studies has limitations, conducted under maximal use sunscreen ingredients after whole body such as inadequate sample size, lack of conditions using enzacamene 4 percent application for 4 days in 15 healthy blinding, and lack of positive and in various vehicles, including vehicles males and 17 postmenopausal females. negative controls, that prevent us from that would be expected to enhance The article provides only summary making definitive conclusions. In absorption. We encourage study bioavailability information but claims addition, protocol information, such as sponsors to consult with us before that the maximum plasma the inclusion and exclusion criteria conducting pharmacokinetic studies, concentrations were 20 milligrams (mg)/ used in subject selection, was not because the properties of enzacamene milliliter (mL) in both men and women consistently provided. bear on the optimal design. and that increasing plasma levels of FDA concludes that the data enzacamene and metabolites were seen, Data Available for Enzacamene: Human submitted are not sufficient to assess the suggesting the presence of Dermal Pharmacokinetic dermal safety of enzacamene and accumulation. It is noted that thyroid (Bioavailability) and Clinical specifically its potential to cause function was also assessed during this Pharmacology Studies irritation, sensitization, photoirritation, study, but results are confounded by the or photoallergenicity. We recommend We reviewed three submitted reports simultaneous application of three active submission of additional data from of dermal absorption studies in humans sunscreen ingredients. A 2006 article human irritation, sensitization, and in which percutaneous absorption was from Shauer et al. (Ref. 4) includes in photosafety studies to demonstrate that estimated using radiolabeled (14C) vivo pharmacokinetic data from six an OTC sunscreen containing up to 4 formulations of enzacamene. In one healthy volunteers exposed to 4 percent percent enzacamene is not an irritant, study (Note 8) a 14C-labeled 5 percent enzacamene applied over 90 percent sensitizer, photosensitizer, or formulation of enzacamene was applied body surface area for a 12-hour period. photoirritant. to the lower arms of six volunteers for The data are limited by the small 6 hours, followed by a 3-day collection number of subjects included; however, 2. Human Dermal Pharmacokinetic of urine and feces. Investigators there was gender-related difference (Bioavailability) Studies reported that approximately 54.6 observed in those males who had blood Because sunscreens are topically percent of the 14C-activity applied to the levels that were approximately twice applied, another important safety skin was recovered. An average of 0.76 that of females. A 2008 article by Janjua consideration for enzacamene for use in percent enzacamene was recovered in et al. contains a more complete analysis sunscreens is whether dermal urine and 0.14 percent in the feces. In of in vivo absorption for enzacamene in application may result in skin a second study (Note 9), investigators a 10 percent enzacamene formulation penetration and systemic exposure to reported a total recovery of 98.2 percent (Ref. 5). The levels of absorption were enzacamene, and if so, to what extent. and 90.7 percent overall recovery of the generally low but accumulation was A well-designed and -conducted human 14C-activity applied to the skin from two observed. However, the age of the dermal pharmacokinetic study can be volunteers, respectively. The third study females enrolled in the study was 2 to expected to detect and quantify the report (Note 10) was similar to the 3 times that of the males, confounding presence of enzacamene and/or any previous two studies in terms of the the interpretation of age or gender metabolites in blood or other bodily general design. Following the analysis effects. fluids that may have a bearing on safety, of the data from the planned six Overall, the data available are using recognized parameters such as volunteers, two more volunteers were incomplete for the assessment of human bioavailability percentage, maximum enrolled to evaluate the low observed bioavailability (dermal absorption) of plasma concentration (Cmax), time to recovery (54 to 69 percent) of the enzacamene. Accordingly, we request maximum plasma concentration (Tmax), radiolabeled enzacamene. A different data from human pharmacokinetic total area under the plasma recovery schema was applied to these studies to assess potential for and extent concentration versus time curve (AUC), last two patients with satisfactory of systemic absorption. These studies half-life, clearance, and volume of results in line with the previous studies. should be performed under expected distribution. This information can help As to the utility of the aggregate data, maximal-use conditions with the identify potential safety concerns and we cannot draw definitive conclusions proposed maximum concentration as help determine whether an adequate regarding the dermal absorption of discussed previously. safety margin for sunscreens containing enzacamene based on these studies. The In addition to the bioavailability data enzacamene exists. FDA recommends overall number of subjects was low, the described previously, three reports of that the pharmacokinetic studies studies were single-dose studies, a clinical pharmacology studies were performed on enzacamene also collect limited surface area was exposed to the submitted that evaluate the potential additional safety-related data from formulation, the recovery of effect of enzacamene on thyroid regularly scheduled physical radioactivity was variable, and finally function. The first was a pilot study in examinations, collection of vital signs, no blood or other body fluids were which a 5 percent enzacamene and other measures, which may help sampled to provide direct information formulation was applied twice, at 3- capture adverse skin events or other about systemic exposure. We also note hour intervals, to the abdomen and back

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of four adult subjects (two males and concentration up to 4 percent is safe for and regulatory reporting requirements two females) (Note 11). Subsequent use in finished cosmetic products for that differ from those in the United increases in the thyroid analytes whole body application (Ref. 6). If, after States, we nonetheless consider such thyroid-stimulating hormone (TSH), T3, full review of nonclinical toxicology information to be strongly relevant both and T4 were observed in some subjects. data (discussed in section I.B of this to our overall GRASE assessment of Blood and urine levels of enzacamene proposed order) and any additional enzacamene for use in sunscreens and were reported to have been measured clinical data, concerns exist regarding to our consideration of potential but no data were reported. We consider enzacamene’s thyroid safety, we will product labeling. FDA recognizes that the number of subjects in this study too recommend that additional clinical such information may not be available small to draw conclusions about the study be carried out. It is recommended from all countries; where that is the safety of enzacamene. In addition, there that we be consulted regarding the study case, please provide a written were missing data and the report lacked protocols prior to commencement of explanation for the lack of data. Overall, information about whether subjects’ such investigations. we seek sufficient data to characterize thyroid analyte levels exceeded normal 3 3. Human Safety Data To Establish enzacamene’s adverse event profile. levels. A second study evaluated the effect Adverse Event Profile Data Available for Enzacamene: Human on thyroid function of topical An evaluation of safety information Safety Data To Establish Adverse Event application of 5 percent enzacamene (6 from adverse event reports and other Profile grams (g) applied twice, at 3-hour safety-related information derived from The 1999 enzacamene submission intervals) in nine healthy volunteers commercial marketing experience of states that no complaints from (Note 12). This was a double-blind, sunscreen products containing customers concerning tolerance or placebo-controlled, crossover design enzacamene, as well as from other adverse reactions had been reported for study, and investigators reported that sources, is a critical aspect of FDA’s enzacamene by the cosmetic industry there was a statistically significant safety review for enzacamene. The TEA during the prior 10 years (Note 14). This lowering of mean T3 and T4 values in regulation under which the original information was referred to in the 2002 the active treatment group at 24 hours request for enzacamene was submitted TEA submission and the 2003 after application. Although larger than specifically calls for submission of enzacamene data submission. The 1999 the pilot study, this is a small single- information on all serious adverse drug enzacamene submission also included a dose study and the changes reported experiences, as defined in 21 CFR literature search for adverse reactions to were small relative to placebo and were 310.305(a) and 314.80(a), from each enzacamene from the following of questionable clinical significance. country where the active ingredient or databases: Medline (1966–1998), Interpretation of the results is also other condition has been or is currently Derwent Drug File (1983–1998), and hampered by the fact that some analytes marketed as either a prescription or CCSearch (week 3 1998–week 48 1998) (TSH and free T4) were below normal OTC drug; in addition, it calls for (Note 15). There were 17 articles levels at baseline. submission of all data generally reviewed which had been published or A third study was a parallel-group, specified in § 330.10(a)(2), which translated into English. Of these, 10 placebo-controlled design in which 48 includes documented case reports and articles describe contact dermatitis and subjects received treatment with either identification of expected or frequently resultant positive photopatch testing in enzacamene (5 g of a 6 percent reported side effects (§ 330.14(f)(1) and one or two patients. The 7 other articles enzacamene formulation per dose) or (f)(2)). To evaluate enzacamene, FDA are literature or case series reviews of placebo twice daily for 14 days (Note continues to seek individual adverse up to 400 patients, describing 13). According to the investigators, the drug experience reports, a summary of dermatologic adverse reactions to results of the study did not reveal any all serious adverse drug experiences, sunscreen use and subsequent significant differences in thyroid and expected or frequently reported side photopatch testing. On the whole, these function tests between enzacamene and effects of the condition (id.). To assist in reports suggest that enzacamene has the placebo, although there was a small the Agency’s safety evaluation of potential to cause contact allergy and between-group difference in thyroid enzacamene, FDA emphasizes our need photocontact allergy. However, data volume gland decrease (a 1.7 percent for the following data: from this literature have limitations. In reduction in the enzacamene arm and • A summary of all available reported some cases, the testing methodology an increase of 3.1 percent in the placebo adverse events potentially associated used to determine that enzacamene is an group). The quality of the study report with enzacamene; allergen is not described. Also, some of • submitted is inadequate to be used to All available documented case the test formulations used are not verify the analyses, but no adverse reports of serious side effects • described. It is conceivable that the events of hypothyroidism or Any available safety information observed reactions may have been hyperthyroidism or abnormal thyroid from studies of the safety and specific to particular test formulations, function tests were reported. effectiveness of enzacamene in humans; including formulations containing other The three clinical pharmacology and • active ingredients. studies submitted are insufficient either Relevant medical literature The submitted information and to substantiate or dismiss clinical describing adverse events associated literature do not fulfill the criteria concerns related to potential thyroid with enzacamene. Submissions of described previously. To support the effects from enzacamene. We request adverse event data should also include evaluation of safety of enzacamene for submission of any additional clinical a description of how each country’s thyroid function data or analyses that system identifies and collects adverse 3 See 67 FR 3060 at 3069 (, 2002) have not yet been submitted to us, events, unless this information has been (agreeing that the absence of an adverse experience including any provided to the European previously submitted as part of reporting system in a foreign country for drugs or Scientific Committee on Cosmetic enzacamene’s TEA package. cosmetics does not necessarily mean that a condition cannot be GRAS/E. The GRAS/E Products and Nonfood Products Although we recognize that adverse determination will be based on the overall quality (SCCNFP) to support its 2008 event data from foreign marketing of the data and information presented to conclusion that enzacamene at a experience may reflect patterns of use substantiate safety and effectiveness).

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use in OTC sunscreens, we request that 21) weight in males; and increased uterine the sponsor either supplement the data Æ Photosensitization (guinea pig) weight, decreased ovarian weight, and already submitted, including more (Note 22) altered sexual behavior in females. recent adverse drug experience data, or • Repeat-dose toxicity studies Overall, we cannot arrive at a final explain why such data cannot be Æ 17 days oral (rat) (Note 23) determination about the findings provided. Æ 4 weeks oral (rat) (Note 24) described in the literature until we Æ 13 weeks oral (rat) (Note 25) receive a complete nonclinical B. Nonclinical (Animal) Studies Æ Liver enzyme induction study (rat) assessment as described in sections Another important element of FDA’s (Note 26) II.B.1 through II.B.3. GRAS review of enzacamene for use in • Genotoxicity and mutagenicity assays We did not receive data from sunscreens is an assessment of data Æ Chromosome aberration assay toxicokinetic or dermal or systemic from nonclinical (animal) studies that (Chinese hamster V79 cells) (Note carcinogenicity studies. Upon characterize the potential long-term 27) assessment of all available information dermal and systemic effects of exposure Æ Mutagenicity (Salmonella for enzacamene and based on the to enzacamene. Even if the typhimurium) (Note 28) nonclinical studies currently bioavailability data discussed in section Æ Photomutagenicity (S. recommended to support sunscreen II.A.2 suggest that dermal application is typhimurium, Escherichia coli) development, the following nonclinical unlikely to result in skin penetration (Note 29) studies are recommended to support the and systemic exposure to enzacamene, • Reproductive and developmental safety of enzacamene: FDA still considers data on the effects toxicity studies • Dermal and systemic of systemic exposure to be an important Æ Orienting tests for embryotoxicity carcinogenicity aspect of our safety evaluation of (rabbit) (Note 30) • Fertility enzacamene. A determination that Æ Toxicological investigation • Prenatal/postnatal toxicity enzacamene up to 4 percent is GRASE (incubated hen’s egg) (Note 31) • Toxicokinetics for use in sunscreens would permit its Æ Teratogenicity (rat) (Note 32) Additional discussion of study use in as-yet-unknown product Based on the submitted studies, acute formulations, which might in turn alter findings and data gaps are provided in toxicity was low. However, the standard the following subsections. the skin penetration of the active battery of tests detected findings that we ingredient. Therefore, an understanding will consider further as additional data 1. Carcinogenicity Studies: Dermal and of the effects of enzacamene, were become available to inform our GRAS Systemic systemic exposure to occur, is critical to assessment. Studies submitted by the FDA guidance recommends that determine whether and how regulatory sponsor showed an increase in thyroid carcinogenicity studies be performed for parameters can be defined to assure that weight and changes in thyroid function any pharmaceutical that is expected to all conforming enzacamene-containing that included an increase in T3 and be clinically used continuously for at sunscreens would be GRASE as labeled. TSH, along with a decrease in T4. Other least 6 months or ‘‘repeatedly in an FDA recommends animal testing of thyroid findings included follicular intermittent manner’’ (Refs. 26, 27, and the potential long-term dermal and epithelium hypertrophy and 28). Because the proposed use of systemic effects of exposure to hyperplasia. A decrease in adrenal and enzacamene in OTC sunscreens falls enzacamene because these effects prostate weights, and alterations in within this category, these studies cannot be easily assessed from previous ovarian weights (an increase was seen in should be conducted to help establish human use. Taken together, the some studies while decreased weight that enzacamene is GRAS for its carcinogenicity studies, developmental was noted in others), was documented proposed use. Carcinogenicity studies and reproductive toxicity studies, and with a no observed adverse effect level assist in characterizing potential dermal toxicokinetic studies described in (NOAEL) of 25–30 mg/kilograms (kg)/ and systemic risks by identifying the sections II.B.1 through II.B.3 should day (Note 33). type of toxicity observed, the level of provide the information needed to To followup on these findings, we exposure at which toxicity occurs, and characterize both the potential dermal identified published literature that the highest level of exposure at which and systemic toxic effects and the levels describes related enzacamene activity. A no adverse effects occur (i.e., NOAEL). of exposure at which they occur. These number of these articles indicate that The NOAEL would then be used in data, when viewed in the context of exposure to enzacamene at high doses determining the safety margin for human exposure data, can be used to has been associated with hormonal human exposure to sunscreens determine a margin of safety for use of changes. Among the in vitro findings containing enzacamene. enzacamene in OTC sunscreens. (Refs. 7 through 16), a number of articles Systemic carcinogenicity studies can Data Available for Enzacamene: described the in vitro binding activity of also help to identify other systemic or Nonclinical (Animal) Studies Generally enzacamene to estrogen (ER) and organ toxicities that may be associated The enzacamene submissions androgen (AR) receptors where it was with enzacamene, such as hormonal + included data from the following types able to bind to ER but showed effects. For example, the effect of of nonclinical safety studies: inconsistent binding activity at ERa persistent disruption of particular receptors. No androgenic activity and • Acute-dose toxicity studies endocrine gland systems (e.g., Æ Oral toxicity (rats, dogs) (Note 16) mixed results for antiandrogenic activity hypothalamic-pituitary-adrenal axis), if Æ Dermal toxicity (rats) (Note 17) were also documented. any, can be captured by these assays. Æ Intraperitoneal toxicity (rats) (Note Other effects of enzacamene included in vivo alterations of reproductive Data Available for Enzacamene: 18) Genotoxicity Studies Æ Mucosal irritation (rabbits) (Note tissues and behavior in rats (Refs. 17 19) through 25). Findings include decreased Enzacamene showed no evidence of Æ Skin irritation and sensitization testis weight; increased prostate volume DNA mutations in one standard Ames (guinea pigs) (Note 20) and altered duct development; delayed test. A chromosomal aberration assay Æ Phototoxicity potential (mice) (Note preputial separation; decreased prostate using a Chinese hamster V79 cell line

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and a photomutagenicity assay were not found to be teratogenic in any of the clinical studies by qualified experts, and negative. Although these studies treated groups. Additional DART testing reports of significant human experience somewhat ease concerns about potential is recommended to assess fertility and during marketing. Isolated case reports, genotoxicity and mutagenicity, they prenatal and postnatal development in a random experience, and reports lacking were not definitive evaluations of rodent model. the details that permit scientific potential toxic effects from long-term 3. Toxicokinetics (Ref. 30) evaluation will not be considered. systemic or dermal exposure. General recognition of effectiveness We recommend conducting animal shall ordinarily be based upon Data Available for Enzacamene: toxicokinetic studies because they Carcinogenicity Studies published studies which may be provide an important bridge between corroborated by unpublished studies We did not receive dermal or systemic toxic levels seen in animal studies and and other data (§ 330.10(a)(4)(ii)). For carcinogenicity studies. Assessments of potential human exposure. Data from convenience, this order uses the term both dermal and systemic these studies can be correlated to ‘‘generally recognized as effective’’ carcinogenicity are recommended potential human exposure via clinical (GRAE) when referring to this aspect of because sunscreen products containing dermal pharmacokinetic study findings. the GRASE determination. enzacamene are expected to be applied Toxicokinetic data could be collected as To evaluate the efficacy of over large portions of the body with part of animal studies being conducted enzacamene for use in OTC sunscreen multiple daily applications. In addition, to assess one or more of the safety products, FDA requests evidence from as discussed previously, marketing of parameters described previously. at least two adequate and well- this product according to a final Data Available for Enzacamene: controlled SPF studies showing that sunscreen order might permit its Toxicokinetics enzacamene effectively prevents formulation in a variety of as-yet- sunburn. To determine that enzacamene No toxicokinetic data were submitted unknown vehicles that might have an is GRAE for use in OTC sunscreens at as part of any of the nonclinical studies, impact on systemic absorption. concentrations in a range with the thus it is difficult to bridge from animal Consequently, FDA seeks information proposed maximum strength of 4 findings to potential human exposure. on dermal and system carcinogenicity, percent as requested, two adequate and Toxicokinetic data should be collected in case of the possibility that systemic well-controlled SPF studies of as part of the animal studies to allow absorption could occur. enzacamene at a lower concentration exposure comparisons between animals 2. Developmental and Reproductive should be conducted according to and humans. 4 Toxicity (DART) Studies (Ref. 29) Toxicokinetic data are particularly established standards. These SPF FDA recommends conducting DART important to the evaluation of studies should demonstrate that the studies to evaluate the potential effects enzacamene’s safety for use in selected concentration (below 4 percent) that exposure to enzacamene may have sunscreens because enzacamene appears provides an SPF of 2 or more. on developing offspring throughout to have the potential to affect some The current standard procedure for endocrine-responsive endpoints. We SPF testing is described in FDA’s gestation and postnatally until sexual 5 maturation, as well as on the need toxicokinetic data to develop more regulations in § 201.327(i). Further SPF reproductive competence of sexually information about exposure parameters, tests for enzacamene should be mature male and female animals. in order to understand whether a margin performed as described in these Gestational and neonatal stages of of safety exists between the exposures regulations, using a test formulation development may also be particularly that cause the effects in animals and containing enzacamene as the only sensitive to active ingredients with estimated human exposures. Should we active ingredient to identify its hormonal activity. For this reason, we find, after review of a more complete contribution to the overall SPF test recommend that these studies include nonclinical program, that additional results. (See the following subsection assessments of endpoints such as clinical studies are warranted, we will Data Available for Enzacamene: vaginal patency, preputial separation, provide additional recommendations Effectiveness for further discussion of anogenital distance, and nipple regarding the design of the studies. submitted SPF tests.) The study should retention, which can be incorporated also include a vehicle control arm in III. Effectiveness Data Considerations into traditional DART study designs to order to rule out any contribution the for OTC Sunscreen Products Containing assess potential hormonal effects of vehicle may have on the SPF test Enzacamene enzacamene on the developing results. Finally, as described in offspring. We also recommend FDA’s evaluation of the effectiveness § 201.327(i), an SPF standard conducting behavioral assessments (e.g., of active ingredients under formulation comparator arm should be mating behavior) of offspring, which consideration for inclusion in an OTC another component of the study design. may also detect neuroendocrine effects. drug monograph is governed by the Although current sunscreen testing following regulatory standard: and labeling regulations also specify a Data Available for Enzacamene: DART Effectiveness means a reasonable ‘‘broad spectrum’’ testing procedure to Studies expectation that, in a significant support related labeling claims for Potential reproductive and proportion of the target population, the certain OTC sunscreen products developmental effects from enzacamene pharmacological effect of the drug, marketed without approved new drug were evaluated in two embryotoxicity when used under adequate directions studies and one teratogenicity study. for use and warnings against unsafe use, 4 The upper bound of any concentration of enzacamene ultimately established in the OTC Enzacamene did not show evidence of will provide clinically significant relief sunscreen monograph will be governed by the embryotoxicity in a pilot rabbit test and of the type claimed. Proof of efficacy safety data, as well as by efficacy. hen’s egg assay. In a teratogenicity study shall consist of controlled clinical 5 Although the SPF testing procedure is used in rats with oral administration of single investigations as defined in 21 CFR primarily for final formulation testing of finished products marketed without approved NDAs, under daily doses of 10, 30, and 100 mg/kg of 314.126(b). Investigations may be the sunscreen monograph, it is equally applicable enzacamene administered on days 6 to corroborated by partially controlled or for determining whether or not a sunscreen active 15 after conception, enzacamene was uncontrolled studies, documented ingredient is GRAE.

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applications that contain specified established at any of the concentrations effectiveness of sunscreen products active ingredients included in the tested. In addition, none of these study containing enzacamene in humans stayed sunscreen monograph, those reports specified the use of appropriate 4. Relevant medical literature describing additional claims are permitted, but not standard controls to validate the test adverse events associated with required (§ 201.327(c)(2) and (j)). Under results. Currently, there are insufficient enzacamene current regulations, sunscreen active data to support a finding that Alternatively, the results of a ingredients need only be effective for enzacamene is GRAE at concentrations literature search that found no reports of the labeled indication of sunburn up to 4 percent. adverse events may be provided. In that prevention, for which the SPF test can To support a finding that enzacamene case, detailed information on how the provide sufficient evidence. Consistent is GRAE at concentrations up to 4 search was conducted should be with this approach, we here do not percent, we request data from two provided. request broad spectrum testing data for adequate and well-controlled SPF C. Nonclinical (Animal) Studies enzacamene. Broad spectrum protection studies conducted according to is often, although not always, the result established standards to demonstrate 1. Dermal and systemic carcinogenicity of the combined contribution of that the lowest selected concentration (see section II.B.1) multiple active ingredients in a final provides an SPF of 2 or more. Because 2. Fertility (see section II.B.2) 3. Prenatal/postnatal development (see sunscreen formulation. Thus, under the no study has been identified that section II.B.2) current regulations applicable to other establishes that enzacamene is effective sunscreens, the determination of 4. Toxicokinetics (see section II.B.3) at a concentration of 4 percent, we also • whether an individual sunscreen Effectiveness Data (see section III) recommend that such a study be In order for concentrations of product may be labeled as broad conducted and submitted. spectrum and bear the related additional enzacamene up to 4 percent to be found claims is made on a product-specific IV. Summary of Current Data Gaps for to be GRASE for use in nonprescription basis, applying standard testing Enzacamene sunscreen products as requested, at least two SPF studies showing effectiveness methods set forth in those regulations. Based on our review of the available of a selected concentration lower than 4 If enzacamene is established to be safety and efficacy data as discussed percent should be conducted. An GRASE for use in nonprescription previously, we request the types of data efficacy study of enzacamene at 4 sunscreens (based in part on the efficacy listed in this section of the proposed percent is also recommended. data requested here), the final order can order, at minimum, for us to reverse our likewise address broad-spectrum testing tentative determination that V. Administrative Procedures and related labeling conditions for final enzacamene is not GRASE and is A copy of this proposed order will be sunscreen formulations containing misbranded because the data are enzacamene. filed in the Division of Dockets insufficient to classify enzacamene as Management in Docket Numbers FDA– Data Available for Enzacamene: GRASE and not misbranded, and 2003–N–0196, FDA–1978–N–0018, and Effectiveness additional data are necessary to allow us FDA–1996–N–0006. To inform FDA’s to determine otherwise. For additional A total of 11 efficacy studies were evaluation of whether this ingredient is information about the purpose and submitted. Two studies, an in vitro GRASE and not misbranded for use in design of studies recommended to assessment and a field study, both dated sunscreen products, we encourage the address these data gaps, please refer to from the 1970s, did not use study sponsor and other interested parties to the earlier sections of this proposed designs that we consider valid for SPF submit additional data regarding the order referenced in parentheses. We assessment for a GRASE determination safety and effectiveness of this welcome discussions on design of any (Docket No. 78N–0038, OTC Volume ingredient for use as an OTC sunscreen of the studies prior to their 060083, submitted , 1973; product. We also encourage the sponsor commencement. We request the Docket No. 78N–0038, OTC Volume and other interested parties to notify us following types of data: 060130, submitted November 1974). The in writing of their intent to submit • other nine studies all tested enzacamene Safety Data (see section II) additional data. However, as noted as the only active ingredient. These A. Human Clinical Studies previously, because the data submitted included two studies of 1.25 percent to date are not sufficient to support a enzacamene and three studies of 2.5 1. Skin irritation/sensitization and determination that enzacamene is percent enzacamene, concentrations photosafety (see section II.A.1) GRASE for use as an active ingredient within the range found eligible for 2. Human dermal pharmacokinetic in OTC sunscreen drug products, at consideration of GRASE status in the (bioavailability) studies (see section present, OTC sunscreen products Agency’s 2003 eligibility determination, II.A.2) containing enzacamene may not be and three studies of 5 percent The need for additional human safety marketed without approval of an NDA enzacamene and one study of 10 percent studies (e.g., for evaluation of hormonal (see section 586C(e)(1)(A) of the FD&C enzacamene, concentrations above the disruption) will be based on review of Act, as amended by the SIA). Data maximum established to be eligible for the completed nonclinical studies, as submissions relating to this proposed consideration, which studies we do not recommended in section IV.C. order should be submitted to Docket further address in this proposed order. Numbers FDA–2003–N–0196, FDA– B. Human Safety Data To Establish (FDA–1978–N–0018–0766, Citizen 1978–N–0018, and FDA–1996–N–0006 Adverse Event Profile (II.A.3) Petition (CP1), submitted December 17, at the Division of Dockets Management 1980.) In each of the five studies 1. A summary of all available reported (see ADDRESSES). In addition, you can addressing enzacamene at adverse events potentially submit the data through the Federal concentrations of 1.25 percent and 2.5 associated with enzacamene eRulemaking Portal at: http:// percent, enzacamene achieved a mean 2. All available documented case reports www.regulations.gov. Follow the SPF of 2, but there is substantial of serious side effects instructions for submitting comments. variability in the data and it cannot be 3. Any available safety information from Section 586C(b)(7) of the FD&C Act, confirmed that that efficacy was studies of the safety and as amended by the SIA, provides that

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the sponsor may, within 30 days of 8. FDA–1978–N–0018–0759 (Sup 25), IX. References publication of a proposed order (see Volume 2, Report 14, dated November DATES), submit a request to FDA for a 29, 1982. The following references have been meeting to discuss the proposed order. 9. FDA–1978–N–0018–0759 (Sup 25), placed on display in the Division of Submit meeting requests electronically Volume 2, Report 15, dated , Dockets Management (see ADDRESSES) to http://www.regulations.gov or in 1984. and may be seen by interested persons writing to the Division of Dockets 10. FDA–1978–N–0018–0760 (Sup between 9 a.m. and 4 p.m., Monday Management (see ADDRESSES), identified 26), Volume 3, Report 16, dated , through Friday, and are available with the active ingredient name 1984. electronically at http:// enzacamene, the docket numbers found 11. FDA–1978–N–0018–0760 (Sup www.regulations.gov. (FDA has verified in brackets in the heading of this 26), Volume 3, Report 19, dated August the Web site addresses in this reference proposed order, and the heading 1, 1981. section, but FDA is not responsible for ‘‘Sponsor Meeting Request.’’ To 12. FDA–1978–N–0018–0760 (Sup any subsequent changes to the Web sites facilitate your request, please also send 26), Volume 3, Report 18, dated , after this document publishes in the a copy to Kristen Hardin (see FOR 1982. Federal Register.) FURTHER INFORMATION CONTACT). 13. FDA–1978–N–0018–0762 (Sup 1. FDA, Guidance for industry, ‘‘Photosafety 28), Volume 5, Report 29, Study no. 43/ Testing,’’ May 2003 (available at http:// VI. Proposed Effective Date 20792, dated , 1995. www.fda.gov/downloads/Drugs/ FDA proposes that any final 14. FDA–1978–N–0018–0754 (Sup GuidanceComplianceRegulatory administrative order based on this 24), dated April 12, 1999. Information/Guidances/ucm079252.pdf). proposal become effective on the date of 15. FDA–1978–N–0018–0755 (Sup 2. FDA, Guidance for Industry, ‘‘Guideline publication of the final order in the 24), Attachment 1, dated April 12, 1999. for the Format and Content of the Human 16. FDA–1978–N–0018–0758 (Sup Pharmacokinetics and Bioavailability Federal Register. 24), Volume 1, Reports 1, 2, 3 and 4, Section of an Application,’’ February VII. Comments Study no. 4/83/71, 4/130/73, 4/131/73, 1987 (available at http://www.fda.gov/ downloads/drugs/GuidanceCompliance Similarly, section 586C(b)(6) of the 4/52/80. 17. FDA–1978–N–0018–0758 (Sup RegulatoryInformation/Guidances/ FD&C Act, as amended by the SIA, ucm072112.pdf). establishes that a proposed sunscreen 24), Volume 1, Reports 2 and 3, Study 3. Janjua, N.R., et al., ‘‘Systemic Absorption order shall provide 45 days for public no. 4/130/73 and 4/131/73. of the Sunscreens Benzophenone-3, comment. Interested persons wishing to 18. Id. Octyl-Methoxycinnamate, and 3-(4- 19. Id. Methyl-Benzylidene) Camphor After comment on this proposed order . Id. submit either electronic comments to Whole Body Topical Application and 21. FDA–1978–N–0018–0759 (Sup Reproductive Hormone Levels in http://www.regulations.gov or written 25), Volume 2, Report 8, dated October Humans.’’ Journal of Investigative comments to the Division of Dockets 16, 1978. Dermatology, vol. 123, pp. 57–61, 2004. Management (see ADDRESSES). It is only 22. FDA–1978–N–0018–0759 (Sup 4. Schauer, U.M., et al., ‘‘Kinetics of 3- necessary to send one set of comments. 25), Volume 2, Report 9, dated October (methylbenzlidene) Camphor in Rats and Identify comments with the active 16, 1978. Humans After Dermal Application.’’ ingredient name (enzacamene) and the 23. FDA–1978–N–0018–0758 (Sup Toxicology and Applied Pharmacology, docket numbers found in brackets in the 24), Volume 1, Report 5, dated , vol. 216(2), pp. 339–346, 2006. 5. Janjua, N.R., et al., ‘‘Sunscreens in Human heading of this proposed order. 1983. Received comments on this proposed Plasma and Urine After Repeated Whole- 24. Id. Body Topical Application.’’ Journal of order may be seen in the Division of 25. FDA–1978–N–0018–0759 (Sup the European Academy of Dermatology Dockets Management between 9 a.m. 25), Volume 2, Report 7, dated , and Venereology, vol. 22, pp. 456–461, and 4 p.m., Monday through Friday, and 1984. 2008. will be posted to the docket at http:// 26. FDA–1978–N–0018–0760 (Sup 6. Scientific Committee on Consumer www.regulations.gov. 26), Volume 3, Report 17, dated , Products (SCCP)/1184/08—SCCNFP 1984. opinion on 4-Methylbenzylidene VIII. Notes 27. FDA–1978–N–0018–0760 (Sup camphor (4–MBC) Colipa n° S60 adopted 1. FDA–2003–N–0196–0056, Time 26), Volume 3, Report 22, Study no. during the 16th plenary meeting of June and Extent Application (TEA) Request LMP166, dated , 1986. 24, 2008 (available at http:// ec.europa.eu/health/ph_risk/ to Reopen the Rulemaking Record; 28. FDA–1978–N–0018–0759 (Sup _ _ _ submitted , 2002. 25), Volume 2, Report 13, Study no. 4/ committees/04 sccp/docs/sccp o 2. FDA–2003–N–0196–0028, C1, 141.pdf). 56/80, dated , 1980. 7. Jime´nez-Dı´az, I., et al., ‘‘Simultaneous dated October 9, 2003. 29. FDA–1978–N–0018–0761 (Sup Determination of the UV-Filters Benzyl 3. FDA–1978–N–0018–0759 (Sup 25), 27), Volume 4, Report 28, Study no. 40/ Salicylate, Phenyl Salicylate, Octyl Volume 2, Report 10, dated /93, dated , 1993. Salicylate, Homosalate, 3-(4- 27, 1972. 30. FDA–1978–N–0018–0760 (Sup Methylbenzylidene) Camphor and 3- 4. FDA–1978–N–0018–0760 (Sup 26), 26), Volume 3, Report 23, Study no. 4/ Benzylidene Camphor in Human Volume 3, Report 20, dated /84, Experiment No. T9207. Placental Tissue by LC–MS/MS. 8, 1982. 31. FDA–1978–N–0018–0761 (Sup Assessment of Their In Vitro Endocrine 5. FDA–1978–N–0018–0759 (Sup 25), 27), Volume 4, Report 24 and 25, dated Activity.’’ Journal of Chromatography. B, Volume 2, Report 11, dated February 20, , 1987, and , 1987. Analytical Technologies in the 1980. 32. FDA–1978–N–0018–0761 (Sup Biomedical and Life Sciences, vol. 936, 6. FDA–1978–N–0018–0759 (Sup 25), 27), Volume 4, Report 26, Study no. 4/ pp. 80–87, 2013. 8. Gomez, E., et al., ‘‘Estrogenic Activity of Volume 2, Report 12, dated February 20, 43/88, Experiment No. T9305, dated Cosmetic Components in Reporter Cell 1980. , 1983. Lines: Parabens, UV Screens and 7. FDA–1978–N–0018–0760 (Sup 26), 33. FDA–1978–N–0018–0759 (Sup Musks.’’ Journal of Toxicology and Volume 3, Report 21, dated June 5, 25), Volume 2, Report 7, dated April 26, Environmental Health, Part A, vol. 68, 1985. 1984. pp. 239–251, 2005.

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9. Ma, R., et al., ‘‘UV Filters With Endocrine Disrupters: Developmental DEPARTMENT OF HEALTH AND Antagonistic Action at Androgen Exposure of Rats to 4-Methylbenzylidene HUMAN SERVICES Receptors in the MDA–kb2 Cell Camphor.’’ Toxicology and Applied Transcriptional-Activation Assay.’’ Pharmacology, vol. 218(2), pp. 152–165, Food and Drug Administration Toxicological Sciences, vol. 74(1), pp. 2007. 43–50, 2003. 22. Maerkel, K., et al., ‘‘Sex- and Region- 10. Mueller, S.O., et al., ‘‘Activation of Specific Alterations of Progesterone 21 CFR Part 310 Estrogen Receptor Alpha and ERbeta by Receptor mRNA Levels and Estrogen [Docket No. FDA–2008–N–0474] 4-Methylbenzylidene-Camphor in Sensitivity in Rat Brain Following Human and Rat Cells: Comparison With Developmental Exposure to the Over-the-Counter Sunscreen Drug Estrogenic UV Filter 4- Phyto- and Xenoestrogens.’’ Toxicology Products—Regulatory Status of Letters, vol. 142(1–2), pp. 89–101, 2003. Methylbenzylidene Camphor.’’ 11. Schlumpf, M., et al., ‘‘Estrogenic Activity Environmental Toxicology and Ecamsule and Estrogen Receptor Beta Binding of Pharmacology, vol. 19(3), pp. 761–765, AGENCY: Food and Drug Administration, the UV Filter 3-Benzylidene Camphor. 2005. Comparison With 4-Methylbenzylidene 23. Schlumpf, M., et al., ‘‘In Vitro and In HHS. Camphor.’’ Toxicology, vol. 199(2–3), pp. Vivo Estrogenicity of UV Screens.’’ ACTION: Proposed order; request for 109–120, 2004. Environmental Health Perspectives, vol. comments. 12. Schmutzler, C., et al., ‘‘Endocrine 109(3), pp. 239–244, 2001. Erratum in: Disruptors and the Thyroid Gland—A Environmental Health Perspectives, vol. SUMMARY: The Food and Drug Combined In Vitro and In Vivo Analysis 109(11), p. A517, 2001. Administration (FDA or the Agency) is of Potential New Biomarkers.’’ 24. Schlumpf, M., et al., ‘‘Estrogenic Activity issuing a proposed sunscreen order Environmental Health Perspectives, vol. and Estrogen Receptor Beta Binding of the UV Filter 3-Benzylidene Camphor. (proposed order) under the Federal 115 (Supplement 1), pp. 77–83, 2007. Food, Drug, and Cosmetic Act (the 13. Schreurs, R., et al., ‘‘Estrogenic Activity Comparison With 4-Methylbenzylidene of UV Filters Determined by an In Vitro Camphor.’’ Toxicology, vol. 199(2–3), pp. FD&C Act), as amended by the Reporter Gene Assay and an In Vivo 109–120, 2004. Sunscreen Innovation Act (SIA). The Transgenic Zebrafish Assay.’’ Archives of 25. Schlumpf, M., et al. ‘‘Endocrine Activity proposed order announces FDA’s Toxicology, vol. 76, pp. 257–261, 2002. and Developmental Toxicity of Cosmetic tentative determination that ecamsule 14. Seidlova´-Wuttke, D., et al., ‘‘Comparison UV Filters—An Update.’’ Toxicology, (also known as terephthalylidene of Effects of Estradiol With Those of vol. 205(1–2), pp. 113–122, 2004. 26. International Conference on dicamphor sulfonic acid) at Octylmethoxycinnamate and 4- Harmonization (ICH), Guidance for concentrations up to 10 percent is not Methylbenzylidene Camphor on Fat Industry, ‘‘The Need for Long Term generally recognized as safe and Tissue, Lipids and Pituitary Hormones.’’ Rodent Carcinogenicity Studies of effective (GRASE) and is misbranded Toxicology and Applied Pharmacology, Pharmaceuticals S1A,’’ March 1996 when used in over-the-counter (OTC) vol. 214(1), pp. 1–7, 2006. (available at http://www.fda.gov/ 15. S

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rulemaking. All comments received may OTC sunscreen active ingredient discussed in this proposed order be posted without change to http:// (ecamsule), the remainder of this address procedures applicable to other www.regulations.gov, including any discussion will refer only to ‘‘active pending and future sunscreen active personal information provided. For ingredients.’’ ingredient GRASE determinations, additional information on submitting Critical steps in a proceeding under pending and future GRASE comments, see the ‘‘Comments’’ heading the TEA regulation include the determinations for OTC products other of the SUPPLEMENTARY INFORMATION following: (1) FDA’s determination that than sunscreens, issuance of specified section of this document. an active ingredient had been marketed guidances and reports, and completion Docket: For access to the docket to for the proposed OTC use for a material of pending sunscreen rulemakings, read background documents or time and to a material extent (eligibility among others. comments received, go to http:// determination), and public call for A proposed sunscreen order under the www.regulations.gov and insert the submission of safety and efficacy data, SIA is an order containing FDA’s docket numbers, found in brackets in followed by; (2) review of safety and tentative determination proposing that a the heading of this document, into the efficacy data submitted by the sponsor nonprescription sunscreen active ‘‘Search’’ box and follow the prompts or other interested parties; and (3) ingredient or combination of and/or go to the Division of Dockets FDA’s initial determination that the data ingredients: (1) Is GRASE and is not Management, 5630 Fishers Lane, Rm. show the active ingredient to be either misbranded when marketed in 1061, Rockville, MD 20852. GRASE or not GRASE for OTC use accordance with the proposed order; (2) Submit requests for a meeting with under the applicable monograph is not GRASE and is misbranded; or (3) FDA to discuss this proposed order to conditions (including any new is not GRASE and is misbranded Kristen Hardin (see FOR FURTHER conditions rising from FDA’s review) because the data are insufficient to INFORMATION CONTACT). (GRASE determination). Under the TEA classify the active ingredient or FOR FURTHER INFORMATION CONTACT: regulation, FDA’s GRASE combination of ingredients as GRASE Kristen Hardin, Division of determinations are effectuated through and not misbranded, and additional Nonprescription Drug Products, Center notice and comment rulemaking to information is necessary to allow FDA for Drug Evaluation and Research, Food amend or establish the appropriate to determine otherwise (section 586(7) and Drug Administration, 10903 New monograph. of the FD&C Act, as amended by the Hampshire Ave., Bldg. 22, Rm. 5491, The TEA process in FDA regulations SIA). Publication of a proposed Silver Spring, MD 20993–0002, 240– was supplemented by Congress’s sunscreen order triggers several 402–4246. enactment of the SIA. Among other timelines under the SIA, including a 45- SUPPLEMENTARY INFORMATION: amendments it makes to the FD&C Act, day public comment period, and a 30- the SIA creates new procedures day period in which a sponsor may I. Regulatory Background specifically for reviewing the safety and request a meeting with FDA to discuss A. Regulatory and Statutory Framework effectiveness of nonprescription the proposed order. sunscreen active ingredients, including The data and information addressed those, such as ecamsule, that were the B. FDA’s Review of Ecamsule in this proposed order were originally subject of pending TEA proceedings at L’Oreal asked FDA to include submitted for review under FDA’s Time the time the SIA was enacted. Like the ecamsule in concentrations up to 10 and Extent Application (TEA) TEA regulation, the SIA calls for an percent as an active ingredient in the regulation, § 330.14 (21 CFR 330.14), a initial eligibility determination phase OTC sunscreen monograph in a TEA process that has since been for nonprescription sunscreen active submitted , 2007. FDA supplemented with new statutory ingredients, followed by submissions of announced on , 2008, that procedures established in the SIA (Pub. safety and efficacy data and a GRASE ecamsule had been found eligible in L. 113–195), enacted November 26, determination phase. However, the SIA concentrations up to 10 percent to be 2014. The discussion that follows requires FDA to make proposed and considered for inclusion in the OTC briefly describes and compares the TEA final GRASE determinations for sunscreen monograph (21 CFR part 352, and SIA processes as they apply to the nonprescription sunscreen active currently stayed), and requested regulatory status of ecamsule. ingredients in the form of administrative submissions of safety and effectiveness The TEA regulation established a orders rather than the multistep public data to support a GRASE determination process through which a sponsor could rulemaking required by the TEA for the requested OTC use (73 FR request that an active ingredient or other regulation, and establishes strict 53029). L’Oreal submitted safety and OTC condition,1 particularly one not timelines for the necessary efficacy data on ecamsule to the previously marketed in the United administrative actions. designated docket (FDA–2008–N–0474) States, be added to an OTC drug Among other requirements, no later on , 2008 (ecamsule data monograph to enable compliant OTC than 90 days after the SIA was enacted submission). At the time the SIA was drug products containing the condition (i.e., no later than February 24, 2015), enacted, FDA had not issued a TEA to be marketed in the United States FDA must publish a proposed sunscreen feedback letter or otherwise responded without an approved new drug order in the Federal Register for any to that submission. application (NDA) or abbreviated new nonprescription sunscreen active In accordance with new section drug application (ANDA). Because this ingredient, including ecamsule, for 586C(b)(4) of the FD&C Act as amended proposed order specifically addresses an which, on the date of enactment, an by the SIA, we are issuing this notice as eligibility determination had been a proposed order for ecamsule. Based on 1 For purposes of OTC drug regulation, a ‘‘condition’’ is defined as an active ingredient or issued under the TEA regulation and our review of the ecamsule data botanical drug substance (or a combination of active submissions of safety and efficacy data submission, we have made a tentative ingredients or botanical drug substances), dosage received, and for which a TEA feedback determination that ecamsule is not form, dosage strength, or route of administration letter had not yet been issued (section GRASE for OTC sunscreen use and is marketed for a specific OTC use, with specific exclusions (see § 330.14(a)(2)). This document will 586C(b)(4) of the FD&C Act (21 U.S.C. misbranded because the data are refer simply to new ‘‘active ingredients,’’ since that 360fff-3(b)(4)), as amended by the SIA). insufficient to classify it as GRASE and is the condition under consideration. Other provisions of the SIA that are not not misbranded, and additional

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information is necessary to allow us to assessing what specific testing or other evaluation of topical drug products that, determine otherwise. The remainder of data are needed to adequately like ecamsule-containing sunscreens, this proposed sunscreen order describes demonstrate the safety of ecamsule for are applied to the skin repeatedly over our review of safety and efficacy data, use in sunscreen, FDA considers the long periods of time. FDA recommends identifies additional data needed to circumstances under which OTC separate studies for skin irritation and demonstrate that ecamsule is GRASE for sunscreen products that could contain sensitization. Skin irritation studies the requested use, and explains our ecamsule would be used by consumers. should generally include at least 30 rationale for specific conclusions and When used as directed with other sun evaluable subjects and should evaluate data requirements. protection measures, broad spectrum the test formulation (i.e., ecamsule in an This proposed order will be open for OTC sunscreen products with a sun appropriate test vehicle), the vehicle public comment (see DATES). The protection factor (SPF) value of 15 or alone, and both negative and positive sponsor may request a meeting with higher strongly benefit the public health controls. Skin sensitization studies FDA to discuss this proposed order (see by decreasing the risk of skin cancer and generally should include at least 200 DATES). We also invite the sponsor to premature skin aging associated with subjects and should evaluate the test submit additional safety and/or efficacy solar ultraviolet (UV) radiation, as well formulation containing ecamsule, the data to inform our further consideration, as by helping to prevent sunburn. vehicle, and a negative control. For both as publication of a final sunscreen order (Sunscreens with lower SPF values, or irritation and sensitization studies, test for ecamsule under the SIA will be without broad spectrum protection, also site applications should be randomized contingent on receipt of such help prevent sunburn.) When used as and the test observer blinded to the information. (See section 586C(b)(9)(ii) directed by the required labeling, all identities of the test formulations. of the FD&C Act.) We specifically OTC sunscreen products are applied FDA recommends that photosafety encourage the sponsor to discuss any liberally to the skin and reapplied evaluation generally involve studies of proposed study protocols with us before frequently throughout the day skin photoirritation (phototoxicity) and performing the studies. (§ 201.327(e) (21 CFR 201.327(e))). skin photosensitization (photoallergenicity). General principles II. Safety Data Considerations for OTC Because the effects of UV exposure are for designing and conducting Sunscreen Products Containing cumulative, to obtain the maximum photosafety studies are described in Ecamsule benefit, users of broad spectrum sunscreens with an SPF value of 15 or FDA guidance (Ref. 1). Photosafety In evaluating the safety of a proposed higher are directed to use such products studies, like sensitization and irritation monograph active ingredient, FDA regularly—on a routine basis (id.). Given studies, should be conducted using applies the following regulatory these conditions of use, our safety ecamsule 10 percent in an appropriate standard: Safety means a low incidence evaluation of an OTC sunscreen active test vehicle, the vehicle alone, and a of adverse reactions or significant side ingredient such as ecamsule must negative control. In addition, effects under adequate directions for use consider both short-term safety concerns phototoxicity studies should include at and warnings against unsafe use as well (such as skin sensitization/irritation and least 30 evaluable subjects and as low potential for harm which may photosafety) and potential concerns photoallerginicity studies should result from abuse under conditions of related to long-term sunscreen use, include at least 45 evaluable subjects. widespread availability. Proof of safety including potential systemic exposure shall consist of adequate tests by Data Available for Ecamsule: Human methods reasonably applicable to show via dermal absorption. Irritation, Sensitization, and Photosafety The purpose of the safety testing the drug is safe under the prescribed, Studies described in this section II is to recommended, or suggested conditions We received information regarding 26 establish whether an OTC sunscreen of use. This proof shall include results non-U.S. human dermal safety studies product containing ecamsule and of significant human experience during evaluating formulations containing up otherwise marketed under the marketing. General recognition of safety to approximately 4 percent ecamsule conditions described in a final shall ordinarily be based upon with one or more other additional active published studies which may be sunscreen order and in accordance with ingredients (Note 1). These studies corroborated by unpublished studies all requirements applicable to exposed a total of approximately 1,500 and other data (§ 330.10(a)(4)(i) (21 CFR nonprescription drugs would be GRAS adults to formulations containing 330.10(a)(4)(i))). for use as labeled. To demonstrate that ecamsule. Reports of 21 of these studies FDA’s OTC drug regulations generally these requirements are met for were complete: 2 of these studies identify the types of information that ecamsule, initial safety testing should be assessed primary cutaneous irritation, 7 may be submitted as evidence that an performed using ecamsule as the sole assessed cumulative irritation and active ingredient or other OTC drug active ingredient up to the highest sensitization potential, 9 assessed condition is safe, as part of the concentration for which marketing phototoxicity potential, and 3 assessed consideration of whether an active status is sought and eligibility has been photosensitizing potential. However, the ingredient or other condition is GRASE established: 10 percent. If initial testing information provided in the 21 (§ 330.10(a)(2)). For convenience, this suggests a particular safety concern complete study reports does not meet order uses the term ‘‘generally associated with ecamsule (e.g., a FDA’s current standards to support the recognized as safe (GRAS)’’ to refer to hormonal activity), FDA may request human dermal safety of ecamsule at any that aspect of the GRASE determination. additional studies to address that concentration. All of these studies To apply the general OTC safety concern. assessed formulations containing more standard to each potential new A. Human Safety Data than one active ingredient and therefore condition, FDA uses its scientific provide only limited insight into the expertise to determine what constitutes 1. Human Irritation, Sensitization, and safety of ecamsule. Furthermore, the ‘‘adequate tests by methods reasonably Photosafety Studies formulations used in these studies applicable to show the drug is safe Studies of skin irritation, included ecamsule only in under the prescribed, recommended, or sensitization, and photosafety are concentrations of between 0.33 percent suggested conditions of use.’’ In standard elements in the safety and 3.96 percent, and therefore would

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not support a determination that by FDA did not identify additional percent in various vehicles, including ecamsule is GRAS at concentrations publications regarding the human vehicles that would be expected to between 3.96 percent and 10.0 percent dermal safety of ecamsule in enhance absorption. We encourage as found eligible for review and concentrations up to 10 percent for use study sponsors to consult with us before requested for GRASE evaluation by as an OTC sunscreen. conducting pharmacokinetic studies, L’Oreal. Other deficiencies noted FDA concludes that the data because the properties of ecamsule bear included: submitted are not sufficient to assess the on the optimal design. • Failure to provide individual skin dermal safety of ecamsule in reaction scores to negative controls in concentrations up to 10 percent and Data Available for Ecamsule: Human all studies. specifically its potential to cause Dermal Pharmacokinetic • Failure to enroll a sufficient number irritation, sensitization, photoirritation, (Bioavailability) Studies of subjects in the sensitization, or photoallergenicity. Submission of Human dermal pharmacokinetic phototoxicity, and photoallergenicity data from human irritation, studies for ecamsule were submitted in studies. sensitization, and photosafety studies response to our call for data. We • Although the cumulative irritation that meet FDA standards (see section reviewed one in vitro study that studies enrolled an adequate number of II.A.1) is recommended to demonstrate evaluated the potential for dermal evaluable subjects, there was a failure to that an OTC sunscreen product penetration of topically applied indicate whether positive controls were containing up to 10 percent ecamsule is ecamsule from human skin samples used, and only three study reports not an irritant, sensitizer, (Note 4). Because this study was not indicated a negative control was used. photosensitizer, or photoirritant. designed to detect or quantify ecamsule • Failure to indicate whether or not in the blood or other body fluids, it investigators in the primary cutaneous 2. Human Dermal Pharmacokinetic provides no useful information about irritation, phototoxicity, and (Bioavailability) Studies systemic exposure. One urinary photoallergenicity studies were blinded Because sunscreens are topically excretion study conducted with a 4.95 to patch applications. applied, another important safety percent ecamsule test formulation • Failure to indicate whether the consideration for ecamsule for use in suggested minimal systemic absorption phototoxicity and photoallergenicity sunscreens is whether dermal in seven male volunteers dosed over an studies included vehicle controls. application may result in skin extensive body surface area for a total of The ecamsule data submission also penetration and systemic exposure to 5 days (Note 5). A study in which included reports for 14 studies exposing ecamsule, and if so, to what extent. A radiolabeled 2 percent ecamsule was a total of over 500 children primarily well-designed and -conducted human topically applied to the forearms of five between 3 and 12 years of age to dermal pharmacokinetic study can be male volunteers and retained for 4 hours sunscreen formulations containing expected to detect and quantify the detected a minimal level of radiation ecamsule in concentrations of 1.5 presence of ecamsule and/or any above background in urine after dosing percent to 9 percent, with 1 or more metabolites in blood or other bodily but radiation levels above background other additional active ingredients (Note fluids that may have a bearing on safety, were not detected in blood (Note 6). 2). Numerous dermatologic reactions using recognized parameters such as Although this study suggests that were reported; however, none were bioavailability percentage, maximum ecamsule is minimally absorbed considered serious. plasma concentration (Cmax), time to following dermal application, the study Three human safety-related literature maximum plasma concentration (Tmax), formulation contained ecamsule at a citations listed in the submission were total area under the plasma concentration much lower than the limited to studies describing concentration versus time curve (AUC), requested 10 percent maximum and photoallergic reactions to combination half-life, clearance, and volume of only a small number of subjects were sunscreen products formulated both distribution. This information can help dosed over a limited surface area. The with and without ecamsule (Note 3). identify potential safety concerns and last human dermal pharmacokinetic One publication described a single case help determine whether an adequate study assessed the absorption of 3 of photoallergy to an ecamsule- safety margin for sunscreens containing percent ecamsule from a formulation containing sunscreen product (Ref. 2). A ecamsule exists. FDA recommends that containing a total of four active second publication was a review that the pharmacokinetic studies performed ingredients (Note 7). The formulation summarized published and unpublished on ecamsule also collect additional was applied to an extensive body data from a single center’s experience safety-related data from regularly surface area of six male subjects twice with patch and photopatch testing in a scheduled physical examinations, daily for 8 days. Results showed that consecutive series of 402 patients who collection of vital signs, and other there were quantifiable plasma presented to a photobiology unit from measures, which may help capture concentrations of ecamsule at several 1981 to 1996 with suspected clinical adverse skin events or other potential time points, suggesting that ecamsule is photosensitivity (Ref. 3). The authors safety signals. To ensure that maximum absorbed via dermal application. None did not observe allergy or photoallergy penetration of ecamsule has taken place of the submitted human dermal to 1 percent ecamsule, but experience and chances of it being detected are pharmacokinetic studies assessed an with ecamsule was limited in this study optimal, studies should continue until adequate number of subjects, or tested because it was included in the steady state is reached. ecamsule at the maximum requested sunscreen series beginning in 1995, General information and concentration of 10 percent. towards the end of the 15-year study recommendations on the design and Our literature search found no period. The third publication was a case conduct of human pharmacokinetic additional publications regarding report describing no photoallergy to an studies can be found in FDA guidance human pharmacokinetics of ecamsule. ecamsule-containing combination (Ref. 5). To support a GRAS Accordingly, we request data from sunscreen drug product in a 71-year-old determination for ecamsule (up to 10 human pharmacokinetic studies to male patient with persistent percent), such a study should be assess the potential for and the extent of photocontact allergy to other UV filters conducted under maximal use systemic absorption. These studies (Ref. 4). A literature search conducted conditions using ecamsule up to 10 should be performed under expected

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maximal use conditions with the information may not be available from ecamsule, were systemic exposure to proposed maximum concentration, as all countries; where that is the case, occur, is critical to determine whether discussed previously in this section, in please provide a written explanation for and how regulatory parameters can be a sufficiently large study population to the lack of data. Overall, we seek defined to assure that all conforming control for both gender and age. sufficient data to characterize ecamsule-containing sunscreens would 2 3. Human Safety Data To Establish ecamsule’s adverse event profile. be GRASE as labeled. FDA recommends animal testing of Adverse Event Profile Ecamsule: Human Safety Data To the potential long-term dermal and Establish Adverse Event Profile An evaluation of safety information systemic effects of exposure to ecamsule from adverse event reports and other The submission describes the because these effects cannot be easily safety-related information derived from marketing history of ecamsule and assessed from previous human use. commercial marketing experience of provides eight case report forms (Form Taken together, the carcinogenicity sunscreen products containing FDA 3500A) that have been submitted studies, developmental and ecamsule, as well as from other sources, to FDA’s MedWatch program in reproductive toxicity studies, and is a critical aspect of FDA’s safety association with marketed sunscreen toxicokinetic studies described in review for ecamsule. The TEA products containing ecamsule in sections II.B.1 through II.B.3 should regulation under which the original combination with other active provide the information needed to request for ecamsule was submitted ingredients (Note 8). Our review of the characterize both the potential dermal specifically calls for submission of FDA Adverse Event Reporting System and systemic toxic effects and the levels information on all serious adverse drug (FAERS) identified one additional case of exposure at which they occur. These experiences, as defined in 21 CFR report associated with such a sunscreen data, when viewed in the context of 310.305(a) and 314.80(a), from each product. These case reports describe human exposure data, can be used to country where the active ingredient or serious allergic reactions such as determine a margin of safety for use of other condition has been or is currently redness, swelling and urticaria, ecamsule in OTC sunscreens. marketed as either a prescription or an breathing difficulties, and anaphylaxis. OTC drug; in addition, it calls for The role, if any, of ecamsule in these Data Available for Ecamsule: submission of all data generally cases cannot be fully assessed due in Nonclinical (Animal) Studies Generally specified in § 330.10(a)(2), which part to the presence of multiple active The ecamsule submission included includes documented case reports and ingredients in the associated sunscreen reports of the following types of identification of expected or frequently products. To support the evaluation of nonclinical safety studies: reported side effects (§ 330.14(f)(1) and the safety of ecamsule for use in OTC • Single-dose toxicity studies (f)(2)). To evaluate ecamsule, FDA sunscreens, we request that the sponsor Æ Oral toxicity (rat, mouse) (Note 9) continues to seek individual adverse either supplement the information Æ Dermal toxicity (rat, mouse) (Note drug experience reports, a summary of already submitted with adverse event or 10) all serious adverse drug experiences, other safety-related data derived from Æ Intravenous toxicity (rat, mouse) and expected or frequently reported side commercial marketing experience, or (Note 11) effects of the condition (id.). To assist in explain why such information cannot be Æ Mucosal and skin irritation (rabbit) the Agency’s safety evaluation of provided. (Note 12) ecamsule, FDA emphasizes its need for Æ Skin irritation and sensitization B. Nonclinical (Animal) Studies the following data: (guinea pig) (Note 13) • A summary of all available reported Another important element of FDA’s Æ Photoirritation and adverse events potentially associated GRAS review of ecamsule for use in photosensitization (guinea pig) with ecamsule; sunscreens is an assessment of data (Note 14) • All available documented case from nonclinical (animal) studies that • Repeat-dose toxicity studies reports of serious side effects; characterize the potential long-term Æ 4-week bridging dermal (mouse) • Any available safety information dermal and systemic effects of exposure (Note 15) from studies of the safety and to ecamsule. Even if the bioavailability Æ 13-week dermal (mouse) (Note 16) effectiveness of ecamsule in humans; data discussed in section II.A.2 suggest Æ 9-month dermal (minipig) (Note 17) and • Genotoxicity and mutagenicity assays • that dermal application is unlikely to Relevant medical literature result in skin penetration and systemic Æ Ames test (Salmonella describing adverse events associated exposure to ecamsule, FDA still typhimurium, Escherichia coli) with ecamsule. Submissions of adverse considers data on the effects of systemic (Note 18) event data should also include a exposure to be an important aspect of Æ Chromosomal aberration assay description of how each country’s our safety evaluation of ecamsule. A (Chinese hamster ovary (CHO cells)) system identifies and collects adverse determination that ecamsule up to 10 (Note 19) Æ events, unless this information has been percent is GRASE for use in sunscreens Micronucleus test (rat) (Note 20) Æ previously submitted as part of would permit its use in as-yet-unknown Photomutagenicity (E. coli) (Note ecamsule’s TEA package. product formulations, which might in 21) Although we recognize that adverse Æ turn alter the skin penetration of the HPRT test (CHO cells) (Note 22) event data from foreign marketing Æ active ingredient. Therefore, an Photochromosomal aberration assay experience may reflect patterns of use understanding of the effects of (CHO cells) (Note 23) and regulatory reporting requirements • Reproductive and developmental that differ from those in the United 2 See 67 FR 3060 at 3069 (January 23, 2002) toxicity studies States, we nonetheless consider such (agreeing that the absence of an adverse experience Æ Fertility and early embryonic information to be strongly relevant both reporting system in a foreign country for drugs or development, oral (rat) (Note 24) to our overall GRASE assessment of cosmetics does not necessarily mean that a Æ Pre/postnatal development, oral ecamsule for use in sunscreens and to condition cannot be GRAS/E. The GRAS/E (rat) (Note 25) determination will be based on the overall quality Æ our consideration of potential product of the data and information presented to Embryotoxicity/teratogenicity, labeling. FDA recognizes that such substantiate safety and effectiveness). dermal (rabbit) (Note 26)

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Æ Embryofetal development/ effects. For example, the effect of behavior) of offspring, which may also teratogenicity, oral (rat) (Note 27) persistent disruption of particular detect neuroendocrine effects. Æ Embryofetal development/ endocrine gland systems (e.g., Data Available for Ecamsule: DART teratogenicity, oral (rabbit) (Note hypothalamic-pituitary-adrenal axis), if Studies 28) any, can be captured by these assays. • Carcinogenicity and We received study summaries for five photocarcinogenicity Data Available for Ecamsule: developmental and reproductive Æ 104 weeks dermal carcinogenicity Genotoxicity Studies toxicity assays (Notes 48 through 52), (mouse) (Note 29) which appear to be negative for the Æ The ecamsule submission included 12 months photocarcinogenicity some information regarding genotoxicity potential to cause adverse (mouse) (Note 30) developmental or reproductive effects. • studies. Based on the reviewable Pharmacokinetics genotoxicity data included in the However, comprehensive data sets were Æ Pharmacokinetic study, oral (rat) ecamsule data submission, ecamsule not provided. (Note 31) We request that the sponsor make Æ Pharmacokinetic study, dermal appears to be negative for causing genotoxic activity under the conditions available full final study reports, (mouse, rat) (Note 32) including full comprehensive datasets, Æ studied (Notes 35 through 43). As we Microsome metabolism to support a final GRASE determination. (interspecies, in vitro) (Note 33) believe that data from the recommended Æ Excretion, oral and dermal (rat) systemic carcinogenicity and 3. Toxicokinetics (Ref. 10) developmental and reproductive (Note 34) We recommend conducting animal toxicology (DART) studies will provide The submission includes summary toxicokinetic studies because they an adequate and appropriate measure of reports of nonclinical studies that are of provide an important bridge between potential long-term effects of systemic the types FDA requests as a basis for toxic levels seen in animal studies and or dermal exposure to ecamsule, we do evaluating whether ecamsule is GRAS potential human exposure. Data from not request further genotoxicity studies. for use in sunscreen (chronic toxicity, these studies can be correlated to carcinogenicity, reproductive and Data Available for Ecamsule: potential human exposure via clinical developmental toxicity, and Carcinogenicity Studies dermal pharmacokinetic study findings. toxicokinetics). However, the Toxicokinetic data could be collected as submission did not provide the full We have reviewed study summaries part of animal studies being conducted reports and full comprehensive data sets for four dermal carcinogenicity and to assess one or more of the safety that would be needed for an adequate photocarcinogenicity studies, which parameters described previously. review of the data for these studies. appear to be negative (Notes 44 through Data Available for Ecamsule: Because the summary data provided can 47). However, full final study reports Toxicokinetics support only tentative conclusions need to be made available to support a about these studies, full final study final GRASE determination. In addition, We reviewed single-dose reports and data sets need to be made we did not receive any systemic pharmacokinetic studies conducted in available to support a final GRASE carcinogenicity data, which are animal models which showed that determination. recommended to support the safety of systemic exposure was achieved under Additional discussion of study long-term use of ecamsule. We request the conditions of the conducted studies findings and data gaps are provided in that the sponsor provide a systemic (Notes 53 and 54). However, we did not the following subsections. carcinogenicity study, as well as make receive any pharmacokinetic data available full final study reports for the reflecting drug levels following long- 1. Carcinogenicity Studies: Dermal and previously conducted carcinogenicity term exposure, which are usually Systemic studies that were submitted in a collected from repeat toxicity studies FDA guidance recommends that summarized form. such as chronic (systemic or dermal) carcinogenicity studies be performed for 2. DART Studies (Ref. 9) studies. We recommend that a time any pharmaceutical that is expected to course toxicokinetic study be conducted be clinically used continuously or FDA recommends conducting DART following repeat-dose exposure (via the ‘‘repeatedly in an intermittent manner’’ studies to evaluate the potential effects oral and dermal routes) to evaluate the for a total of 6 months of exposure (Refs. that exposure to ecamsule may have on steady-state exposure level of ecamsule. 6, 7, and 8). Because the proposed use developing offspring throughout Data obtained from this study could be of ecamsule in OTC sunscreens falls gestation and postnatally until sexual used to compare drug levels in animals within this category, these studies maturation, as well as on the to those in humans under maximal should be conducted to help establish reproductive competence of sexually exposure conditions to establish a that ecamsule is GRAS for its proposed mature male and female animals. margin of safety for human exposure. use. Carcinogenicity studies assist in Gestational and neonatal stages of characterizing potential dermal and development may also be particularly III. Effectiveness Data Considerations systemic risks by identifying the type of sensitive to active ingredients with for OTC Sunscreen Products Containing toxicity observed, the level of exposure hormonal activity. For this reason, we Ecamsule at which toxicity occurs, and the highest recommend that these studies include FDA’s evaluation of the effectiveness level of exposure at which no adverse assessments of endpoints such as of active ingredients under effects occur (i.e., NOAEL). The NOAEL vaginal patency, preputial separation, consideration for inclusion in an OTC would then be used in determining the anogenital distance, and nipple drug monograph is governed by the safety margin for human exposure to retention, which can be incorporated following regulatory standard: sunscreens containing ecamsule. into traditional DART study designs to Effectiveness means a reasonable Systemic carcinogenicity studies can assess potential hormonal effects of expectation that, in a significant also help to identify other systemic or ecamsule on the developing offspring. proportion of the target population, the organ toxicities that may be associated We also recommend conducting pharmacological effect of the drug, with ecamsule, such as hormonal behavioral assessments (e.g., mating when used under adequate directions

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for use and warnings against unsafe use, arm should be another component of the assesses the effectiveness of ecamsule at will provide clinically significant relief study design. a concentration of 10 percent, it is of the type claimed. Proof of efficacy Although current sunscreen testing recommended that such a study be shall consist of controlled clinical and labeling regulations also specify a conducted and submitted. investigations as defined in 21 CFR ‘‘broad spectrum’’ testing procedure to support related labeling claims for IV. Summary of Current Data Gaps for 314.126(b). Investigations may be Ecamsule corroborated by partially controlled or certain OTC sunscreen products uncontrolled studies, documented marketed without approved new drug Based on our review of the available clinical studies by qualified experts, and applications that contain specific safety and efficacy data as discussed reports of significant human experience ingredients included in the OTC previously, we request the types of data during marketing. Isolated case reports, sunscreen monograph, those additional listed in this section of the proposed random experience, and reports lacking claims are permitted, but not required, order, at minimum, for us to reverse our the details that permit scientific for these products (§ 201.327(c)(2) and tentative determination that ecamsule is evaluation will not be considered. (j)). Under current regulations, not GRASE and is misbranded because General recognition of effectiveness sunscreen active ingredients need only the data are insufficient to classify shall ordinarily be based upon be effective for the labeled indication of ecamsule as GRASE and not published studies which may be sunburn prevention, for which the SPF misbranded, and additional data are corroborated by unpublished studies test can provide sufficient evidence. necessary to allow us to determine and other data (§ 330.10(a)(4)(ii)). For Consistent with this approach, we here otherwise. Note that, in some cases, as convenience, this order uses the term do not request broad spectrum testing discussed in section II of this proposed ‘‘generally recognized as effective’’ for ecamsule. Broad spectrum protection order, the ecamsule data submission (GRAE) when referring to this aspect of is often, although not always, the result provided some information from the GRASE determination. of the combined contribution of nonclinical studies of the type FDA multiple active ingredients in a final requests as part of the basis for a GRAS To evaluate the efficacy of ecamsule sunscreen formulation. Thus, under the determination, but only in summary for use in OTC sunscreen products, FDA current regulations applicable to other form. Were complete study data requests evidence from at least two sunscreens, the determination of generally available from these adequate and well-controlled SPF whether an individual sunscreen previously conducted studies, they studies showing that ecamsule product may be labeled as broad might address several aspects of our effectively prevents sunburn. To spectrum and bear the related additional GRASE consideration. If data from these determine that ecamsule is GRAE for claims is made on a product-specific previously conducted studies are not use in OTC sunscreens at concentrations basis, applying standard testing made available, further studies of those in a range with the proposed maximum methods set forth in those regulations. types would be needed to support a strength of 10 percent as requested, two If ecamsule is established to be GRASE finding that ecamsule is GRASE for use adequate and well-controlled SPF for use in nonprescription sunscreens in sunscreens. Further, as summarized studies of ecamsule at a lower (based in part on the efficacy data in the following subsections, some concentration should be conducted requested here), the final sunscreen additional studies of other types are according to established standards.3 order can likewise address broad- needed. For additional information These SPF studies should demonstrate spectrum testing and related labeling about the purpose and design of studies that the selected concentration (below conditions for final sunscreen recommended to address present data 10 percent) provides an SPF of 2 or formulations containing ecamsule. gaps, please refer to the earlier sections more. Data Available for Ecamsule: of this proposed order referenced in The current standard procedure for Effectiveness parentheses. We welcome discussions SPF testing is described in FDA’s on the design of any of the studies prior Study reports were submitted for two regulations in § 201.327(i).4 Further SPF to their commencement. We request the studies that assessed SPF of tests for ecamsule should be performed following types of data: formulations containing ecamsule, at a as described in these regulations, using • Safety Data (see section II) concentration of either 2 percent or 3 a test formulation containing ecamsule percent (Notes 55 and 56, respectively), A. Human Clinical Studies as the only active ingredient to identify in combination with other active its contribution to the overall SPF test 1. Skin irritation/sensitization, and ingredients. Neither of these studies results. (See the following subsection photosafety (see section II.A.1) provides a direct evaluation of the 2. Human dermal pharmacokinetic Data Available for Ecamsule: efficacy of ecamsule alone. These Effectiveness for further discussion of (bioavailability) studies (see section studies were not adequately designed to II.A.2) submitted SPF tests.) The study should provide evidence of efficacy on which also include a vehicle control arm to to base a GRAE determination for B. Human Safety Data To Establish rule out any contribution the vehicle ecamsule. No adequately designed Adverse Event Profile (see Section may have on the SPF test results. studies of ecamsule efficacy were II.A.3) Finally, as described in § 201.327(i), an identified in our search of the published SPF standard formulation comparator 1. A summary and analysis of all literature. To support the finding that available reported adverse events ecamsule is GRAE when used at potentially associated with ecamsule 3 The upper bound of any concentration of concentrations up to 10 percent, we 2. A summary and analysis of all ecamsule ultimately established in the OTC sunscreen monograph will be governed by the request submission of data from two available documented case reports of safety data, as well as by efficacy. adequate and well-controlled SPF serious side effects 4 Although the SPF testing procedure is used studies conducted according to 3. A summary and analysis of any primarily for final formulation testing of finished established standards to demonstrate available safety information from products marketed without approved NDAs, under the sunscreen monograph, it is equally applicable that the lowest selected concentration studies of the safety and effectiveness of for determining whether or not a sunscreen active provides an SPF of 2 or more. Because sunscreen products containing ecamsule ingredient is GRAE. no study has been identified that in humans

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4. A summary and analysis of relevant meeting to discuss the proposed order. 11. FDA–2008–N–0474–0009, Volume 3, medical literature describing adverse Submit meeting requests electronically Study no. 1.CG.03.SRE.12158, Study no. events associated with ecamsule to http://www.regulations.gov or in 1.CG.03.SRE.12157. Alternatively, the results of a writing to the Division of Dockets 12. FDA–2008–N–0474–0009, Volume 3, Study no. 712332, Volume 4, Study no. literature search that found no reports of ADDRESSES Management (see ), identified 712320. adverse events may be provided. In that with the active ingredient name 13. FDA–2008–N–0474–0010, Volume 4, case, detailed information on how the ecamsule, Docket No. FDA–2008–N– Study no. 802410, Study no. 3697–109/313. search was conducted should be 0474, and the heading ‘‘Sponsor 14. FDA–2008–N–0474–0010, Volume 4, provided. Meeting Request.’’ To facilitate your Study no. 1.CG.03.SRE.12163, Study no. 1.CG.03.SRE.12164. C. Nonclinical (Animal) Studies request, please also send a copy to Kristen Hardin (see FOR FURTHER 15. FDA–2008–N–0474–0010, Volume 4, Study no. RDA.03.SRE.12268. Full study reports will be needed for INFORMATION CONTACT). the following studies: 16. FDA–2008–N–0474–0009, Volume 3, 1. Systemic and dermal VI. Proposed Effective Date Study no. 93/LOL/007/0971. carcinogenicity (see section II.B.1) 17. FDA–2008–N–0474–0009, Volume 3, Study no. 1.CG.03.SRE.12183. 2. Reproductive and developmental FDA proposes that any final administrative order based on this 18. FDA–2008–N–0474–0011, Volume 5, toxicity studies (see section II.B.2) Study no. G185–109/314. 3. Toxicokinetics (see section II.B.3) proposal become effective on the date of • publication of the final order in the 19. FDA–2008–N–0474–0011, Volume 5, Effectiveness Data (see section III) Study no. G220–109/381, Study no. G220– For concentrations of ecamsule up to Federal Register. 109/381A, Study no. 12174MIC, Study no. 10 percent to be found to be GRASE for VII. Comments 413/52–D6172. use in nonprescription sunscreen 20. FDA–2008–N–0474–0011, Volume 5, products as requested, at least two SPF Similarly, section 586C(b)(6) of the Study no. 12639MAR. studies showing effectiveness of a FD&C Act, as amended by the SIA, 21. FDA–2008–N–0474–0011, Volume 5, selected concentration lower than 10 establishes that a proposed sunscreen Study no. EU1REBRP.031. percent should be conducted. An 22. FDA–2008–N–0474–0011, Volume 5, order shall provide 45 days for public Study no. LRL 170/921503. efficacy study of ecamsule at 10 percent comment. Interested persons wishing to 23. FDA–2008–N–0474–0011, Volume 5, is also recommended. comment on this proposed order may Study no. ICHUREBRP.031. V. Administrative Procedures submit either electronic comments to 24. FDA–2008–N–0474–0010, Volume 4, http://www.regulations.gov or written Study no. 1.CG.03.SRE.12181. A copy of this proposed order will be comments to the Division of Dockets 25. FDA–2008–N–0474–0011, Volume 5, filed in the Division of Dockets Management (see ADDRESSES). It is only Study no. 1.CG.03.SRE.12182. Management in Docket No. FDA–2008– necessary to send one set of comments. 26. FDA–2008–N–0474–0011, Volume 5, N–0474. To inform FDA’s evaluation of Identify comments with the active Study no. 10297 RSL. whether this ingredient is GRASE and 27. FDA–2008–N–0474–0010, Volume 4, ingredient name (ecamsule) and the Study no. 1412 RMR/064.89. not misbranded for use in sunscreen docket number found in brackets in the products, we encourage the sponsor and 28. FDA–2008–N–0474–0011, Volume 5, heading of this proposed order. RCC Project 682874. other interested parties to submit Received comments on this proposed 29. FDA–2008–N–0474–0010, Volume 4, additional data regarding the safety and order may be seen in the Division of Study no. 95/LOL/008/1217, Study no. LOL/ effectiveness of this ingredient for use as Dockets Management between 9 a.m. 011/980150. an OTC sunscreen product. We also and 4 p.m., Monday through Friday, and 30. FDA–2008–N–0474–0010, Volume 4, encourage the sponsor and other will be posted to the docket at http:// Study no. C–1012–001, Study no. interested parties to notify us in writing www.regulations.gov. RDS.03.SRE.12215. of their intent to submit additional data. 31. FDA–2008–N–0474–0009, Volume 3, However, as noted previously, because VIII. Notes Study no. 10225PAR, Study no. the data submitted to date are not 1.CG.03.SRE.12269/RDS.03.SRE.12269. 1. FDA–2008–N–0474–0012 and FDA– 32. FDA–2008–N–0474–0009, Volume 3, sufficient to support a determination Study no. 10507 PAS, Study no. RDS.03.SRE that ecamsule is GRASE for use as an 2008–N–0474–0013, Volumes 6 and 7, dated November 14, 2008. 12268, Study no. RDS.03.SRE.12269/ active ingredient in OTC sunscreen drug 2. FDA–2008–N–0474–0015 and FDA– 1.CG.03.SRE.12269. products, at present, OTC sunscreen 2008–N–0474–0016, Volumes 9 and 10, 33. FDA–2008–N–0474–0009, Volume 3, products containing ecamsule may not dated November 14, 2008. Study no. 2.CG.03.SRE.11029. be marketed without approval of an 3. FDA–2008–N–0474–0007, Volume 1, 34. FDA–2008–N–0474–0009, Volume 3, NDA or ANDA (see section dated November 14, 2008, FDA–2008–N– Study no. 1.CG.03.SRE.12270. 35. FDA–2008–N–0474–0011, Volume 5, 586C(e)(1)(A) of the FD&C Act, as 0474–0006, TEA submission. Study no. G185–109/314. amended by the SIA). Data submissions 4. FDA–2008–N–0474–0008, Volume 2, 36. FDA–2008–N–0474–0011, Volume 5, Study no. 16039/G2347. relating to this proposed order should Study no. G220–109/381. be submitted to Docket No. FDA–2008– 5. FDA–2008–N–0474–0014, Volume 8, 37. FDA–2008–N–0474–0011, Volume 5, N–0474 at the Division of Dockets Study no. V3156. Study no. G220–109/381A. Management (see ADDRESSES). In 6. FDA–2008–N–0474–0014, Volume 8, 38. FDA–2008–N–0474–0011, Volume 5, addition, you can submit the data Study no. V99.1203. Study no. 12174MIC. through the Federal eRulemaking Portal 7. FDA–2008–N–0474–0014, Volume 8, 39. FDA–2008–N–0474–0011, Volume 5, Study no. CG.03.SRE.2607. at http://www.regulations.gov. Follow Study no. 413/52–D6172. 8. FDA–2008–N–0474–0007, Volume 1, 40. FDA–2008–N–0474–0011, Volume 5, the instructions for submitting dated November 14, 2008. comments. Study no. 12639MAR. 9. FDA–2008–N–0474–0009, Volume 3, 41. FDA–2008–N–0474–0011, Volume 5, Section 586C(b)(7) of the FD&C Act, Study no. 3667–109/309, Study no. Study no. EU1REBRP.031. as amended by the SIA, provides that 1.CG.03.SRE.12160. 42. FDA–2008–N–0474–0011, Volume 5, the sponsor may, within 30 days of 10. FDA–2008–N–0474–0009, Volume 3, Study no. LRL 170/921503. publication of a proposed order (see Study no. 4222–109/310, Study no. 43. FDA–2008–N–0474–0011, Volume 5, DATES), submit a request to FDA for a 1.CG.03.SRE.12156. Study no. ICHUREBRP.031.

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44. FDA–2008–N–0474–0010, Volume 4, www.regulations.gov. (FDA has verified Carcinogenicity Studies of Pharmaceuticals Study no. 95/LOL/008/1217. the Web site addresses in this reference S1A,’’ March 1996 (available at http:// 45. FDA–2008–N–0474–0010, Volume 4, section, but FDA is not responsible for www.fda.gov/downloads/Drugs/ Study no. LOL/011/980150. any subsequent changes to the Web sites GuidanceComplianceRegulatoryInformation/ 46. FDA–2008–N–0474–0010, Volume 4, after this document publishes in the Guidance/UCM074911.pdf). Study no. C–1012–001. 7. ICH, Guidance for Industry, ‘‘S1B 47. FDA–2008–N–0474–0010, Volume 4, Federal Register.) Testing for Carcinogenicity of Study no. RDS.03.SRE.12215. 1. FDA, Guidance for Industry, Pharmaceuticals,’’ July 1997 (available at 48. FDA–2008–N–0474–1000, Volume 4, ‘‘Photosafety Testing,’’ May 2003 (available at http://www.fda.gov/downloads/Drugs/ Study no. 1.CG.03.SRE.12181. http://www.fda.gov/downloads/Drugs/ GuidanceComplianceRegulatoryInformation/ 49. FDA–2008–N–0474–0011, Volume 5, GuidanceComplianceRegulatoryInformation/ Guidances/UCM074916.pdf). Study no. 1.CG.03.SRE.12182, Study no. Guidances/ucm079252.pdf). 8. ICH, ‘‘S1C(R2) Dose Selection for 1412 RMR/064.89. 2. Leonard, F., B. Kalis, H. Adamski, et al., Carcinogenicity Studies’’ (Revision 1), 50. FDA–2008–N–0474–0011, Volume 5, ‘‘The New Standard Battery of Photopatch September 2008 (available at http:// RCC Project 682874. Test in France.’’ Nouvelles Dermatologiques, www.fda.gov/downloads/Drugs/ 51. FDA–2008–N–0474–0011, Volume 5, vol. 15, pp. 343–348, 1996. GuidanceComplianceRegulatoryInformation/ 3. Schauder, S., and H. Ippen, ‘‘Contact RCC Project 682874. Guidances/UCM074919.pdf). and Photocontact Sensitivity to Sunscreens. 52. FDA–2008–N–0474–0011, Volume 5, 9. ICH Harmonized Tripartite Guideline for Review of a 15-Year Experience and of the Study no. 1.CG.03.SRE.12182. Industry, ‘‘Detection of Toxicity to 53. FDA–2008–N–0474–0009, Volume 3, Literature.’’ Contact Dermatitis, vol. 37(5), pp. 221–232, 1997. Reproduction for Medicinal Products & Study no. 10225PAR. Toxicity to Male Fertility S5(R2),’’ 2005 54. FDA–2008–N–0474–0009, Volume 3, 4. Schmidt, T., J. Ring, and D. Abeck, (available at http://www.ich.org/fileadmin/ Study no. 1.CG.03.SRE.12269/ ‘‘Photoallergic Contact Dermatitis Due to Public_Web_Site/ICH_Products/Guidelines/ RDS.03.SRE.12269. Combined UVB (4-Methylbenzylidene Safety/S5_R2/Step4/S5_R2__Guideline.pdf). 55. FDA–2008–N–0474–0017, Volume 11, Camphor/Octyl Methoxycinnamate) and 10. ICH, Guideline for Industry, Study no. PEN.810.02. UVA (Benzophenone-3/Butyl ‘‘Toxicokinetics: The Assessment of Systemic 56. FDA–2008–N–0474–0017, Volume 11, Methoxydibenzoylmethane) Absorber Study no. PEN.810.06. Sensitization.’’ Dermatology, vol. 196(3), pp. Exposure in Toxicity Studies S3A,’’ March 354–357, 1998. 1995 (available at http://www.fda.gov/ IX. References 5. FDA, Guidance for Industry, ‘‘Guideline downloads/Drugs/ for the Format and Content of the Human GuidanceComplianceRegulatoryInformation/ The following references have been Pharmacokinetics and Bioavailability Section Guidances/UCM074937.pdf). placed on display in the Division of of an Application,’’ February 1987 (available at http://www.fda.gov/downloads/drugs/ Dated: February 20, 2015. Dockets Management (see ADDRESSES) GuidanceComplianceRegulatoryInformation/ Leslie Kux, and may be seen by interested persons Guidances/ucm072112.pdf). Associate Commissioner for Policy. between 9 a.m. and 4 p.m., Monday 6. International Conference on through Friday, and are available Harmonization (ICH), Guidance for Industry, [FR Doc. 2015–03883 Filed 2–24–15; 8:45 am] electronically at http:// ‘‘The Need for Long-Term Rodent BILLING CODE 4164–01–P

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Notices Federal Register Vol. 80, No. 37

Wednesday, February 25, 2015

This section of the FEDERAL REGISTER Executive Order 13652, Continuation 6. Support contains documents other than rules or of Certain Federal Advisory Support to the Council is provided by proposed rules that are applicable to the Committees, dated , 2013, public. Notices of hearings and investigations, staff of the Office of the Administrator authorized the continuation of the at USAID. committee meetings, agency decisions and Global Development Council until rulings, delegations of authority, filing of September 30, 2015. 7. Estimated Annual Operating Costs petitions and applications and agency and Staff Years statements of organization and functions are 3. Objectives and Scope of Activities examples of documents appearing in this The annual operating costs in dollars section. To advise and support the President, and person-years for the Council and through the National Security Staff/ subcommittees thereof are estimated to National Economic Council staff, in be approximately $250,000 and one staff AGENCY FOR INTERNATIONAL furtherance of the policy set forth in the year respectively. DEVELOPMENT Executive Order establishing the Global 8. Designated Federal Officer Development Council and the Notice of Renewal of Charter of the President’s Policy Directive on Global The Designated Federal Officer (DFO) Global Development Council Development. for the Council is the Executive Director of the President’s Global Development AGENCY: United States Agency for 4. Description of Duties Council. The Chair, in coordination International Development. To inform the policy and practice of with the National Security Staff/ ACTION: Notice of Charter Renewal. U.S. global development policy and National Economic Staff, shall convene SUMMARY: Pursuant to the Federal programs by providing advice to the and preside at meetings, determine the Advisory Committee Act, notice is President and other senior officials on agendas, and direct the Council’s work. hereby given of the renewal of the issues including: The DFO will assist the Chair and the Charter of the President’s Global (i) Innovative, scalable approaches to National Security Staff/National Development Council. development with proven demonstrable Economic Staff in calling all of the impact, particularly on sustainable advisory committee meetings, preparing Purpose of the Committee economic growth and good governance; all meeting agendas, attending Council The President’s Global Development (ii) Areas for enhanced collaboration meetings, and adjourning meetings. Council brings together representatives between the Federal Government and 9. Estimated Number and Frequency of of a variety of sectors, including, among public and private sectors to advance Meetings others, institutions of higher education, development policy; non-profit and philanthropic It is expected that the Council will (iii) Best practices for and hold approximately two public meetings organizations, civil society, and private effectiveness of research and industry to inform U.S. global annually. It’s subcommittees and/or development in low and middle income working groups, as and if requested by development policy and programs and economies; and to support new and existing public- the Council, will meet as determined (iv) Long-term solutions to issues necessary. private partnerships to advance the central to strategic planning for U.S. global development policy agenda. development efforts. 10. Duration The Charter is being renewed for two To support new and existing public- The need for this advisory committee years effective from the date of filing on is continuing; however, this charter is February 20, 2015. private partnerships by: (i) Identifying key areas for enhanced subject to renewal every two years. FOR FURTHER INFORMATION CONTACT: collaboration and any barriers to Jayne Thomisee, 202–712–5506 11. Termination collaboration; and The Council shall terminate on Dated: February 19, 2015. (ii) Recommending concrete efforts Christa White, September 30, 2015, two years after the that the private and public sectors date of Executive Order 136562 unless Committee Management Officer. together can take to promote economic renewed by the President. Charter of the President’s Global development priorities and initiatives; 12. Membership and Designation Development Council and (iii) Increase awareness and action in The membership of the Council shall 1. Committee’s Official Designation support of development by soliciting be as follows: President’s Global Development public input on current and emerging (a) The Council shall be composed of Council (Council). issues in the field of global development the officials described in paragraph (b) as well as bringing to the President’s of this section and not more than 12 2. Authority attention concerns and ideas that would individuals from outside the Federal Executive Order 13600 of , inform policy options. Government appointed by the President. 2012 provided the authority to establish Appointed members of the Council may 5. Agency or Official to Whom the the President’s Global Development serve as representatives of a variety of Committee Reports Council. The Council is established in sectors, including, among others, accordance with the provisions of the The Council reports to the President institutions of higher education, non- Federal Advisory Committee Act through the National Security Staff and profit and philanthropic organizations, (FACA) as amended, 5.U.S.C. App. the National Economic Council. civil society, and private industry.

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(b) The Secretary of State, the through the use of appropriate information is used by USNA Secretary of the Treasury, the Secretary automated, electronic, mechanical, or management to determine if a of Defense, the USAID Administrator, other technological collection requestor’s needs can be met and the the Chief Executive Officer of the techniques or other forms of information request is consistent with the mission Millennium Challenge Corporation, the technology. and goals of the USNA uses of the United States Trade Representative, and Comments regarding this information information. If the basic information is the Chief Executive Officer of the collection received by March 27, 2015 not collected, USNA officials will not be Overseas Private Investment will be considered. Written comments able to determine if a requestor’s needs Corporation shall serve as non-voting should be addressed to: Desk Officer for are met. members of the Council and may Agriculture, Office of Information and Description of Respondents: Business designate, to perform the Council Regulatory Affairs, Office of or other for profit; Not-for-profit functions of the member, a senior-level Management and Budget (OMB), New institutions; Individuals or households; official who is part of the member’s Executive Office Building, 725—17th State, Local or Tribal Government. department, agency, or office, and who Street, NW., Washington, DC 20502. Number of Respondents: 284. is a full-time officer or employee of the Commenters are encouraged to submit Frequency of Responses: Reporting: Federal Government. their comments to OMB via email to: On occasion. [email protected] or Total Burden Hours: 142. 13. Subcommittees fax (202) 395–5806 and to Departmental Ruth Brown, The Council, in coordination with Clearance Office, USDA, OCIO, Mail Departmental Information Collection USAID, may create subcommittees and/ Stop 7602, Washington, DC 20250– Clearance Officer. or working groups as necessary. These 7602. Copies of the submission(s) may [FR Doc. 2015–03911 Filed 2–24–15; 8:45 am] be obtained by calling (202) 720–8958. subcommittees/working groups shall BILLING CODE 3410–03–P report back to the Council and not An agency may not conduct or directly to a federal officer or agency. sponsor a collection of information unless the collection of information DEPARTMENT OF AGRICULTURE 14. Recordkeeping displays a currently valid OMB control The records of this Committee, all number and the agency informs Submission for OMB Review; formally and informally established potential persons who are to respond to Comment Request subcommittees/working groups shall be the collection of information that such handled in accordance with General persons are not required to respond to February 19, 2015 Records Schedule 26, Item 2, or other the collection of information unless it The Department of Agriculture has approved agency records disposition displays a currently valid OMB control submitted the following information schedule. These records shall be number. collection requirement(s) to OMB for available for public inspection and review and clearance under the Agricultural Research Service copying, subject to the Freedom of Paperwork Reduction Act of 1995, Information Act, 5 U.S.C. 552 and will Title: Use of the Grounds and Public Law 104–13. Comments be posted on the Council’s Web site. Facilities as well as Commercial regarding (a) whether the collection of Photography and Cinematography at the information is necessary for the proper 15. Filing Date U.S. Arboretum. performance of the functions of the February 20, 2015. OMB Control Number: 0518–0024. agency, including whether the [FR Doc. 2015–03807 Filed 2–20–15; 11:15 am] Summary of Collection: The mission information will have practical utility; of the U.S. National Arboretum (USNA) (b) the accuracy of the agency’s estimate BILLING CODE 6116–02–P is to conduct research, provide of burden including the validity of the education, and conserve and display methodology and assumptions used; (c) trees, shrubs, flowers, and other plans to ways to enhance the quality, utility and DEPARTMENT OF AGRICULTURE enhance the environment. The USNA is clarity of the information to be Submission for OMB Review; a 446-acre public facility. The grounds collected; (d) ways to minimize the Comment Request of the USNA are available to the general burden of the collection of information public for purposes of education and on those who are to respond, including February 19, 2015. passive recreation. The USNA has many through the use of appropriate The Department of Agriculture has spectacular feature and garden displays automated, electronic, mechanical, or submitted the following information which are very popular to visitors and other technological collection collection requirement(s) to OMB for photographers. Section 890(b) of the techniques or other forms of information review and clearance under the Federal Agriculture Improvement and technology. Paperwork Reduction Act of 1995, Reform Act of 1996, Public Law 104– Comments regarding this information Public Law 104–13. Comments 107 (‘‘FAIR ACT’’) provided statutory collection received by March 27, 2015 regarding (a) whether the collection of authorities regarding the USNA. These will be considered. Written comments information is necessary for the proper authorities include the ability to charge should be addressed to: Desk Officer for performance of the functions of the fees for temporary use by individuals or Agriculture, Office of Information and agency, including whether the groups of USNA facilities and grounds Regulatory Affairs, Office of information will have practical utility; for any purpose consistent with the Management and Budget (OMB), New (b) the accuracy of the agency’s estimate mission of USNA. Also, the authority Executive Office Building, 725—17th of burden including the validity of the was provided to charge fees for the use Street, NW., Washington, DC 20502. methodology and assumptions used; (c) of the USNA for commercial Commenters are encouraged to submit ways to enhance the quality, utility and photography and cinematography. their comments to OMB via email to: clarity of the information to be Need and Use of the Information: [email protected] or collected; (d) ways to minimize the USNA officials will collect the fax (202) 395–5806 and to Departmental burden of the collection of information information using applications in the Clearance Office, USDA, OCIO, Mail on those who are to respond, including form of questionnaires. The collected Stop 7602, Washington, DC 20250–

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7602. Copies of the submission(s) may processed at a Federally inspected Total Burden Hours: 287. be obtained by calling (202) 720–8958. processing plant in Sinaloa or Sonora; An agency may not conduct or and (4) kept out of contact with poultry Ruth Brown, sponsor a collection of information from any other State within Mexico. Departmental Information Collection unless the collection of information APHIS will also collect information to Clearance Officer. displays a currently valid OMB control ensure that the poultry meat or poultry [FR Doc. 2015–03912 Filed 2–24–15; 8:45 am] number and the agency informs products from Sinaloa and Sonora pose BILLING CODE 3410–34–P potential persons who are to respond to the most negligible risk possible for the collection of information that such introducing ND into the United States. persons are not required to respond to Description of Respondents: Business DEPARTMENT OF AGRICULTURE the collection of information unless it or other for-profit; Federal Government. displays a currently valid OMB control Submission for OMB Review; number. Number of Respondents: 386. Comment Request Frequency of Responses: Reporting: Animal & Plant Health Inspection On occasion. February 19, 2015. Service Total Burden Hours: 386. The Department of Agriculture has Title: Importation of Poultry Meat and submitted the following information Other Poultry Products from Sinaloa Animal and Plant Health Inspection Service collection requirement(s) to OMB for and Sonora, Mexico review and clearance under the OMB Control Number: 0579–0144. Title: Importation of Fresh Pitaya Paperwork Reduction Act of 1995, Summary of Collection: The Animal Fruit from Central America into the Health Protection Act of 2002 (Title X, Public Law 104–13. Comments Continental United States. Subtitle E, Sec. 10401–18 of Pub. L. regarding (a) whether the collection of 107–171) is the primary Federal law OMB Control Number: 0579–0378. information is necessary for the proper governing the protection of animal Summary of Collection: Under the performance of the functions of the health. Disease prevention is the most Plant Protection Act (7 U.S.C. 7701– agency, including whether the effective method for maintaining a 7772), the Secretary of Agriculture is information will have practical utility; healthy animal population and for authorized to carry out operations or (b) the accuracy of the agency’s estimate enhancing the U.S. Department of measures to detect, eradicate, suppress, of burden including the validity of the Agriculture’s Animal and Plant Health control, prevent, or retard the spread of methodology and assumptions used; (c) Inspection Service (APHIS), Veterinary plant pests new to the United States or ways to enhance the quality, utility and Services’ ability to allow United States not known to be widely distributed clarity of the information to be animal producers to compete in the throughout the United States. The collected; (d) ways to minimize the world market of animal and animal regulations ‘‘Subpart-Fruit and burden of the collection of information product trade APHIS currently has Vegetables’’ (7 CFR 319.56–1 through on those who are to respond, including regulations in place that restrict the 319 56–71), prohibit or restrict the through the use of appropriate importation of poultry meat and other importation of fruits and vegetables into automated, electronic, mechanical, or poultry products from Mexico due to the United States from certain parts of other technological collection the presence of Newcastle Disease (ND) the world to prevent the introduction techniques or other forms of information in that country. However, APHIS allows and dissemination of plant pests that are technology. the importation of poultry meat and not widely distributed within the Comments regarding this information poultry products from the Mexican United States. The Animal and Plant collection received by March 27, 2015 States of Sinaloa and Sonora because Health Inspection Service (APHIS) will be considered. Written comments APHIS has determined that poultry allows the importation of fresh pitaya should be addressed to: Desk Officer for meat and products from these two fruit from Central America into the Agriculture, Office of Information and Mexican States pose a negligible risk of continental United States. Regulatory Affairs, Office of introducing ND into the United States. Need and Use of the Information: The Management and Budget (OMB), New To ensure that these items are safe for Animal and Plant Health Inspection Executive Office Building, 725—17th importation, APHIS requires that certain Service uses the following activities to Street, NW., Washington, DC 20502. data appear on the foreign meat collect information: Production Site Commenters are encouraged to submit inspection certificate that accompanies Certification, Review and Maintain their comments to OMB via email to: the poultry meat and other poultry Documents, Registration of [email protected] or products from Sinaloa and Sonora to the Packinghouses, Bilateral Workplan, fax (202) 395–5806 and to Departmental United States. APHIS also requires that Records of Fruit Fly Detections and Clearance Office, USDA, OCIO, Mail serial numbered seals be applied to Update Records, Shipping Documents Stop 7602, Washington, DC 20250– containers carrying the poultry meat Identifying the Places of Production, 7602. Copies of the submission(s) may and other poultry products. Phytosanitary Certificate with be obtained by calling (202) 720–8958. Need and Use of the Information: Additional Declaration, Production Site An agency may not conduct or APHIS will collect information to certify Registration, and Box Markings. If the sponsor a collection of information that the poultry meat or other poultry information is not collected, APHIS’ unless the collection of information products were (1) derived from poultry ability to protect the United States from born and raised in commercial breeding exotic insect pest would be severely displays a currently valid OMB control establishments in Sinaloa and Sonora; compromised. number and the agency informs (2) derived from poultry that were potential persons who are to respond to slaughtered in Sinaloa or Sonora in a Description of Respondents: Business the collection of information that such Federally-inspected slaughter plant or other for-profit; Federal Government. persons are not required to respond to approved to export these commodities Number of Respondents: 97. the collection of information unless it to the United States in accordance with Frequency of Responses: Reporting: displays a currently valid OMB control Food Safety & Inspection regulations; (3) On occasion. number.

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Animal & Plant Health Inspection created a cooperative, voluntary DEPARTMENT OF AGRICULTURE Service Federal-State-private sector CWD Herd Food and Nutrition Service Title: National Poultry Improvement Certification Program designed to identify farmed or captive herds Plan (NPIP). Request for Information: Software infected with CWD and provided for the OMB Control Number: 0579–0007. Vendors of State and Local management of these herds in a way Summary of Collection: Under the Management Information Systems Animal Health Protection Act (7 U.S.C. that reduces the risk of spreading CWD. (MIS) and Other Technology Solutions 8301 et.seq.), the Animal and Plant APHIS is combining 0579–0237 into for the National School Lunch and Health Inspection Service (APHIS) is this information collection (0579–0189) School Breakfast Programs authorized to among other things, and will retire 0579–0237 upon the administer the National Poultry approval of this renewal of 0579–0189. AGENCY: Food and Nutrition Service Improvement Plan (NPIP or the Plan), Need and Use of the Information: (FNS), USDA. the primary purpose of which is to APHIS will collect information from ACTION: Notice; request for information. protect the health of the U.S. poultry owners of elk, deer, and moose herds population. NPIP is a voluntary Federal- SUMMARY: This is a request for who choose to participate in the CWD State-industry cooperative program for information from Management Herd Certification program. They would the improvement of poultry flocks and Information Systems (MIS) software and need to follow program requirements for products through disease control hardware vendors and developers techniques. The NPIP regulations are animal identification, testing, herd (‘‘vendors’’) to learn about the contained in 9 CFR parts 56, 145, 146 management, and movement of animals functionality of State and School Food and 147. into and from herds. APHIS also Authority National School Lunch and Need and Use of the Information: established requirements for the School Breakfast Program (NSLP/SBP) APHIS will collect information using interstate movement of cervids to data management information systems. several forms to continually improve the prevent movement of elk, deer, and It is not a request for proposal and does health of the U.S. poultry population moose that pose a risk of spreading not commit the Government to issue a and the quality of U.S. poultry products. CWD. Carrying out this program will solicitation, make an award, or pay any If the information were collected less entail the use of several information costs associated with responding to this frequently or not collected, APHIS collection activities: Memoranda of announcement. All submitted could not affectively monitor the health understandings; participation requests/ information shall remain with the of the nation’s poultry population. applications; sample collections and lab Government and will not be returned. Description of Respondents: Business submissions; herd records; cervid All responses will become part of the or other for-profit; State, Local or Tribal identification; reports of cervid public record and will not be held Government. disappearances, escapes, and deaths; confidential. Number of Respondents: 18,097. herd plans; annual reports; consistent The United States Department of Agriculture (USDA) is seeking Frequency of Responses: State reviews; epidemiological information that will inform future data Recordkeeping; Reporting: On occasion. investigations; appraisal, destruction, reporting requirements for the Total Burden Hours: 104,311. and payment of indemnity; letter to Department’s oversight and Animal and Plant Health Inspection appeal suspension; Interstate management of NSLP/SBP. The Service Certificates of Veterinary Inspection Department is aware that all States and Title: Control of Chronic Wasting (ICVI); and wild cervid ICVI, and many school districts have installed and Disease. surveillance data. Failure to collect this implemented MIS or other technology OMB Control Number: 0579–0189. information would cripple APHIS’ solutions to improve State and local Summary of Collection: The Animal ability to effectively sustain its CWD program management. To better Health Protection Act (AHPA) of 2002 is control program. understand the availability and the primary Federal law governing the Description of Respondents: Business implementation of these solutions, protection of animal health. The law or other for-profit; State, Local or Tribal USDA is requesting information from gives the Secretary of Agriculture broad Government. vendors about NSLP/SBP data systems authority to detect, control, and they offer and have deployed at the Number of Respondents: 5,735. eradicate pests or diseases of livestock State and local levels. or poultry, and to pay claims arising Frequency of Responses: Reporting The objectives of this request for from destruction of animals. Disease and Recordkeeping: On occasion. information (RFI) are to: prevention is the most effective method Total Burden Hours: 383,383. 1. Obtain background data to inform for maintaining a healthy animal later research on State and School Food population and enhancing the Animal Ruth Brown, Authority (SFA) NSLP/SBP data and Plant Health Inspection Service Departmental Information Collection management information systems. (APHIS) ability to complete in exporting Clearance Officer. 2. Describe the functionality and animals and animal products. Chronic [FR Doc. 2015–03907 Filed 2–24–15; 8:45 am] capabilities of systems currently in use wasting disease (CWD) is a BILLING CODE 3410–34–P by State agencies and SFAs, or available transmissible spongiform to States and SFA for purchase. encephalopathy (TSE) of elk, deer and 3. Describe the typical costs of system moose typified by chronic weight loss development, installation, maintenance, leading to death. The presence of CWD and upgrades. disease in cervids causes significant 4. Identify which States and SFAs are economic and market losses to U.S. using particular systems. producers. In an effort to accelerate the DATES: To be assured of consideration, control and limit the spread of this written comments must be submitted or disease in the United States, APHIS postmarked on or before April 27, 2015.

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ADDRESSES: The Food and Nutrition and that SFAs collect, generate, and 1. Number of School District/schools Service, USDA, invites the submission maintain far more data than they report currently deployed of the requested information through to their State child nutrition agencies. 2. Average/typical size of the school one of the following methods: This includes data on costs, revenues, system • Preferred Method: Submit inventories, vendor management, and 3. Year of first deployment information through the Federal other business, administrative and 4. Years serving schools eRulemaking Portal at http:// regulatory activity. The same is true of III. Product Information www.regulations.gov. Follow the online State agencies that are responsible for instructions for submissions. monitoring the work of many SFAs. a. List and describe the core modules • Mail: Submissions should be Some States and SFAs have developed provided by your product. For example: addressed to Dennis Ranalli, Social more sophisticated data management 1. Point of Sale/Service (POS) Science Policy Analyst, Office of Policy systems to manage program data, 2. Prepayment system(s) for parents Support, FNS, U.S. Department of however there is no comprehensive 3. Nutrient Analysis and Menu Agriculture, 3101 Park Center Drive, inventory of NSLP/SBP management Planning Room 1014, Alexandria, VA 22302. information systems (MIS) in use, the 4. Inventory Management • Comments may also be emailed to number of States and SFAs that use 5. Purchasing/Vendor Management [email protected]. MIS, or the data elements collected to 6. Production Records All information properly and timely support FNS reporting and general 7. Financial Management submitted, using one of the three program management. 8. Free and Reduced-Price Meals methods described above, in response to The Review of Child Nutrition Data Applications • this request for information will be and Analysis for Program Management Scanning paper applications • included in the record and will be made Processing On-line applications project will fill this knowledge gap by • available to the public on the Internet at Making eligibility determinations fully documenting SFA and State NSLP/ • http://www.regulations.gov. Please be SBP management information systems. Creating benefit issuance documents advised that the substance of the This baseline ‘‘as is’’ review will • information provided and the identity of document overall NSLP/SBP Conducting verification the individuals or entities submitting it information system design, capabilities, 9. Direct Certification • SNAP recipients will be subject to public disclosure. functions, development/replacement • All written comments will be open for and maintenance costs, and typical Extended SNAP household public inspection at the FNS office lifespan. The ‘‘as is’’ review is focusing members • Other direct certification— located at 3101 Park Center Drive, particular attention on NSLP/SBP homeless, migrant, foster Alexandria, Virginia, 22302, Room program management data that are 10. Meal counting and claiming 1014, during regular business hours collected or generated at the SFA or 11. Administrative Review (8:30 a.m. to 5:00 p.m., Monday through State agency levels, but are not required 12. Reporting Friday). All responses to this notice will to be reported to FNS on any FNS 13. Any other not listed above be summarized and included in the program report forms. Findings from the b. Describe the capabilities and request for Office of Management and RFI and additional review activities will reporting functionalities of your Budget (OMB) approval. All comments provide a baseline for potential product. will be a matter of public record. improvements to data collection c. Describe your platform—site-based, FOR FURTHER INFORMATION CONTACT: practices and help support future MIS central office w/satellite, cloud-based, Requests for additional information or modernization and paperwork reduction etc. copies of this request for information efforts. They will also help identify d. For SFAs, are POS terminals should be directed to Dennis Ranalli at promising and emerging practices and proprietary or third-party? [email protected]. define models for MIS at both the state e. Is your system a commercial off the SUPPLEMENTARY INFORMATION: The and local SFA levels. shelf (COTS) product with application current Food and Nutrition Service FNS requests that vendors respond in in multiple industry segments or school (FNS) routine data collection detail to the items below. Vendors are nutrition specific? requirements for the National School encouraged to provide any material that f. Does your firm rely on any ‘third Lunch Program and School Breakfast addresses the information requested or party software products/systems’ for Program (NSLP/SBP) have their roots in any other information that may be implementation and/or operation? the paper and early computer eras and pertinent. Additional references or links g. Are any additional licenses reflect concerns with paperwork and to materials are welcome. required from ‘third party sources’ to reporting burden. Thus, data collected I. Vendor Information utilize your product? to administer and monitor these h. What is your product’s ability to a. Name of Company programs is typically reported at the b. Address and Telephone Number interface with other vendor systems? State level, with detailed data collected c. Vendor Representative, contact What level of customization is at the service delivery point (e.g., number and email address available? individual meal transactions, school) i. List the minimum and often aggregated at one or more levels II. Vendor Overview & Experience recommended hardware requirements to (e.g., school to SFA to State-level) before Briefly describe your company, your implement and utilize your product at being submitted to FNS. Data products and services, history, and each level of installation. aggregation results in a significant loss ownership; for example: j. Describe the interface capabilities of potentially valuable information that a. Web site address between your product and various could support administration, b. Main product/services within-district student data base monitoring, and policy development. c. Main market/customers systems. FNS recognizes that, in fact, managing d. Company location(s) k. Describe the interface capabilities a school food service program is a e. Product deployment sites/school between your product and State agency complex and data intensive operation, systems systems.

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l. Does your system adhere to Schools d. List any additional pricing/cost Call-In Number Interoperability Framework (SIF) information that would be useful to If you wish to participate in the standards? evaluate the affordability of the product. public meeting for the 29th Session of m. Please provide a list of data VI. Training CCGP by conference call on February elements captured/stored by your 25, 2015, please use the call-in number a. What type of technical training do product. For example: and participant code listed below: 1. Name of the data element you provide? Call-in Number: 1 (888) 844–9904 2. Description of the data element b. Describe your product’s Participant code: 5126092 3. Possible values documentation and in-program help? Registration n. Describe the processes/procedures/ Dated: February 11, 2015. steps associated with planning, Audrey Rowe, Attendees may register by emailing installation, setup, data import and Administrator, Food and Nutrition Service. [email protected] by February 24, conversion, data migration, quality [FR Doc. 2015–03848 Filed 2–24–15; 8:45 am] 2015. Early registration is encouraged because it will expedite entry into the assurance, deployment, and roll-out for BILLING CODE 3410–30–P your product. building. The meeting will be held in a Federal building. Attendees should also IV. Customer Support, Maintenance DEPARTMENT OF AGRICULTURE bring photo identification and plan for and Security adequate time to pass through security a. Describe your model for providing Food Safety and Inspection Service screening systems. Those who are not able to attend the meeting in-person, but customer support, including charge/cost [Docket No. FSIS–2015–0007] structure (e.g., hours of support, levels wish to participate may do so by phone. of support). Codex Alimentarius Commission: FOR FURTHER INFORMATION CONTACT: b. Describe your incident reporting Meeting of the Codex Committee on For Further Information About the and tracking systems, and the ability for General Principles 29th Session of CCGP Contact: Mary customer staff to access those systems Frances Lowe, U.S. Codex Office, 1400 AGENCY: Office of the Under Secretary directly. Independence Avenue, Room 4861, for Food Safety, USDA. c. List the types of support access that Washington, DC 20250, Phone: (202) are available (web, email, chat, ACTION: Notice of public meeting and 205–7760, Fax: (202) 720–3157, Email: telephone etc.). request for comments. [email protected]. For Further Information About the d. Describe the communication and SUMMARY: The Office of the Under Public Meeting Contact: Barbara McNiff, escalation processes/protocols in the Secretary for Food Safety, U.S. U.S. Codex Office, 1400 Independence event of failure, network outages, Department of Agriculture (USDA) is Avenue, Room 4861, Washington, DC degraded service, and/or exceeded sponsoring a public meeting on 20250. Phone: (202) 205–7760, Fax: planned utilization. February 25, 2015. The objective of the (202) 720–3157, Email: USCODEX@ e. Describe your replication, archival public meeting is to provide information fsis.usda.gov . and retrieval processes, including your and receive public comments on agenda disaster recovery model. items and draft United States (U.S.) SUPPLEMENTARY INFORMATION: f. Describe the warranty and positions to be discussed at the 29th Background maintenance plan(s) for your product. Session of the Codex Committee on Codex was established in 1963 by two Have there been recent upgrades or General Principles (CCGP) of the Codex United Nations organizations, the Food updates to your product? How often do Alimentarius Commission (Codex), and Agriculture Organization (FAO) and you typically develop and release which will take place in Paris, France, the World Health Organization (WHO). upgrades? –13,2015. The Deputy Under Through adoption of food standards, g. Is your support agreement Secretary for Food Safety recognizes the codes of practice, and other guidelines integrated into the license agreement? importance of providing interested developed by its committees, and by h. Describe your understanding and parties the opportunity to obtain promoting their adoption and system approach to privacy rules, background information on the 29th implementation by governments, Codex specifically those related to children Session of CCGP and to address items seeks to protect the health of consumers and students (Children’s Online Privacy on the agenda. and ensure fair practices in the food Protection Act, Family Educational DATES: The public meeting is scheduled trade. Rights and Privacy Act, etc.). for Wednesday, February 25, 2014 from The CCGP is responsible for dealing i. Describe your process for upgrading 1–4 p.m. with procedural and general matters your product to meet federal and state ADDRESSES: The public meeting will referred to it by Codex, for proposing regulations. take place at the South Building, United amendments to the Codex Procedural j. Does your product support access States Department of Agriculture Manual, and for reviewing and through smartphones, tablets, laptops (USDA), 1400 Independence Ave SW., endorsing procedural provisions and etc.? Room 1160, Washington, DC 20250. texts forwarded by Codex Committees V. Pricing Documents related to the 29th Session for inclusion in the Procedural Manual. of CCGP will be accessible on-line at the The Committee is hosted by France. a. Describe your pricing models following address: http:// relevant to each component of your www.codexalimentarius.org/meetings- Issues To Be Discussed at the Public product. reports/en/. Meeting b. Is your pricing model based on Mary Frances Lowe, U.S. Delegate to The following items on the agenda for purchasing the entire product or the 29th Session of CCGP, invites the 29th Session of CCGP will be individual module(s), or is it based on interested U.S. parties to submit their discussed during the public meeting: usage/users? comments electronically to the • Matters Referred to the Committee c. Describe the upgrade process and following email address: USCODEX@ • Proposed amendments to the Terms cost to upgrade. fsis.usda.gov. of Reference of CCGP

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• Proposed amendments to the parental status, income derived from a would begin November 2015 for Procedures for the Elaboration of Codex public assistance program, or political Christmas tree permits. Standards and Related Texts beliefs, exclude from participation in, ADDRESSES: Kit Mullen, Forest • Consistency of the Risk Analysis deny the benefits of, or subject to Supervisor, Sawtooth National Forest, Texts across the Relevant Committees discrimination any person in the United 2647 Kimberly Road East, Twin Falls, • Codex Work Management and States under any program or activity Idaho 83301. Functioning of the Executive Committee conducted by the USDA. FOR FURTHER INFORMATION CONTACT: • Other Business Each issue listed will be fully How To File a Complaint of Jennifer Blake, Recreation Fee described in documents distributed, or Discrimination Coordinator, by phone at 208–737–3216 or via email at [email protected]. to be distributed, by the Secretariat prior To file a complaint of discrimination, Information about proposed fee changes to the Committee meeting. Members of complete the USDA Program can also be found on the Sawtooth the public may access or request copies Discrimination Complaint Form, which National Forest Web site: http:// of these documents (see ADDRESSES). is available accessed on-line at http:// www.fs.usda.gov/sawtooth. Public Meeting www.ocio.usda.gov/sites/default/files/ Individuals who use docs/2012/Complain_combined_6_8_ At the February 25, 2015, public telecommunication devices for the deaf 12.pdf, or write a letter signed by you (TDD) may call the Federal Information meeting, draft U.S. positions on the or your authorized representative. Send agenda items will be described and Relay Service (FIRS) at 1–800–877–8339 your completed complaint form or letter between 8:00 a.m. and 8:00 p.m., discussed, and attendees will have the to USDA by mail, fax, or email: opportunity to pose questions and offer Eastern Standard Time, Monday comments. Written comments may be Mail through Friday. offered at the meeting or sent to Mary U.S. Department of Agriculture, SUPPLEMENTARY INFORMATION: The Frances Lowe, U.S. Delegate for the 29th Director, Office of Adjudication, 1400 Federal Recreation Lands Enhancement Session of CCGP (see ADDRESSES). Independence Avenue SW., Act (Title VII, Pub. L. 108–447) directed Written comments should state that they Washington, DC 20250–9410. the Secretary of Agriculture to publish relate to activities of the 29th Session of a six month advance notice in the CCGP. Fax Federal Register whenever new (202) 690–7442. recreation fee areas are established. Additional Public Notification Once public involvement is complete, Public awareness of all segments of Email the fee increases will be reviewed by a rulemaking and policy development is [email protected]. Recreation Resource Advisory important. Consequently, FSIS will Persons with disabilities who require Committee prior to a final decision and announce this Federal Register alternative means for communication implementation. publication on-line through the FSIS (Braille, large print, audiotape, etc.), Dated: , 2015. should contact USDA’s TARGET Center Web page located at: http:// Jennifer Blake, www.fsis.usda.gov/federal-register. at (202) 720–2600 (voice and TDD). FSIS also will make copies of this Acting Forest Supervisor. Dated: February 19, 2015. [FR Doc. 2015–03725 Filed 2–24–15; 8:45 am] publication available through the FSIS Marie Maratos, Constituent Update, which is used to BILLING CODE 3410–11–P Acting U.S. Manager for Codex Alimentarius. provide information regarding FSIS policies, procedures, regulations, [FR Doc. 2015–03800 Filed 2–24–15; 8:45 am] Federal Register notices, FSIS public BILLING CODE 3410–DM–P DEPARTMENT OF COMMERCE meetings, and other types of information that could affect or would be of interest Submission for OMB Review; DEPARTMENT OF AGRICULTURE to our constituents and stakeholders. Comment Request The Update is available on the FSIS Forest Service The Department of Commerce will Web page. Through the Web page, FSIS submit to the Office of Management and is able to provide information to a much Notice of Proposed New Fee Site; Budget (OMB) for clearance the broader, more diverse audience. In Federal Lands Recreation following proposal for collection of addition, FSIS offers an email Enhancement Act information under the provisions of the subscription service which provides Paperwork Reduction Act (44 U.S.C. AGENCY: Forest Service, USDA. automatic and customized access to Chapter 35). selected food safety news and ACTION: Notice of proposed fee increase Agency: National Institute of information. This service is available at: on Christmas tree permits. Standards and Technology, Commerce. http://www.fsis.usda.gov/subscribe. SUMMARY: The Sawtooth National Forest Title: Summer High School Intern Options range from recalls to export is proposing to increase the fee for Program (SHIP). information, regulations, directives, and Christmas tree permits from $5.00 to OMB Control Number: 0693–XXXX. notices. Customers can add or delete Form Number(s): None. $10.00 per tag. The fee is proposed and subscriptions themselves, and have the Type of Request: Regular Submission will be determined upon further option to password protect their (new collection). analysis and public comment. Funds accounts. Number of Respondents: 350. from fees would be used for the Average Hours per Response: 8. USDA Non-Discrimination Statement continued operation, visitor services, Burden Hours: 2,800. No agency, officer, or employee of the maps, and law enforcement while Needs and Uses: The Summer High USDA shall, on the grounds of race, issuing and enforcing Christmas tree School Intern Program (SHIP) is a NIST- color, national origin, religion, sex, permits. wide 8-week summer intern program for gender identity, sexual orientation, DATES: Comments will be accepted students who will have finished their disability, age, marital status, family/ through , 2015. Increased fees junior or senior year of high school by

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the start of the program, are U.S. estimated response time is expected to proposed revision to the scope of citizens, and are interested in scientific be less than 30 minutes. production authority is warranted at research. Students selected for this Burden Hours: 15,000. this time. The proposed revision competitive volunteer program will Needs and Uses: NIST conducts described in the notification is participate in cutting-edge research at surveys, focus groups, and other authorized, subject to the FTZ Act and NIST, and will work closely with NIST customer satisfaction/service data the Board’s regulations, including staff scientists and engineers on a collections. The collected information is Section 400.14. specific research problem. needed and will be used to determine Dated: February 19, 2015. The first round of the application the kind and the quality of products, Andrew McGilvray, process is completed via an on-line services, and information our key Executive Secretary. application through the Student customers want and expect, as well as Information System which collects basic their satisfaction with and awareness or [FR Doc. 2015–03895 Filed 2–24–15; 8:45 am] biographical information about the existing products, services, and BILLING CODE 3510–DS–P student. This information is reviewed information. and finalists are invited to submit Affected Public: Business or other for- DEPARTMENT OF COMMERCE secondary materials via email to ship@ profit organizations, individuals or nist.gov. These secondary materials households, not-for-profit institutions. International Trade Administration include a resume, transcript, letters of Frequency: On occasion. recommendation, personal statement, Respondent’s Obligation: Voluntary, [A–583–837] and parental consent and commitment providing the requested information is Polyethylene Terephthalate Film, form. necessary to obtain accurate information Sheet, and Strip From Taiwan: Final Affected Public: Individuals or regarding customer satisfaction with Results of Antidumping Duty households; local government (public NIST products, services and Administrative Review; 2012–2013 schools). information. Frequency: Once a year. This information collection request AGENCY: Enforcement and Compliance, Respondent’s Obligation: Voluntary. may be viewed at reginfo.gov. Follow International Trade Administration, This information collection request the instructions to view Department of U.S. Department of Commerce. may be viewed at reginfo.gov. Follow Commerce collections currently under SUMMARY: On August 21, 2014, the the instructions to view Department of review by OMB. Department of Commerce (‘‘the Commerce collections currently under Written comments and Department’’) published its preliminary review by OMB. recommendations for the proposed results of the administrative review of Written comments and information collection should be sent the antidumping duty order on recommendations for the proposed within 30 days of publication of this polyethylene terephthalate film, sheet, information collection should be sent _ notice to OIRA Submission@ and strip (PET film) from Taiwan.1 within 30 days of publication of this omb.eop.gov or fax to (202) 395–5806. notice to OIRA_Submission@ Based upon our analysis of the omb.eop.gov or fax to (202) 395–5806. Dated: February 19, 2015. comments received, we have made no Glenna Mickelson, changes to the margin calculations for Dated: February 20, 2015. Management Analyst, Office of the Chief these final results and continue to Glenna Mickelson, Information Officer. determine that Nan Ya Plastics Management Analyst, Office of the Chief [FR Doc. 2015–03824 Filed 2–24–15; 8:45 am] Corporation (‘‘Nan Ya’’) made sales of Information Officer. BILLING CODE 3510–13–P subject merchandise to the United [FR Doc. 2015–03870 Filed 2–24–15; 8:45 am] States at below normal value. The final BILLING CODE 3510–DT–P dumping margin is listed below in the DEPARTMENT OF COMMERCE ‘‘Final Results of Review’’ section of this notice. DEPARTMENT OF COMMERCE Foreign-Trade Zones Board DATED: Effective Date: February 25, 2015.2 Submission for OMB Review; [B–76–2014] Comment Request FOR FURTHER INFORMATION CONTACT: Foreign-Trade Zone 45—Portland, Milton Koch or Toni Page at (202) 482– The Department of Commerce will Oregon; Revision to Production 2584, or (202) 482–1398, respectively; submit to the Office of Management and Authority; Epson Portland, Inc., AD/CVD Operations, Office VII, Budget (OMB) for clearance the Subzone 45F; (Inkjet Cartridges and Enforcement and Compliance, following proposal for collection of Bulk Ink); Hillsboro, Oregon International Trade Administration, information under the provisions of the U.S. Department of Commerce, 14th Paperwork Reduction Act (44 U.S.C. On , 2014, Epson Portland, Street and Constitution Avenue NW., Chapter 35). Inc. (EPI) submitted a notification of Washington, DC 20230. Agency: National Institute of proposed revision to existing Standards and Technology (NIST). production authority to the Foreign- 1 See Polyethylene Terephthalate Film, Sheet, and Title: NIST Three-Year Generic Trade Zones (FTZ) Board for EPI’s Strip From Taiwan: Preliminary Results of Request for Customer Service—Related facility in Hillsboro, Oregon, within Antidumping Duty Administrative Review; 2012– Subzone 45F. 2013, 79 FR 49496 (August 21, 2014) (‘‘Preliminary Data Collections. Results’’). OMB Control Number: 0693–0031. The notification was processed in 2 Due to the closure of the Federal Government in Form Number(s): None. accordance with the regulations of the Washington, DC on , 2015, the Type of Request: Regular submission. FTZ Board (15 CFR part 400), including Department reached this determination on the next Number of Respondents: 90,000. notice in the Federal Register inviting business day (i.e., February 18, 2015). See Notice of Clarification: Application of ‘‘Next Business Day’’ Average Hours Per Response: Less public comment (79 FR 64168–64169, Rule for Administrative Determination Deadlines than 2 minutes for a response card; 2 10–28–2014). The FTZ Board has Pursuant to the Tariff Act of 1930, As Amended, 70 hours for focus group participation. The determined that no further review of the FR 24533 (, 2005).

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SUPPLEMENTARY INFORMATION: electronically via Enforcement and This clarification will apply to entries of Compliance’s Antidumping and subject merchandise during the POR Background Countervailing Duty Centralized produced by each respondent for which On August 21, 2014, the Department Electronic Service System (‘‘ACCESS’’). they did not know that their published the Preliminary Results of ACCESS is available to registered users merchandise was destined for the this administrative review. The at http://access.trade.gov and in the United States. In such instances, we will administrative review covers one CRU. In addition, a complete version of instruct CBP to liquidate unreviewed producer and exporter of the subject the Issues and Decision Memorandum entries at the all-others rate if there is no merchandise to the United States, Nan can be accessed directly on the internet rate for the intermediate company(ies) Ya. On , 2014, the Department at http://www.trade.gov/enforcement. involved in the transaction.6 published a notice rescinding the The signed Issues and Decision Cash Deposit Requirements review with respect to Shinkong Memorandum and the electronic Materials Technology Corporation.3 The versions of the Issues and Decision The following deposit requirements period of review (POR) is , 2012, Memorandum are identical in content. will be effective for all shipments of through June 30, 2013. We invited PET film from Taiwan entered, or parties to comment on the Preliminary Changes Since the Preliminary Results withdrawn from warehouse, for Results. Nan Ya timely filed a case brief Based on our analysis of the consumption on or after the date of on , 2014; however, the comments received, we have made no publication of the final results of this Department rejected the case brief for adjustments to the margin calculations administrative review, as provided for containing new factual information. Nan for Nan Ya. by section 751(a)(2)(C) of the Tariff Act Ya resubmitted its case brief on October Final Results of Review of 1930, as amended (‘‘the Act’’): (1) The 14, 2014. Petitioners timely filed a cash deposit rate for Nan Ya will be the rebuttal brief on , 2014. We determine that Nan Ya’s rate established in the final results of weighted-average dumping margin is Scope of the Order this review; (2) for previously reviewed 1.56 percent for entries of subject or investigated companies not listed The products covered by the merchandise that were produced and/or above, the cash deposit rate will antidumping duty order are all gauges of exported by Nan Ya and that entered, or continue to be the company-specific rate raw, pretreated, or primed polyethylene were withdrawn from warehouse, for published for the most recent period; (3) terephthalate film, sheet, and strip, consumption during the period July 1, if the exporter is not a firm covered in whether extruded or coextruded. 2012, through June 30, 2013. this review, a prior review, or the less- Excluded are metalized films and other Assessment Rates than-fair-value investigation, but the finished films that have had at least one The Department shall determine, and manufacturer is, the cash deposit rate of their surfaces modified by the will be the rate established for the most application of a performance-enhancing U.S. Customs and Border Protection (‘‘CBP’’) shall assess, antidumping recent period for the manufacturer of resinous or inorganic layer of more than the merchandise; and, (4) if neither the 0.00001 inches thick. Imports of duties on all appropriate entries. The Department intends to issue assessment exporter nor the manufacturer is a firm polyethylene terephthalate film, sheet, covered in this or any previous review, and strip are currently classifiable in the instructions to CBP 15 days after the date of publication of the final results of the cash deposit rate will be the all Harmonized Tariff Schedule of the others rate for this proceeding, 2.40 United States (‘‘HTSUS’’) under item this review. For any individually examined respondents whose weighted- percent, as established in the less-than- number 3920.62.00.90. HTSUS fair-value investigation.7 These deposit subheadings are provided for average dumping margin is above de minimis (i.e., 0.5 percent) in the final requirements, when imposed, shall convenience and customs purposes. The remain in effect until further notice. written description of the scope of the results, we will calculate importer- antidumping duty order is dispositive. specific ad valorem duty assessment Disclosure rates based on the ratio of the total We will disclose the calculations Analysis of Comments Received amount of dumping calculated for the performed within five days of the date importer’s examined sales to the total The sole issue raised in the case and of publication of this notice to parties in entered value of those sales in rebuttal briefs by parties regarding this proceeding in accordance with 19 accordance with 19 CFR 351.212(b)(1). differential pricing methodology is CFR 351.224(b). addressed in the Issues and Decision We will instruct CBP to assess Memorandum, which is dated antidumping duties on all appropriate Notification Regarding Administrative concurrently with these final results and entries covered by this review when the Protective Orders incorporated herein by reference.4 The importer-specific assessment rate This notice is the only reminder to Issues and Decision Memorandum is a calculated in the final results of this parties subject to the administrative public document and is on file in the review is above de minimis. Where protective order (‘‘APO’’) of their Central Records Unit (‘‘CRU’’), Room either the respondent’s weighted responsibility concerning the return or 7046 of the main Department of average dumping margin is zero or destruction of proprietary information Commerce building, as well as below de minimis or an importer- specific assessment rate is zero or below 6 For a full discussion of this clarification, see 3 See Polyethylene Terephthalate Film From de minimis, we will instruct CBP to Assessment Policy Notice. Taiwan: Partial Rescission of Antidumping Duty liquidate the appropriate entries 7 See Notice of Amended Final Antidumping Duty Administrative Review; 2012–2013, 79 FR 1362 without regard to antidumping duties. Determination of Sales at Less Than Fair Value and (January 8, 2014). The Department clarified its ‘‘automatic Antidumping Duty Order: Polyethylene 4 See Memorandum to Paul Piquado, Assistant 5 Terephthalate Film, Sheet, and Strip (PET Film) Secretary for Enforcement and Compliance, assessment’’ regulation on , 2003. From Taiwan, 67 FR 44174 (July 1, 2002), as ‘‘Decision Memorandum for Final Results of corrected in Notice of Amended Final Antidumping Duty Administrative Review: 5 See Antidumping and Countervailing Duty Determination of Sales at Less Than Fair Value and Polyethylene Terephthalate Film, Sheet, and Strip Proceedings: Assessment of Antidumping Duties, 68 Antidumping Duty Order: Polyethylene from Taiwan; 2012–2013,’’ dated February 18, 2015 FR 23954 (May 6, 2003) (‘‘Assessment Policy Terephthalate Film, Sheet, and Strip (PET Film) (Issues and Decision Memorandum). Notice’’). from Taiwan, 67 FR 46566 (, 2002).

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disclosed under the APO in accordance SUPPLEMENTARY INFORMATION: Title III of Date Deemed Submitted: February 6, with 19 CFR 351.305(a)(3), which the Export Trading Company Act of 2014. continues to govern business 1982 (15 U.S.C. Sections 4001–21) (‘‘the Proposed Amendment: CAEA seeks to proprietary information in this segment Act’’) authorizes the Secretary of amend its Certificate to delete the of the proceeding. Timely written Commerce to issue Export Trade following company as a Member of notification of the return or destruction Certificates of Review. An Export Trade CAEA’s Certificate: Minturn Nut of APO materials or conversion to Certificate of Review protects the holder Company, Inc., Le Grand, CA. judicial protective order is hereby and the members identified in the CAEA’s proposed amendment of its requested. Failure to comply with the Certificate from State and Federal Export Trade Certificate of Review regulations and the terms of an APO is government antitrust actions and from would result in the following companies a sanctionable violation. private treble damage antitrust actions as Members under the Certificate: for the export conduct specified in the Almonds California Pride, Inc., Notification to Importers Certificate and carried out in Caruthers, CA, Baldwin-Minkler Farms, This notice also serves as a final compliance with its terms and Orland, CA, Blue Diamond Growers, reminder to importers of their conditions. The regulations Sacramento, CA, Campos Brothers, responsibility under 19 CFR implementing Title III are found at 15 Caruthers, CA, Chico Nut Company, 351.402(f)(2) to file a certificate CFR part 325 (2014). Section 302(b)(1) Chico, CA, Del Rio Nut Company, Inc., regarding the reimbursement of of the Export Trade Company Act of Livingston, CA, Fair Trade Corner, Inc., antidumping duties prior to liquidation 1982 and 15 CFR 325.6(a) require the Chico, CA, Fisher Nut Company, of the relevant entries during this Secretary to publish a notice in the Modesto, CA, Hilltop Ranch, Inc., review period. Failure to comply with Federal Register identifying the Ballico, CA, Hughson Nut, Inc., this requirement could result in the applicant and summarizing its Hughson, CA, Mariani Nut Company, Secretary’s presumption that application. Under 15 CFR 325.6(a), Winters, CA, Nutco, LLC d.b.a. Spycher reimbursement of antidumping duties interested parties may, within twenty Brothers, Turlock, CA, Paramount occurred and the subsequent assessment days after the date of this notice, submit Farms, Inc., Los Angeles, CA, P–R of double antidumping duties. written comments to the Secretary on Farms, Inc., Clovis, CA, Roche Brothers These final results of administrative the application. International Family Nut Co., Escalon, review and notice are published in CA, South Valley Almond Company, accordance with sections 751(a)(1) and Request for Public Comments LLC, Wasco, CA, Sunny Gem, LLC, 777(i)(1) of the Act and 19 CFR Interested parties may submit written Wasco, CA, Western Nut Company, 351.213(h). comments relevant to the determination Chico, CA. Dated: February 18, 2015. whether an amended Certificate should Dated: February 19, 2015. Paul Piquado, be issued. If the comments include any Joseph Flynn, privileged or confidential business Assistant Secretary for Enforcement and Director, Office of Trade and Economic Compliance. information, it must be clearly marked Analysis, International Trade Administration. and a nonconfidential version of the [FR Doc. 2015–03897 Filed 2–24–15; 8:45 am] [FR Doc. 2015–03784 Filed 2–24–15; 8:45 am] comments (identified as such) should be BILLING CODE 3510–DR–P BILLING CODE 3510–DS–P included. Any comments not marked as privileged or confidential business DEPARTMENT OF COMMERCE information will be deemed to be DEPARTMENT OF COMMERCE nonconfidential. International Trade Administration An original and five (5) copies, plus International Trade Administration two (2) copies of the nonconfidential [Application No. 99–8A005] version, should be submitted no later Trade Mission to South Africa, Kenya and Mozambique Export Trade Certificate of Review than 20 days after the date of this notice to: Export Trading Company Affairs, AGENCY: International Trade ACTION: Notice of Application to Amend International Trade Administration, Administration, Department of the Export Trade Certificate of Review U.S. Department of Commerce, Room Commerce. 21028, Washington, DC 20230. Issued to California Almond Export ACTION: Replacement of Trade Mission Association, LLC (‘‘CAEA’’), Information submitted by any person Statement. Application No. (99–8A005). is exempt from disclosure under the Freedom of Information Act (5 U.S.C. SUMMARY: The United States Department SUMMARY: The Office of Trade and 552). However, nonconfidential versions of Commerce, International Trade Economic Analysis (‘‘OTEA’’) of the of the comments will be made available Administration is replacing a notice International Trade Administration, to the applicant if necessary for published , 2014, at 79 FR Department of Commerce, has received determining whether or not to issue the 36290, for the Trade Mission to South an application to amend an Export amended Certificate. Comments should Africa and Mozambique, With an Trade Certificate of Review refer to this application as ‘‘Export Optional Stop in Kenya; February 23– (‘‘Certificate’’). This notice summarizes Trade Certificate of Review, application 27, 2015. the proposed amendment and requests number 99–8A005.’’ SUPPLEMENTARY INFORMATION: comments relevant to whether the Summary of the Application Replacement of Trade Mission amended Certificate should be issued. Statement. FOR FURTHER INFORMATION CONTACT: Applicant: California Almond Export Joseph Flynn, Director, Office of Trade Association, LLC (‘‘CAEA’’), 4800 Sisk Background and Economic Analysis, International Road Modesto, CA 95356. The United States Department of Trade Administration, (202) 482–5131 Contact: Bill Morecraft, Chairman, Commerce, International Trade (this is not a toll-free number) or email Telephone: (916) 446–8537. Administration is replacing its Trade at [email protected]. Application No.: 99–8A005. Mission to South Africa and

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Mozambique, With an Optional Stop in Commercial Setting as a series of protectionist policies that Kenya; February 23–27, 2015 with a Mozambique, with a population of 23 has precipitated a series of downgrades new trade mission as notified herein. million, grew its economy from 1994 to by the major credit agencies. Replacement. 2009 at an average rate of eight percent Best Prospects in Targeted Sectors per year—one of the fastest rates of Trade Mission to Mozambique, Kenya Transportation Infrastructure and and South Africa growth of any sub-Saharan African economy over this period. In 2013, GDP Equipment –26, 2015 reached $15 billion. While the country Mozambique Mission Description was devastated after the civil war ended Transport networks and infrastructure in 1992, it has since benefited from will be instrumental to developing The U. S. Department of Commerce, macroeconomic reforms and large International Trade Administration, is Mozambique’s growth potential in the foreign investment projects. near and long term. The recently organizing a Trade Mission to Though infrastructure remains weak Mozambique, Kenya and South Africa, concluded $500 million Millennium and the population is still largely rural, Challenge Corporation compact funded June 18–26, 2015, which will be led by the government is committed to extensive rehabilitation of key roads, a a senior executive of the U.S. building a strong commercial dam, and a water supply project in two Department of Transportation. The environment. The United States has northern provinces. The Government of mission is designed to help U.S. firms traditionally been a relatively minor Mozambique is investing heavily in find business partners and sell trading partner, but U.S. investment in expanding rail and port capacity to equipment and services. Target sectors the energy sector, particularly off-shore manage the rising production of mineral holding high potential for U.S exporters natural gas, is expected to grow resources. A rail line to the deepest include: tremendously in the next several years. natural port on the East Coast of Africa Transportation Infrastructure and External competition, local labor quotas, should significantly lower coal transport Equipment, such as: road, bridge and periodic flooding, and an often- costs, and two foreign companies have dam construction and reconstruction; contentious political situation present recently been contracted to begin work automatic fare collection systems, new some challenges to doing business in on a new rail line ending at Macuze and refurbished railroad locomotives, Mozambique. port. As total coal exports are projected new bulk car and other dedicated Kenya, with a population of 43 to reach 40 million tons per year by rolling freight fleets, smart signaling and million, is the dominant economy in the 2015 and long term estimates are in the rail operation automation, rolling stock East African Community. Given its range of 100 million tons per year, depot design, strategic route design and position as the economic, commercial, infrastructure around this sector network planning, port mobile, and logistical hub of East Africa, more remains a priority. In addition, rapid weighbridges and quayside systems and U.S. companies are investing in Kenya investment in infrastructure to support upgrading of existing port equipment and setting up local and regional planned liquefied natural gas (LNG) and oil and gas development operations there. Kenya’s first election projects in northern Mozambique, one infrastructure. under a new constitution with a of its least developed regions, could Energy Equipment and Services, such devolved government structure was bring vast opportunities to U.S. firms. held in April 2013, and should position as: power generation (including Kenya renewable energy); transmission and it for further growth. Investor distribution (including smart grid), confidence is high, as demonstrated by Kenya enjoys an extensive, but energy efficiency, oil and gas Kenya’s record-breaking $2 billion uneven, infrastructure that is still exploration and production and project debut sovereign bond offering in 2014. superior in many cases to that of its development. Kenya also boasts a large number of neighbors. Nairobi is the undisputed well-educated English-speaking and transportation hub of Eastern and Agricultural Equipment, such as: crop multi-lingual professionals, and a strong Central Africa and the largest city production equipment and machinery, entrepreneurial tradition. Doing between Cairo and Johannesburg. The irrigation equipment and technology, business in Kenya includes a number of Port of Mombasa is the most important crop storage and handling, precision challenges, such as crime, deep-water port in the region, supplying farming technologies and fertilizers. unemployment, limited infrastructure, the shipping needs of more than a dozen Although focused on the sectors and corruption. countries despite persistent deficiencies above, the mission also will consider South Africa, a country of 52 million in equipment, inefficiency and participation from companies in other people, has the most advanced, broad- corruption. As a result of these appropriate sectors as space permits. based industrial economy in Africa, deficiencies, the Port of Mombasa has This trade mission will include one- enjoys relative macroeconomic stability been earmarked for major expansion on-one business appointments with pre- and boasts sound financial, legal and and re-habilitation. screened potential buyers, agents, accounting institutions; not to mention Kenya’s ‘‘Vision 2030’’ infrastructure distributors and joint venture partners; an English-speaking workforce. It development plans call for significant meetings with national and regional remains the primary choice for U.S. improvements to the provision of water, government officials, chambers of companies wishing to develop the renewable energy, ICT, housing, roads, commerce, and business groups; and promising markets of sub-Saharan bridges, railways, seaports and airports networking receptions. The mission will Africa, although it suffers from large over the next 20 years. The construction help participating firms and trade disparities in income distribution and industry in Kenya is driven primarily by associations gain market insights, make over 25 percent unemployment. In 2014 two key infrastructure sectors: industry contacts, solidify business South Africa’s GDP grew by less than Transportation and housing, given the strategies, and advance specific projects, two percent to $357 billion. Doing large housing deficit that exists in with the goal of increasing U.S. exports business in South Africa includes a Kenya. Construction and infrastructure to Mozambique, Kenya and South number of challenges including development will also present new Africa. corruption and power shortages, as well opportunities, especially with the

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passage of the new public-private terminal at the Port of Saldanha and the Kenya partnership (PPP) law which will make ageing Richards Bay Terminal where government procurements more $370 million is set aside for mobile and In response to strong economic transparent and less risky. quayside equipment, as well as growth and increasing demand for weighbridges. electricity, Kenya is focused on South Africa developing its power generation and South Africa’s Transnet, the largest Energy transmission and distribution infrastructure. Today, Kenya is faced State Owned Enterprise (SOE) within Mozambique the Department of Public Enterprises with brownouts, blackouts, and power (DPE) has announced and allocated Mozambique is set to become one of surges that damage equipment and funding for significant transportation the world’s largest new suppliers of necessitate emergency power, driving infrastructure capital investments. In natural gas. The country’s massive up the cost of electricity. The supply 2012, the government announced the offshore discoveries have launched a deficit and costly short-term solutions allocation of funding for investments scramble among exploration and impede economic growth, and reduce estimated at over $90 billion over 15 production companies to develop these the competitiveness of Kenya’s private years. Though there have been new-found resources. In early 2014, the sector in the region. With only 25 complaints of slow implementation, Oil and Gas Journal raised percent of the population connected to leading some contractors to re-focus Mozambique’s proven reserves to 100 the grid, the Kenyan government is business elsewhere in the continent, in trillion cubic feet (Tcf), making it the currently implementing a plan to late 2013 and early 2014 commitments third-largest proved natural gas holder connect an additional 5,000MW to the were made to procure passenger rolling in Africa. Although much of the grid to meet growing demand and help stock, locomotives, signaling and track Mozambique’s offshore acreage still reduce electricity tariffs by 40 percent upgrades. Also, the development of the remains underexplored, one U.S. by 2017, with a goal of achieving significant Durban phase 2 port company already has announced universal access by 2030. extension (in the old Durban recoverable finds totaling some 45–65 In ITA’s Renewable Energy Top International Airport precinct) has been Tcf. The country’s rich resources could Markets for U.S.-Exports 2014–2015, initiated. support up to ten LNG trains in one Kenya was ranked 13th most promising The Passenger Rail Agency of South province alone, and a floating LNG export market for U.S. renewable energy Africa (Prasa) of the SA Department of facility is under consideration. companies, and first in the geothermal Transport (SADOT) in March 2012 Developers focusing on Mozambique’s sector, which makes up about 22 announced a 20-year rail improvement LNG infrastructure expect to begin percent of Kenya’s energy mix (about program estimated at more than $13.6 exporting as early as 2018. Additionally, 583 MW). More than 40 wells per year billion. Of this, $1.3 billion will be although the United States exported currently are being drilled, with a target invested in signaling, new depots, only $25 million of oil and gas field of developing over 5,000 MW, modern stations and integrated equipment to Mozambique in 2013, this approximately half of its capacity, in the ticketing, while $1.1 billion is being is up from $1 million only five years next two decades. Kenya has extensive spent on new locomotives. SOE Transnet Freight Rail (TFR) and prior and comprises about 19 percent of plans to increase other renewables as others are expanding logistics projects the country’s relatively small total of well. The country is gradually such as upgrading the Sishen-Saldanha $132 million for that year. More than 80 diversifying its energy mix and is keen Bay ore line, the Richard Bay coal line percent of U.S. exports to Mozambique to wean off expensive thermal diesel and other new coal line networks in the are in pipe products, indicating the power, whose supply is impacted by northwest. Transnet’s rail and port early stages of the industry. recurring droughts; and thermal power, projects are reportedly set to cost Mozambique is a net exporter of which is sensitive to global fuel prices. around $30 billion over seven years and energy. But in order to support its Kenya is also an increasingly include augmenting the tractive and growing economy the country requires promising player in the booming East bulk car fleet, signaling, maintenance, significant investment to upgrade old Africa oil and gas market. The multiple advanced train management systems infrastructure and conclude new onshore discoveries announced since and network expansion/concession generation projects. The majority of 2012, largely in Turkana County, have models. For the second large diesel power produced in the country comes led exploration and production locomotive program of 465 units, one from the Cahora Bassa hydro-power companies to sound optimistic notes U.S. and one Chinese manufacturer scheme in central Mozambique, where about the country’s potential. The were selected as preferred bidders in the government plans a multi-million greatest enthusiasm surrounds offshore February 2014. dollar ‘‘North Bank’’ expansion. It will resources, where drillers hope to Transnet Port Terminals (TPT), the add an additional 1,250 MW with replicate Mozambique and Tanzania’s port operating SOE is set to invest $3.3 transmission lines to South Africa, the vast natural gas discoveries. To date, billion over the next seven years for the South African Power Pool, Maputo, and Kenya’s oil resources are estimated to be expansion and improvement of its bulk Northern Mozambique. Planning for a 600 million barrels, with at least one and container terminals. Significant second multi-billion dollar, 1,500-plus firm projecting that Kenya’s resource capacity-creating projects included the MW hydropower dam 35 miles base could amount to as much as 10 expansion of the Durban Container downstream at Mphanda Nkuwa is well billion barrels, though exploration is Terminal’s (DCT’s) Pier 1 that would underway, and the operators are still in the early stages. While increase its capacity from 700,000 expected to finalize financing this year, movement on key planned twenty-foot equivalent units (TEUs) to with commercial operations due to start infrastructure projects, such as the $25 820,000 TEUs by 2013 and 1.2 million as early as 2017. The government of billion Lamu Port, South Sudan TEUs by 2016/17. Other expansion Mozambique recently approved new Ethiopia, Transport (LAPSSET) projects include the Ngqura Container renewable feed-in tariffs as part of an Corridor, has been slow, if all goes Terminal, Durban Ro-Ro and Maydon ongoing strategy to promote private smoothly, a Uganda-Kenya pipeline Wharf terminal, the iron-ore bulk investment in renewable energy sources. could be completed by as early as 2019.

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South Africa exploring the country’s estimated 390 percent of total employment in the Electricity supply constraints are trillion cubic feet (tcf) of agricultural sector. These attributes, significant and are expected to remain a unconventional deposits. While licenses coupled with challenges arising from feature of South Africa’s social and have yet to be issued, President Zuma limited institutional capacity, poor economic landscape for several years to announced in June 2014 that the infrastructure, and risks associated with come. ESKOM, the government owned government would proceed with shale liberalized markets, explain the relative power utility, with a virtual monopoly gas development plans, indicating the stagnation of agricultural productivity on generation, transmission and government’s willingness to move and incomes. Kenya’s horticulture industry is a distribution (responsible for around 95 forward with development in the sector. major export success in Africa. It is percent of local generation) is South Africa has announced plans to almost entirely dominated by the experiencing budgetary and add 9,600 MW of nuclear power over the next twenty years and the private sector and provides many infrastructure challenges. As a result of opportunities for increased importation these challenges, the government has government is in talks with multiple countries about resources to develop of fertilizers, pesticides and equipment. put a renewed focus on the increased Similar opportunities lie in the generation of power, increased energy South Africa’s civil nuclear energy program. The country currently has two floriculture industry in Kenya, which is efficiency and decreased consumption. the leading exporter of fresh cut flowers ESKOM’s reserve of power has recently nuclear reactors that generate 5 percent of its electricity. to the flower auction in Holland. Other become so low that it has been forced important commodities include maize, to utilize its contractual rights with Agricultural Equipment tea, coffee, sugarcane and wheat, which large industrial users to require them to Mozambique will require additional use of fertilizers reduce consumption at critical times, as production grows. The government and it has implemented scheduled Mozambique has vast needs and vast has embarked on a mechanization brownouts or ‘‘load-shedding’’ outages opportunities in the agriculture sector. program to increase use of more modern for all users. It has also been forced to Boasting a landmass about the size of means of farming to increase output. In use expensive diesel to power Texas and Louisiana combined, a addition, the government has set aside generators at peak load periods. Though coastline longer than the eastern 1.2 million acres of land for irrigation there is current and planned seaboard of the United States, and a that for growing maize and wheat, and infrastructure investment to ensure geographic location well-positioned to livestock farming. Agricultural future supply, there have been export to burgeoning Asian markets, equipment is tax exempt under the VAT significant delays in bringing these agriculture is still small-scale and Act 2013 to provide support to the planned power generation facilities on subsistence. Growth in agriculture has sector. line. lagged in relation to GDP growth, largely Kenya imports virtually all of its ESKOM is currently investigating due to the lack of mechanization and agricultural chemicals because local smart grid as an option to manage peak irrigation. Opportunities for U.S. production is insignificant. Kenya’s load demand. Renewable energy companies vary from cold storage, fertilizer use has almost doubled since programs have also been introduced in irrigation and food processing the liberalization of the market in the order to facilitate clean renewable equipment. 1990s and the removal of government independent energy production. The Mozambique recognizes agriculture as price controls and import licensing government’s Renewable Energy the key to poverty reduction and quotas. The growth in use has been Independent Power Producer employment and is focused on policy noted especially among the smallholder Procurement program (REIPPP) has been reforms to attract more private sector farmers in growth of both food crops relatively successful and marks the first investment. The Government of (maize, domestic horticulture) and time independent power producers have Mozambique is committed to promoting export crops (tea, coffee). Growth in the been allowed to sell power back to the the use of technology, irrigation, and industry is largely due to huge private grid. In ITA’s Renewable Energy Top improved methods to raise yields. This investment in both importation and Markets for U.S.-Exports 2014–2015, commitment has resulted in plans by retailing of fertilizers. Fertilizer is also South Africa was ranked 12th; however, U.S. and other foreign agribusiness tax exempted under the new VAT Act. local content requirements, which have companies to establish commercial increased in recent months, may limit farms. South Africa potential U.S. exports. South Africa has by far the most Kenya Further capital expenditure is ongoing modern, productive and diverse with the two large scale coal-fired plants Agriculture remains the backbone of agricultural economy in Sub Saharan under construction—Medupi Power Kenya’s economy. It accounts for about Africa. Agriculture in South Africa Station (4,800 MW) and Kusile Power 24 percent of GDP directly and 75 remains an important sector despite its Station (4800 MW)—as well as a percent of the labor force indirectly. relatively small contribution to the GDP. pumped storage project (1,332 MW) and Cash crop (tea, coffee, and horticulture), The sector plays an important role in a wind energy facility (1,00MW). With food crops (maize, wheat and rice), and terms of job creation, especially in rural on-going power outages, the government livestock dominate the agricultural areas, but is also a foremost earner of of South Africa has also recently opened sector. Kenyan agriculture faces many foreign exchange. bids to independent power producers challenges. It is predominately rainfall South Africa has a market-oriented for the provision of 2,500 MW of base- dependent and thus subject to wide agricultural economy that is highly load (coal) power. production variances. It is diversified, including production of all South Africa boasts the world’s eighth undercapitalized, implying low the major grains (except rice), oilseeds, largest supply of technically recoverable technological absorption resulting in deciduous and subtropical fruits, sugar, shale gas resources, according to the low productivity. Small-scale farmers citrus, wine and most vegetables. U.S. Department of Energy’s Energy contribute about 75 percent to the Livestock production includes cattle, Information Administration. In 2012, country’s total value of agricultural dairy, pigs, sheep, and a well-developed the government lifted a moratorium on output and account for nearly 85 broiler and egg industry. Value-added

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sector activities include slaughtering, opportunities. Five percent of all new one meetings with business contacts, processing and preserving of meat; agriculture equipment is being including potential agents, distributors processing and preserving of fruit and produced locally; 95 percent of all and partners so they can position vegetables; dairy products; grain mill agriculture equipment and parts are themselves to enter or expand their products; crushing of oilseeds; prepared being sourced from international presence in these markets. animal feeds; and sugar refining markets, and at least 20 percent of new Mission Scenario amongst other food products. South equipment and technologies are Africa also exports wine, corn, mohair, currently being sourced from the U.S. This mission will visit Maputo, groundnuts, karakul pelts, sugar, and Mozambique, Nairobi, Kenya and Mission Goals wool. Johannesburg, South Africa allowing South Africa offers U.S. exporters in The goal of this trade mission is to participants to access the largest the agricultural equipment and provide U.S. participants with first- markets and business centers in these technology sector a wide range of hand market information, and one-on- countries.

PROPOSED MISSION TIMETABLE

Day of Week Location Activity

Wednesday, ...... Maputo ...... Companies arrive Maputo. Welcome Breakfast. Thursday, June 18 ...... Maputo ...... Briefing by U.S. Embassy. One-on-one business appointments. Evening business reception. Friday, June 19 ...... Maputo ...... One-on-one business appointments continue. Saturday, ...... Maputo/Nairobi ...... Site visit or travel to Nairobi. Sunday, ...... Maputo/Nairobi ...... Remain in or travel to Nairobi. Welcome Breakfast. Monday, June 22 ...... Nairobi ...... Briefing by U.S. Embassy. One-on-one business appointments. Evening business reception. Tuesday, ...... Nairobi ...... One-on-one business appointments continue. Wednesday, June 24 ...... Nairobi/Johannesburg ... Travel to Johannesburg. Welcome Breakfast. Thursday, ...... Johannesburg ...... Briefing by U.S. Embassy. One-on-one business appointments. Evening business reception. Friday, June 26 ...... Johannesburg ...... One-on-one business appointments continue. Mission Ends. *Note: The final schedule and potential site visits will depend on the availability of local government and business officials, specific goals of mission participants, and air travel schedules.

Participation Requirements firms and trade associations/ Conditions for Participation organizations. The fee for each All parties interested in participating Applicants must submit a completed additional representative (large firm, in the trade mission must complete and and signed mission application and submit an application package for SME or trade association/organization) supplemental application materials, consideration by the U.S. Department of is $750. including adequate information on the Commerce. All applicants will be Exclusions company’s or association/organization’s evaluated on their ability to meet certain products and/or services, primary conditions and best satisfy the selection The mission fee does not include any market objectives, and goals for criteria as outlined below. A minimum personal travel expenses such as participation by , 2015. If the of 15 and maximum of 20 firms and/or lodging, most meals, local ground Department of Commerce receives an trade associations or organizations will transportation and air transportation. incomplete application, the Department be selected from the applicant pool to Delegate members will however, be able may either: reject the application, participate in the mission. to take advantage of U.S. Government request additional information/ clarification, or take the lack of Fees and Expenses rates for hotel rooms. Government fees and processing expenses to obtain such information into account when After a company or trade association/ visas are also not included in the evaluating the applications. organization has been selected to mission costs. However, the U.S. Each applicant must also certify that participate on the mission, a payment to Department of Commerce will provide the products and services it seeks to the U.S. Department of Commerce in the instructions to each participant on the export through the mission are either form of a participation fee is required. procedures required to obtain necessary produced in the U.S., or, if not, are The participation fee for the mission is business visas. marketed under the name of a U.S. firm $4,600 for small or medium-sized and have at least fifty-one percent U.S. enterprises (SME),1 and $6,200 for large content. In the case of a trade affiliates, and subsidiaries will be considered when association or organization, the determining business size. The dual pricing reflects 1 An SME is defined as a firm with 500 or fewer applicant must certify that for each employees or that otherwise qualifies as a small the Commercial Service’s user fee schedule that business under SBA regulations (see http:// became effective May 1, 2008 (see http:// company to be represented by the www.sba.gov/services/contractingopportunities/ www.export.gov/newsletter/march2008/ association/organization, the products sizestandardstopics/index.html). Parent companies, initiatives.html for additional information). and/or services the represented

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company seeks to export are either media, notices by industry trade On Tuesday, March 10, 2015, the produced in the U.S. or, if not, marketed associations and other multiplier conference call information is phone under the name of a U.S. firm and have groups, and publicity at industry number 1–800–857–6552; Participant at least fifty-one percent U.S. content. meetings, symposia, conferences, and Code: 8099565; and the webinar event In addition, each applicant must: trade shows. address is: https:// Certify that the products and services Recruitment for this mission will noaaevents2.webex.com/noaaevents2/ that it wishes to market through the begin immediately and conclude April onstage/g.php?d=393951018&t=a; event mission would be in compliance with 17, 2015. We will inform applicants of password: NOAA. U.S. export controls and regulations; selection decisions as soon as possible On Wednesday, , 2015, the Certify that it has identified to the after April 17, 2015. Applications conference call information is phone Department of Commerce for its received after April 17, 2015 will be number 1–800–857–6552; Participant evaluation any business pending before considered only if space and scheduling Code: 8099565; and the webinar event the Department that may present the constraints permit. address is: https:// appearance of a conflict of interest; FOR FURTHER INFORMATION CONTACT: noaaevents2.webex.com/noaaevents2/ Certify that it has identified any U.S. Commercial Service, Johannesburg, onstage/g.php?d=395887510&t=a ; pending litigation (including any South Africa, Brent Omdahl, Deputy event password: NOAA. administrative proceedings) to which it Senior Commercial Officer, Phone: On Thursday, March 12, 2015, the is a party that involves the Department 27–11–290–3227, Email: conference call information is phone of Commerce; and [email protected]. number 1–800–857–6552; Participant Sign and submit an agreement that it Trade Missions Office, Washington, DC, Code: 8099565; and the webinar event and its affiliates (1) have not and will Anne Novak, Phone: (202) 482–8178, address is: https:// not engage in the bribery of foreign Email: [email protected]. noaaevents2.webex.com/noaaevents2/ officials in connection with a onstage/g.php?d=394954698&t=a ; company’s/participant’s involvement in Frank Spector, event password: NOAA. this mission, and (2) maintain and International Trade Specialist. Participants are strongly encouraged enforce a policy that prohibits the [FR Doc. 2015–03898 Filed 2–24–15; 8:45 am] to log/dial in fifteen minutes prior to the bribery of foreign officials. BILLING CODE 3510–DR–P meeting. NMFS will show the Selection Criteria for Participation presentations via webinar and allow public comment during identified times Targeted mission participants are U.S. DEPARTMENT OF COMMERCE on the agenda. companies and trade associations/ FOR FURTHER INFORMATION CONTACT: organizations providing or promoting National Oceanic and Atmospheric Peter Cooper or Margo Schulze-Haugen products and services that have interest Administration at (301) 427–8503. in entering or expanding their business in markets of Mozambique, Kenya and RIN 0648–XD770 SUPPLEMENTARY INFORMATION: The South Africa. The following criteria will Magnuson-Stevens Fishery be used in selecting participants: Atlantic Highly Migratory Species; Conservation and Management Act, 16 Suitability of a company’s (or in the Meeting of the Atlantic Highly U.S.C. 1801 et seq., as amended by the case of a trade association/organization, Migratory Species Advisory Panel Sustainable Fisheries Act, Public Law represented companies’) products or 104–297, provided for the establishment AGENCY: National Marine Fisheries of an AP to assist in the collection and services to these markets. Service (NMFS), National Oceanic and Company’s (or in the case of a trade evaluation of information relevant to the Atmospheric Administration (NOAA), development of any Fishery association/organization, represented Commerce. companies’) potential for business in the Management Plan (FMP) or FMP markets, including likelihood of exports ACTION: Notice of public meeting and amendment for Atlantic HMS. NMFS resulting from the mission. webinar/conference call. consults with and considers the comments and views of AP members Consistency of the applicant SUMMARY: NMFS will hold a 3-day company’s (or in the case of a trade when preparing and implementing Atlantic Highly Migratory Species FMPs or FMP amendments for Atlantic association/organization, represented (HMS) Advisory Panel (AP) meeting in companies’) goals and objectives with tunas, swordfish, billfish, and sharks. March 2015. The intent of the meeting The AP has previously consulted with the stated scope of the mission. is to consider options for the Referrals from political organizations NMFS on: Amendment 1 to the Billfish conservation and management of and any documents, including the FMP (April 1999); the HMS FMP (April Atlantic HMS. The meeting is open to application, containing references to 1999); Amendment 1 to the HMS FMP the public. partisan political activities (including (December 2003); the Consolidated HMS political contributions) will be removed DATES: The AP meeting and webinar FMP (October 2006); and Amendments from an applicant’s submission and not will be held from 10:30 a.m. to 5 p.m. 1, 2, 3, 4, 5a, 5b, 6, 7, 8, and 9 to the considered during the selection process. on Tuesday, March 10, 2015; from 8:30 2006 Consolidated HMS FMP (April and a.m. to 5 p.m. on Wednesday, March 11, October 2008, February and September Timeframe for Recruitment and 2015; and from 8:30 a.m. to 12 p.m. on 2009, May and September 2010, April Application Thursday, March 12, 2015. There will and September 2011, March and Mission recruitment will be be an introduction for new AP members September 2012, January and September conducted in an open and public at 9 a.m. on Tuesday, March 10, 2015. 2013, April and September 2014), manner, including publication in the ADDRESSES: The meeting will be held at among other things. Federal Register, posting on the the DoubleTree by Hilton Hotel, 8120 The intent of this meeting is to Commerce Department trade mission Wisconsin Avenue, Bethesda, MD consider alternatives for the calendar (http://www.export.gov/ 20814. The meeting presentations will conservation and management of all trademissions/) and other Internet Web also be available via WebEx webinar/ Atlantic tunas, swordfish, billfish, and sites, press releases to general and trade conference call. shark fisheries. We anticipate discussing

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the following Amendments to the 2006 document and to provide alternative system would also contribute to Consolidated HMS FMP: Draft options and ideas not yet considered by reducing management uncertainty by Amendment 6 on the future of shark the Council and NMFS. providing better estimates of harvesting fishery, providing updates on Dates and Addresses: effort and the timing of harvest, thereby Amendment 5b on dusky shark Written comments can be sent to the improving management design and management and Amendment 9 on Council not later than April 10th, 2015, responsiveness. More accurate and smoothhound shark management and by regular mail to the address below, or reliable catch data allows for more ongoing stock assessment, reviewing via email to [email protected] informed management. Final Amendment 7 on bluefin tuna or [email protected]. The absence of a federal permit management measures, as well as system, or mandatory federal reporting discussing the HMS Essential Fish In Puerto Rico requirements, has been identified as a Habitat 5-Year Review. The meeting will March 11, 2015—7 p.m.–10 p.m.— major contributor to the lack of fishing also include discussion of the Electronic Verdanza Hotel, Tartak St. Isla effort information in the U.S. Caribbean Technologies Implementation Plan for Verde Puerto Rico EEZ. A permitting system would allow Atlantic HMS, implementation of 2014 , 2015—7 p.m.–10 p.m.— better estimates for measuring fishing ICCAT recommendations, and updates Mayaguez Holiday Inn, 2701 Hostos effort for the Council-managed fisheries on the Atlantic HMS Management- Avenue, Mayagu¨ ez, Puerto Rico while shedding light on the Based Research Priorities document and effectiveness of regulations other research activities, among other In the U.S. Virgin Islands implemented to manage that effort. updates. , 2015—7 p.m.–10 p.m.—The Some of the needs and Issues that a Additional information on the Buccaneer Hotel, Estate Shoys, permitting system could address in the meeting and a copy of the draft agenda Christiansted, St. Croix, U.S. Virgin EEZ: will be posted prior to the meeting at: Islands 1. Provide accurate and timely data on http://www.nmfs.noaa.gov/sfa/hms/ , 2015—7 p.m.–10 p.m.— landings. advisory_panels/hms_ap/meetings/ap_ Windward Passage Hotel, Charlotte 2. Allow estimation of catch per unit meetings.html. Amalie, St. Thomas, U.S. Virgin of fishing effort. Islands. 3. Identify spatial and temporal trends Special Accommodations in effort, including the relative This meeting is physically accessible FOR FURTHER INFORMATION CONTACT: importance of fishing to individual to people with disabilities. Requests for Caribbean Fishery Management Council, communities. sign language interpretation or other 270 Mun˜ oz Rivera Avenue, Suite 401, 4. Manage competing interests for the auxiliary aids should be directed to San Juan, Puerto Rico 00918–1903, resource. Peter Cooper at (301) 427–8503 at least telephone: (787) 766–5926. 5. Identify trends in the health of 7 days prior to the meeting. SUPPLEMENTARY INFORMATION: The targeted fish stocks. Caribbean Fishery Management Council 6. Quantify the socioeconomic Dated: February 20, 2015. is considering establishing federal importance of permitted fishing sectors Alan D. Risenhoover, permits for fishing in the U.S. Caribbean and mitigate negative impacts of Director, Office of Sustainable Fisheries, exclusive economic zone (EEZ), and is management to fishing communities. National Marine Fisheries Service. conducting scoping meetings to obtain 7. Provide permitted fishers with a [FR Doc. 2015–03894 Filed 2–24–15; 8:45 am] public comments regarding this matter. better understanding of their fishery and BILLING CODE 3510–22–P the opportunities and implications of Background management to that fishery. A permitting system provides a There are many aspects to DEPARTMENT OF COMMERCE comprehensive method to achieve this implementing fishing permits in the goal. Permitting supports U.S. Caribbean exclusive economic zone National Oceanic and Atmospheric (EEZ) and many options regarding the Administration professionalization of individual fisheries, identifying and design of a permit system. Options for RIN 0648–XD791 acknowledging those fishers dedicated developing and designing a permit to and reliant upon a specific system include, but are not limited to: 1. Require commercial fishers to Caribbean Fishery Management component of the commercial fishery. obtain a federal permit to fish in the Council: Scoping Meetings Permits also allow for direct U.S. Caribbean EEZ; AGENCY: National Marine Fisheries communication with fishing entities, 2. Require commercial fishers to Service (NMFS), National Oceanic and enabling focused outreach and obtain a commercial fishing license Atmospheric Administration (NOAA), education opportunities. from either Puerto Rico or the U.S. Commerce. A permitting system allows fishery Virgin Islands (USVI) to fish in the U.S. ACTION: Notice of scoping meetings on scientists and managers to gather more Caribbean EEZ; Caribbean Federal permits. accurate data, decreasing both scientific 3. Require commercial fishers to and management uncertainty. Scientific obtain a federal permit or a commercial SUMMARY: The harvest activities of all uncertainty can be mitigated to some fishing license from either Puerto Rico fishing sectors must be understood to degree by increasing knowledge of the or the USVI to fish in the U.S. Caribbean the greatest degree possible to assure fishery and the health of the fish EEZ that societal goals encompassed in the populations that support that fishery. A 4. Require a species/species group/ Magnuson-Stevens Fishery permit system that identifies the fishery-specific permit in the U.S. Conservation and Management Act are universe of fishers operating within a Caribbean EEZ; met. Thus, the need for timely, effective, fishing sector and allows tracking of the 5. Require a gear-specific permit in and efficient means to monitor harvest disposition and characteristics of the U.S. Caribbean EEZ; from all sectors is fundamental. The harvested resources would substantially 6. Require a dealer permit to purchase goal of this Scoping Hearing is to allow enhance knowledge of the fishery. Data fish harvested from the U.S. Caribbean the public to comment on the scoping derived from a comprehensive permit EEZ;

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7. Conduct a pilot study with some or species of marine mammals incidental the potential to disturb a marine all fishers from some or all island to pile driving and removal associated mammal or marine mammal stock in the groups to evaluate the practicality of with the Central Bay Operations and wild by causing disruption of behavioral permits in the U.S. Caribbean EEZ. Maintenance Facility Project in the City patterns, including, but not limited to, The goal of these scoping meetings is of Alameda, California, between migration, breathing, nursing, breeding, to allow the public to comment on the , 2015, through November feeding, or sheltering [Level B options listed above and to provide 30, 2016. harassment]. alternative options not yet considered DATES: Effective December 1, 2015, Summary of Request by the Council and NMFS. through , 2016. Copy of the Scoping Document to ADDRESSES: A copy of the application On , 2014, NMFS received an address the Development of Federal containing a list of the references used application from WETA for the taking of Permits in the U.S. Caribbean Exclusive in this document, NMFS’s marine mammals incidental to the Economic Zone can be found at http:// Environmental Assessment (EA), construction of a Central Bay Operations sero.nmfs.noaa.gov/sustainable_ Finding of No Significant Impact and Maintenance Facility (Project). The fisheries/caribbean/index.html under (FONSI), and the IHA may be obtained purpose of the Project is to serve as the Current Rule Making or and the visiting the Internet at: http:// central San Francisco Bay (Bay) base for Caribbean Council Web site at www.nmfs.noaa.gov/pr/permits/ WETA’s ferry fleet. After NMFS caribbeanfmc.com. incidental.htm#applications. provided comments on the draft IHA Special Accommodations Documents cited in this notice may be application, WETA submitted a revised viewed, by appointment, during regular IHA application on May 15, 2014. These meetings are physically NMFS determined that the application accessible to people with disabilities. business hours, at 1315 East West Highway, Silver Spring, MD 20910. was adequate and complete on , For more information or request for sign 2014. No changes was made for the language interpretation and other FOR FURTHER INFORMATION CONTACT: Shane Guan, Office of Protected proposed WETA’s construction Project auxiliary aids, please contact Mr. as described in the proposed IHA except ´ Resources, NMFS, (301) 427–8401. Miguel A. Rolon, Executive Director, the Project duration was changed to SUPPLEMENTARY INFORMATION: Caribbean Fishery Management Council, December 1, 2015, through November 270 Mun˜ oz Rivera Avenue, Suite 401, Background 30, 2016, from the original San Juan, Puerto Rico, 00918–1903, Sections 101(a)(5)(A) and (D) of the through , 2014, due to telephone (787) 766–5926, at least 5 funding and other constraints. Please days prior to the meeting date. MMPA (16 U.S.C. 1361 et seq.) direct the Secretary of Commerce to allow, refer to Federal Register notice for the Dated: February 20, 2015. upon request, the incidental, but not proposed IHA for a detailed description Tracey L. Thompson, intentional, taking of small numbers of of the project activities. Acting Deputy Director, Office of Sustainable marine mammals by U.S. citizens who Comments and Responses Fisheries, National Marine Fisheries Service. engage in a specified activity (other than [FR Doc. 2015–03892 Filed 2–24–15; 8:45 am] commercial fishing) within a specified A notice of NMFS’ proposal to issue BILLING CODE 3510–22–P geographical region if certain findings an IHA to WETA was published in the are made and either regulations are Federal Register on , 2014 issued or, if the taking is limited to (79 FR 55479). That notice described, in DEPARTMENT OF COMMERCE harassment, a notice of a proposed detail, WETA’s activity, the marine authorization is provided to the public mammal species that may be affected by National Oceanic and Atmospheric the activity, and the anticipated effects Administration for review. An authorization for incidental on marine mammals. During the 30-day RIN 0648–XD444 takings shall be granted if NMFS finds public comment period, NMFS received that the taking will have a negligible comments from the Marine Mammal Takes of Marine Mammals Incidental to impact on the species or stock(s), will Commission (Commission), the Sierra Specified Activities; Taking Marine not have an unmitigable adverse impact Club, the San Francisco Bay Mammals Incidental to San Francisco on the availability of the species or Conservation and Development Bay Area Water Emergency stock(s) for subsistence uses (where Commission (BCDC), and 40 private Transportation Authority Central Bay relevant), and if the permissible citizens. Operations and Maintenance Facility methods of taking and requirements All comments specific to WETA’s Project in Alameda, California pertaining to the mitigation, monitoring application that address the statutory AGENCY: National Marine Fisheries and reporting of such takings are set and regulatory requirements or findings Service (NMFS), National Oceanic and forth. NMFS has defined ‘‘negligible NMFS must make to issue an IHA are Atmospheric Administration (NOAA), impact’’ in 50 CFR 216.103 as ‘‘an addressed in this section of the Federal Commerce. impact resulting from the specified Register notice. ACTION: Notice; issuance of an incidental activity that cannot be reasonably Comment 1: The Commission take authorization. expected to, and is not reasonably likely recommends NMFS issue the IHA to to, adversely affect the species or stock WETA, subject to inclusion of the SUMMARY: In accordance with the through effects on annual rates of proposed mitigation and monitoring Marine Mammal Protection Act recruitment or survival.’’ measures described in the proposed (MMPA) regulations, notification is Except with respect to certain IHA. In addition, the Commission hereby given that NMFS has issued an activities not pertinent here, the MMPA recommends that NMFS only authorize Incidental Harassment Authorization defines ‘‘harassment’’ as: Any act of in-season adjustments in the sizes of the (IHA) to the San Francisco Bay Area pursuit, torment, or annoyance which (i) exclusion and/or disturbance zones Water Emergency Transportation has the potential to injure a marine (zones of influence) if the size(s) of the Authority (WETA) to take, by mammal or marine mammal stock in the estimated zones are determined to be harassment, small numbers of two wild [Level A harassment]; or (ii) has too small.

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Response: NMFS agrees with the dock isolated from land. Since 2010, harbor seal haul-out, if the current old Commission’s recommendation and has additional remnant parts of the marina floating dock is to be removed. issued the IHA with mitigation and have also been lost. During this period Response: NMFS does not consider monitoring measures described below in of time harbor seals have been building an artificial harbor seal haul- this document, with the requirement opportunistically using the dock for out is a good conservation measure to that the exclusion and/or zones of haul-out purposes. At present, seals compensate for the loss of the old influence be adjusted only of the size(s) have been observed by local residents floating dock that is being used as a of the estimated zones are determined to hauling out on the portion of the dock haul-out by 10–20 harbor seals. As the be too small. that is furthest from shore. Sierra Club also stated in its comment, Comment 2: Citing WETA’s permit It is observed that on an average, application to BCDC to construct the about 10 to 20 harbor seals use the ‘‘[i]n the case of the WETA ferry facility Central Bay Operations and floating dock as haul-out periodically. project, it is not a traditional natural Maintenance Facility Project, BCDC Although during the spring of 2014, one shoreline that will be disturbed or points out that an abandoned small craft pup was observed reared at the floating destroyed.’’ The floating dock proposed floating dock located at the proposed dock, the site is not a known breeding to be removed is a manmade structure project site that harbor seals use as a area for harbor seal. Because the dock that is bound to disappear as it haul-out site, would be removed for the has been in a gradual state of decay deteriorates and falls apart. To build construction. BCDC states that there are since the closure of the naval base and another new structure without relatively few haul-out locations in the will likely continue to fall apart, the maintenance will likely have the same Bay for harbor seals, and BCDC is haul-out area on the dock provided for issue in the near future. Therefore, concerned that removal of a haul-out harbor seals is expected to decrease and NMFS considers it better conservation location may result in harmful impacts eventually disappear. practice not to construct a new structure to wildlife. The Sierra Club and 40 Finally, several nearby haul-out sites just to replace the current deteriorating private citizens also have concerns are available in the Bay that are artificial one. available to resident harbor seals in the about the loss of a harbor seal haul-out Description of Marine Mammals in the area. These areas include the tip of due to the removal of the floating dock. Area of the Specified Activity BSDC recommends that NMFS review Breakwater Island (1 mile from the the potential habitat impacts associated WETA project site) and the haul-out at The marine mammal species under with removal of these harbor seal haul- Yerba Buena Island (4 to 5 miles from NMFS jurisdiction most likely to occur out locations, including suggestions for the WETA project site) which is in the proposed construction area mitigation and monitoring, where identified as one of the five major haul- include Pacific harbor seal (Phoca appropriate, as part of the IHA out sites for harbor seals in the San vitulina richardsi) and California sea application for the project. Francisco Bay (Gibble 2011). lion (Zalophus californianus). Although Response: NMFS was not aware this Therefore, the removal of the remnant harbor porpoise (Phocoena phocoena), issue during its initial analysis of abandoned dock would have negligible killer whale (Orcinus orca), and gray potential impacts to the loss of one impact to harbor seal habitat in the whale (Eschrichtius robustus) have been harbor seal haul-out site as a result of proposed WETA construction site. sighted near the vicinity of the proposed the proposed WETA construction NMFS has thoroughly reviewed construction area, their presence at the project in the Bay. Therefore, the WETA’s IHA application, including the activity area is considered unlikely, potential impact of marine mammal proposed mitigation and monitoring habitat did not address this in the measures to reduce potential impacts because the proposed construction area Federal Register (79 FR 55479; from the construction activities. These is not typical habitat for these species. September 17, 2014) for the proposed mitigation and monitoring measures The southern sea otter (Enhydra lutris) IHA. Subsequently, NMFS conducted include using noise attenuation devices also may occur in the proposed further investigation and worked with for impact pile driving, power down/ construction area, but that species is NMFS West Coast Regional Office to shutdown of pile driving hammer if a managed by the U.S. Fish and Wildlife assess the potential impacts to harbor marine mammal is observed Service and is not considered further in seal haul-out and habitat in general in approaching the exclusion zone, and this proposed IHA notice. A list of the the Bay. monitoring the exclusion zones and marine mammal species under NMFS The harbor seal haul-out site that zones of influence. Detailed description jurisdiction and their abundance and would be affected is a small craft dock of these monitoring and mitigation Endangered Species Act (ESA) status is located at the project site and was measures and NMFS analysis is provided in Table 1. abandoned by the Navy when it vacated provided in the Federal Register (79 FR Additional information on the marine the Naval Air Station-Alameda in 1997. 55479; September 17, 2014) for the mammal species found in California The unmaintained dock has been proposed IHA, therefore, it is not waters can be found in Caretta et al. deteriorating slowly over the last 17 repeated here. (2013), which is available at the years and the deterioration has appeared Comment 3: The Sierra Club and following URL: http:// to be accelerating in the last five years. several private citizens recommend that www.nmfs.noaa.gov/pr/sars/pdf/ In 2010, the portion connecting the NMFS requires WETA to construct a po2012.pdf, and in the Federal Register floating dock to land broke off and sank, new haul-out dock nearby to notice (79 FR 55479) for the proposed leaving remnant parts of the floating compensate and mitigate the loss of IHA.

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TABLE 1—LIST OF MARINE MAMMAL SPECIES UNDER NMFS JURISDICTION THAT OCCUR IN THE VICINITY OF THE WETA CENTRAL BAY OPERATIONS AND MAINTENANCE FACILITY PROJECT AREA

Common name Scientific name Stock ESA Status Abundance

California sea lion ...... Zalophus californianus ...... U.S...... Not listed ...... 296,750 Harbor seal ...... Phoca vitulina richardsi ...... California ...... Not listed ...... 30,196

Potential Effects of the Specified harbor seals is expected to decrease and mammals would be reduced to the Activity on Marine Mammals and eventually disappear. lowest level practicable. Marine Mammal Habitat Finally, several nearby haul-out sites Use of Noise Attenuation Devices The primary potential impacts to are available in the Bay that are marine mammals and marine mammal available to resident harbor seals in the Noise attenuation systems (i.e., bubble habitat are associated with elevated area. These areas include the tip of curtains) will be used during all impact sound levels, but the project may also Breakwater Island (1 mile from the pile driving of steel piles to dampen the result in additional effects to marine WETA project site) and the haul-out at acoustic pressure and reduce the impact mammal prey species and short-term, Yerba Buena Island (4 to 5 miles from on marine mammals. By reducing local water turbidity caused by in-water the WETA project site) which is underwater sound pressure levels at the construction due to pile removal and identified as one of the five major haul- source, bubble curtains would reduce pile driving. These potential effects are out sites for harbor seals in the San the area over which Level B harassment discussed in detail in the Federal Francisco Bay (Gibble 2011). would occur, thereby potentially reducing the numbers of marine Register notice for the proposed IHA Therefore, the removal of the remnant mammals affected. In addition, the and are not repeated here. The potential abandoned dock would have negligible bubble curtain system would reduce affected habitat on harbor seal haul-out impact to harbor seal habitat in the sound levels below the threshold for was not discussed in the proposed IHA proposed WETA construction site. because NMFS was not aware of that injury (Level A harassment), and thus issue at the time. An analysis of the Mitigation eliminate the need for an exclusion zone for Level A harassment. potential effect on the removal of a In order to issue an incidental take harbor seal haul-out is provided below. authorization (ITA) under section Time Restrictions The harbor seal haul-out site that 101(a)(5)(D) of the MMPA, NMFS must would be affected is a small craft dock Work would occur only during set forth the permissible methods of located at the project site and was daylight hours, when visual monitoring taking pursuant to such activity, and abandoned by the Navy when it vacated of marine mammals can be conducted. other means of effecting the least the Naval Air Station-Alameda in 1997. In addition, all in-water construction practicable impact on such species or The unmaintained dock has been will be limited to the period between deteriorating slowly over the last 17 stock and its habitat, paying particular August 1 and November 30, 2016. years and the deterioration has appeared attention to rookeries, mating grounds, and areas of similar significance, and on Establishment of Harassment Zones of to be accelerating in the last five years. Influence Later in 2010, the portion connecting the availability of such species or stock the floating dock to land broke off and for taking for certain subsistence uses Before the commencement of in-water sank, leaving remnant parts of the (where relevant). pile driving activities, WETA shall floating dock isolated from land. Since For WETA’s proposed Central Bay establish Level B behavioral harassment 2010, additional remnant parts of the Operations and Maintenance Facility zones of influence (ZOIs) where marina have also been lost. During this Project, NMFS required the following received underwater sound pressure period of time harbor seals have been mitigation measures to minimize the levels (SPLs) are higher than 160 dB opportunistically using the dock for potential impacts to marine mammals in (rms) and 120 dB (rms) re 1 mPa for haul-out purposes. At present, seals the Project vicinity. The primary impulse noise sources (impact pile have been observed by local residents purposes of these mitigation measures driving) and non-impulses noise sources hauling out on the portion of the dock are to minimize sound levels from the (vibratory pile driving and mechanic that is furthest from shore. activities, to monitor marine mammals dismantling), respectively. The ZOIs It is observed that on an average, within designated zones of influence delineate where Level B harassment about 10 to 20 harbor seals use the corresponding to NMFS’ current Level B would occur. Because of the relatively floating dock as haul-out periodically. harassment thresholds and, if marine low source levels from vibratory pile Although during the spring of 2014, one mammals with the ZOI appear disturbed driving and from impact pile driving pup was observed reared at the floating by the work activity, to initiate with air bubble curtains, there will be dock, the site is not a known breeding immediate shutdown or power down of no area where the noise level would area for harbor seal. Because the dock the piling hammer, making it very exceed the threshold for Level A has been in a gradual state of decay unlikely potential injury or hearing harassment for pinnipeds, which is 190 since the closure of the naval base and impairment to marine mammals would dB (rms) re 1 mPa. The modeled will likely continue to fall apart, the occur and ensuring that Level B maximum isopleths for ZOIs are listed haul-out area on the dock provided for behavioral harassment of marine in Table 2.

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TABLE 2—MODELED LEVEL B HARASSMENT ZONES OF INFLUENCE FOR VARIOUS PILE DRIVING ACTIVITIES

Distance to 120 Distance to 160 Pile driving methods Pile material and size dB re 1 dB re 1 μPa (rms) (m) μPa (rms) (m)

Impact pile driving with air bubble curtain ...... 30″ epoxy coated steel piles ...... NA 250 24″ epoxy coated steel piles ...... NA 185 18″ epoxy coated steel piles ...... NA 93 Vibratory pile driving ...... 18″ plastic fender piles ...... 2,154 NA

In addition, although Level A In addition, WETA shall discontinue have a reasonable likelihood of harassment and injury by noise are not pile driving or pile removal activities if accomplishing (based on current expected to occur due to a marine mammal within a ZOI appears science), or contribute to the implementation of noise attenuation disturbed by the work activity. Work accomplishment of one or more of the devices and vibratory pile driving, a may not resume until the animal is seen general goals listed below: minimum shutdown zone of 10 m will to leave the ZOI or 30 minutes have (1) Avoidance or minimization of be established during all pile driving passed since the disturbed animal was injury or death of marine mammals and removal activities, regardless of the last sighted. wherever possible (goals 2, 3, and 4 may estimated zone. These precautionary Furthermore, for in-water heavy contribute to this goal). measures are intended to prevent the machinery work with the potential to (2) A reduction in the numbers of already unlikely possibility of physical affect marine mammals (other than pile marine mammals (total number or interaction with construction equipment driving), if a marine mammal comes number at biologically important time and to establish a precautionary within 10 m, operations shall cease or location) exposed to received levels minimum zone with regard to acoustic until the animal has left the shutdown of pile driving and pile removal or other effects. zone or 15 minutes has passed. Heavy activities expected to result in the take Once the underwater acoustic machinery work could include setting of marine mammals (this goal may measurements are conducted during the pile and removal of the pile from the contribute to 1, above, or to reducing initial test pile driving, WETA shall water column/substrate via a crane (i.e., harassment takes only). adjust the sizes of the exclusion zones dead pull). (3) A reduction in the number of and ZOIs only if the measured exclusion Finally, if any marine mammal times (total number or number at zones and ZOIs are larger than modeled species not authorized for take are biologically important time or location) zones. These zones will be monitored as encountered during pile driving or individuals would be exposed to described under the Proposed removal and are likely to be exposed to received levels of pile driving and pile Monitoring section below. sound pressure levels (SPLs) greater removal, or other activities expected to than or equal to 160 dB re 1 mPa (rms) result in the take of marine mammals Soft Start for impact pile driving or greater than or (this goal may contribute to 1, above, or A ‘‘soft-start’’ technique is intended to equal to 120 dB re 1 mPa (rms) for to reducing harassment takes only). allow marine mammals to vacate the vibratory driving or removal, then the (4) A reduction in the intensity of area before the pile driver reaches full Holder of this IHA must cease those exposures (either total number or power. Whenever there has been activities prior to the animal entering number at biologically important time downtime of 30 minutes or more the applicable Level B zone to avoid or location) to received levels of pile without pile driving, the contractor will take. Activities cannot commence until driving, or other activities expected to initiate the driving with ramp-up the animal has left the Level B zone. result in the take of marine mammals procedures described below. (this goal may contribute to a, above, or Mitigation Conclusions For vibratory hammers, the contractor to reducing the severity of harassment will initiate the driving for 15 seconds NMFS has carefully evaluated the takes only). at reduced energy, followed by a 1- mitigation measures and considered a (5) Avoidance or minimization of minute waiting period. This procedure range of other measures in the context adverse effects to marine mammal shall be repeated two additional times of ensuring that NMFS prescribes the habitat, paying special attention to the before continuous driving is started. means of effecting the least practicable food base, activities that block or limit This procedure would also apply to impact on the affected marine mammal passage to or from biologically vibratory pile extraction. species and stocks and their habitat. Our important areas, permanent destruction For impact driving, an initial set of evaluation of potential measures of habitat, or temporary destruction/ three strikes would be made by the included consideration of the following disturbance of habitat during a hammer at 40 percent energy, followed factors in relation to one another: biologically important time. by a 1-minute waiting period, then two • The manner in which, and the (6) For monitoring directly related to subsequent three-strike sets at 40 degree to which, the successful mitigation—an increase in the percent energy, with 1-minute waiting implementation of the measure is probability of detecting marine periods, before initiating continuous expected to minimize adverse impacts mammals, thus allowing for more driving. to marine mammals. effective implementation of the • The proven or likely efficacy of the mitigation. Shutdown Measures specific measure to minimize adverse Based on our evaluation of the WETA shall implement shutdown impacts as planned. applicant’s proposed measures, as well measures for pile driving or pile • The practicability of the measure as other measures considered by NMFS, removal activities if a marine mammal for applicant implementation. NMFS has preliminarily determined is sighted within or is about to enter the Any mitigation measure(s) prescribed that the proposed mitigation measures 10 m exclusion zone. by NMFS should be able to accomplish, provide the means of effecting the least

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practicable impact on marine mammals observations in the absence of stimuli completion of the construction work. species or stocks and their habitat, (need to be able to accurately predict This report would detail the monitoring paying particular attention to rookeries, received level, distance from source, protocol, summarize the data recorded mating grounds, and areas of similar and other pertinent information); during monitoring, and estimate the significance. D Distribution and/or abundance number of marine mammals that may comparisons in times or areas with have been harassed. NMFS would have Monitoring and Reporting concentrated stimuli versus times or an opportunity to provide comments on In order to issue an ITA for an areas without stimuli; the report, and if NMFS has comments, activity, section 101(a)(5)(D) of the (4) An increased knowledge of the WETA would address the comments MMPA states that NMFS must set forth, affected species; and and submit a final report to NMFS ‘‘requirements pertaining to the (5) An increase in our understanding within 30 days. monitoring and reporting of such of the effectiveness of certain mitigation In addition, NMFS would require taking.’’ The MMPA implementing and monitoring measures. WETA to notify NMFS’ Office of regulations at 50 CFR 216.104 (a)(13) Monitoring Measures Protected Resources and NMFS’ indicate that requests for ITAs must Stranding Network within 48 hours of include the suggested means of WETA shall employee NMFS- sighting an injured or dead marine accomplishing the necessary monitoring approved protected species observers mammal in the vicinity of the and reporting that will result in (PSOs) to conduct marine mammal construction site. WETA shall provide increased knowledge of the species and monitoring for its Central Bay NMFS with the species or description of of the level of taking or impacts on Operations and Maintenance Facility the animal(s), the condition of the populations of marine mammals that are Project. The PSOs will observe and collect data on marine mammals in and animal(s) (including carcass condition, expected to be present in the proposed around the project area for 30 minutes if the animal is dead), location, time of action area. WETA submitted a marine before, during, and for 30 minutes after first discovery, observed behaviors (if mammal monitoring plan as part of the all pile removal and pile installation alive), and photo or video (if available). IHA application. It can be found at work. If a PSO observes a marine http://www.nmfs.noaa.gov/pr/permits/ In the event that WETA finds an mammal within a ZOI that appears to be incidental.htm. The plan may be injured or dead marine mammal that is disturbed by the work activity, the PSO modified or supplemented based on not in the vicinity of the construction will notify the work crew to initiate comments or new information received area, WETA would report the same shutdown measures. from the public during the public information as listed above to NMFS as Monitoring of marine mammals soon as operationally feasible. comment period. around the construction site shall be Monitoring measures prescribed by conducted using high-quality binoculars Estimated Take by Incidental NMFS should accomplish one or more (e.g., Zeiss, 10 × 42 power). Marine Harassment of the following general goals: mammal visual monitoring shall be (1) An increase in the probability of conducted from the best vantage point Except with respect to certain detecting marine mammals, both within available, including the pier, activities not pertinent here, the MMPA the mitigation zone (thus allowing for breakwater, and adjacent docks within defines ‘‘harassment’’ as: Any act of more effective implementation of the the harbor, to maintain an excellent pursuit, torment, or annoyance which (i) mitigation) and in general to generate view of the ZOIs and adjacent areas has the potential to injure a marine more data to contribute to the analyses during the survey period. Monitors mammal or marine mammal stock in the mentioned below; would be equipped with radios or cell wild [Level A harassment]; or (ii) has (2) An increase in our understanding phones for maintaining contact with the potential to disturb a marine of how many marine mammals are work crews. mammal or marine mammal stock in the likely to be exposed to levels of pile Data collection during marine wild by causing disruption of behavioral driving that we associate with specific mammal monitoring will consist of a patterns, including, but not limited to, adverse effects, such as behavioral count of all marine mammals by migration, breathing, nursing, breeding, harassment, TTS, or PTS; species, a description of behavior (if feeding, or sheltering [Level B (3) An increase in our understanding possible), location, direction of harassment]. of how marine mammals respond to movement, type of construction that is As discussed above, in-water pile stimuli expected to result in take and occurring, time that pile replacement how anticipated adverse effects on removal and pile driving (vibratory and work begins and ends, any acoustic or impact) generate loud noises that could individuals (in different ways and to visual disturbance, and time of the varying degrees) may impact the potentially harass marine mammals in observation. Environmental conditions the vicinity of WETA’s proposed Central population, species, or stock such as weather, visibility, temperature, (specifically through effects on annual Bay Operations and Maintenance tide level, current, and sea state would Facility Project. rates of recruitment or survival) through also be recorded. any of the following methods: Currently, NMFS uses 120 dB re 1 mPa D Behavioral observations in the Reporting Measures and 160 dB re 1 mPa at the received presence of stimuli compared to WETA would be required to submit levels for the onset of Level B observations in the absence of stimuli weekly monitoring reports to NMFS that harassment from non-impulse (vibratory (need to be able to accurately predict summarize the monitoring results, pile driving and removal) and impulse received level, distance from source, construction activities, and sources (impact pile driving) and other pertinent information); environmental conditions. underwater, respectively. Table 3 D Physiological measurements in the A final monitoring report would be summarizes the current NMFS marine presence of stimuli compared to submitted to NMFS within 90 days after mammal take criteria.

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TABLE 3—CURRENT ACOUSTIC EXPOSURE CRITERIA FOR NON-EXPLOSIVE SOUND UNDERWATER

Criterion Criterion definition Threshold

Level A Harassment (Injury) ...... Permanent Threshold Shift (PTS) (Any level above that which is 180 dB re 1 μPa (cetaceans) 190 known to cause TTS). dB re 1 μPa (pinnipeds) root mean square (rms). Level B Harassment ...... Behavioral Disruption (for impulse noises) ...... 160 dB re 1 μPa (rms). Level B Harassment ...... Behavioral Disruption (for non-impulse noise) ...... 120 dB re 1 μPa (rms).

As explained above, ZOIs will be animal density for harbor seals or the highest count of harbor seals established that encompass the areas California sea lions. Based on observed, and the same number of where received underwater SPLs exceed observational data, the maximum California sea lions, will be foraging the applicable thresholds for Level B number of harbor seals observed along within the ZOI and be exposed multiple harassment. There will not be a zone for the closest breakwater near the project times during the Project. Level A harassment in this case, because vicinity ranges from 10 to 20 The calculation for marine mammal the bubble curtain system will keep all individuals. Observational data on exposures for this Project is estimated underwater noise below the threshold California sea lions are not available, by: for Level A harassment. but they are generally less abundant Exposure estimate = N * (10 days of Incidental take is estimated for each than harbor seals; therefore, the number pile driving activity + 3 days of pile species by estimating the likelihood of of harbor seals will be used to estimate removal activity), where: a marine mammal being present within impacts for both species. N = # of animals potentially present a ZOI during active pile removal or While it is unlikely that 10 to 20 = 20. driving. Expected marine mammal individuals would be present inside the presence is determined by past ZOI at any one time, given the distance This formula results in the following observations and general abundance from the nearest haul-out site, as a exposure estimate: near the project area during the worst-case, this analysis assumes that Exposure estimate = 20 animals * 13 construction window. Typically, up to 20 individuals might be present. days = 260 animals. potential take is estimated by For the Project, the total number of Therefore, WETA is requesting multiplying the area of the ZOI by the pile removal hours is estimated to not authorization for Level B acoustical local animal density. This provides an exceed 18 hours over 3 days, and the harassment of up to 260 harbor seals estimate of the number of animals that total number of pile driving hours is and up to 260 California sea lions due might occupy the ZOI at any given estimated to not exceed 60 hours over to pile removal and driving. A summary moment. However, this type of 10 days. Therefore, the estimated total of the take estimates and the calculation is not applicable in this number of days of activities that might proportions of the stocks potentially case, because the ZOI will be relatively impact marine mammals is 13 days. For affected is provided in Table 4. small and there is no specific local the exposure estimate, it is assumed that

TABLE 4—SUMMARY OF POTENTIAL MARINE MAMMAL TAKES AND PERCENTAGES OF STOCKS AFFECTED

Estimated take by Percentage of stock Estimated density level B harassment Abundance of stock potentially affected Population trend

California sea lion ...... NA ...... 260 396,750 0.06% Stable. Harbor seal ...... NA ...... 260 30,196 0.86% Stable.

Analysis and Determinations factors, such as the likely nature of any pile driving, thus eliminating the responses (their intensity, duration, potential for injury (including PTS) and Negligible Impact etc.), the context of any responses TTS from impact driving. For vibratory Negligible impact is ‘‘an impact (critical reproductive time or location, pile removal and pile driving, noise resulting from the specified activity that migration, etc.), as well as the number levels are not expected to reach the level cannot be reasonably expected to, and is and nature of estimated Level A that may cause TTS, injury (including not reasonably likely to, adversely affect harassment takes, the number of PTS), or mortality to marine mammals. the species or stock through effects on estimated mortalities, and effects on Therefore, NMFS does not expect that annual rates of recruitment or survival’’ habitat. any animals would experience Level A (50 CFR 216.103). A negligible impact WETA’s proposed Central Bay harassment (including injury or PTS) or finding is based on the lack of likely Operations and Maintenance Facility Level B harassment in the form of TTS adverse effects on annual rates of Project would involve pile removal and from being exposed to in-water pile recruitment or survival (i.e., population- pile driving activities. Elevated removal and pile driving associated level effects). An estimate of the number underwater noises are expected to be with WETA’s construction project. of Level B harassment takes, alone, is generated as a result of these activities; In addition, WETA’s proposed not enough information on which to however, these noises are expected to activities are localized and of short base an impact determination. In result in no mortality or Level A duration. The entire project area is addition to considering estimates of the harassment and limited, if any, Level B limited to WETA’s Central Bay number of marine mammals that might harassment of marine mammals. WETA Operations and Maintenance Facility be ‘‘taken’’ through behavioral would use noise attenuation devices near Pier 3 in the City of Alameda. The harassment, NMFS must consider other (i.e., bubble curtains) during the impact entire Project would involve the

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removal of 35 existing concrete piles Small Number incidental to its waterfront repair and installation of a total of 61 steel Based on analyses provided above, it project at Station Monterey in piles ranging from 18 inches to 30 is estimated that approximately 260 California, provided the previously inches in diameter and 24 plastic piles California sea lions and 260 Pacific mentioned mitigation, monitoring, and of 18-inch diameter. The duration for harbor seals could be exposed to reporting requirements are incorporated. pile removal is expected to be fewer received noise levels that could cause Dated: February 19, 2015. than three days and the duration for pile Level B behavioral harassment from the Donna S. Wieting, driving is expected to be fewer than 10 proposed construction work at the days, for a total of 13 days of activity. Director, Office of Protected Resources, WETA Central Bay Operations and National Marine Fisheries Service. The duration for removing each pile Maintenance Facility in Alameda, CA. would be about 30 minutes, and the [FR Doc. 2015–03850 Filed 2–24–15; 8:45 am] These numbers represent approximately BILLING CODE 3510–22–P duration for driving each pile would be 0.06% and 0.86% of the stocks and about 10 to 30 minutes for impact steel populations of these species that could pile driving and about 10 to 20 minutes be affected by Level B behavioral DEPARTMENT OF COMMERCE for plastic vibratory pile driving. These harassment, respectively (see Table 4 low-intensity, localized, and short-term above), which are small percentages National Oceanic and Atmospheric noise exposures may cause brief startle relative to the total populations of the Administration reactions or short-term behavioral affected species or stocks. modification by the animals. These Based on the analysis contained RIN 0648–XD660 reactions and behavioral changes are herein of the likely effects of the expected to subside quickly when the Takes of Marine Mammals Incidental to specified activity on marine mammals Specified Activities; Seabird Research exposures cease. Moreover, the and their habitat, and taking into proposed mitigation and monitoring Activities in Central California, 2015– consideration the implementation of the 2016 measures are expected to reduce mitigation and monitoring measures, potential exposures and behavioral which are expected to reduce the AGENCY: National Marine Fisheries modifications even further. number of marine mammals potentially Service (NMFS), National Oceanic and Additionally, no important feeding and/ affected by the proposed action, NMFS Atmospheric Administration (NOAA), or reproductive areas for marine finds that small numbers of marine Commerce. mammals are known to be near the mammals will be taken relative to the ACTION: Notice; issuance of an incidental proposed action area. Therefore, the populations of the affected species or harassment authorization. take resulting from the proposed Central stocks. Bay Operations and Maintenance SUMMARY: In accordance with the Project is not reasonably expected to, Impact on Availability of Affected Marine Mammal Protection Act and is not reasonably likely to, Species for Taking for Subsistence Uses (MMPA) regulations, we hereby give adversely affect the marine mammal There are no subsistence uses of notification that the National Marine species or stocks through effects on marine mammals in the proposed Fisheries Service has issued an annual rates of recruitment or survival. project area, and thus no subsistence Incidental Harassment Authorization The Project also is not expected to uses impacted by this action. Therefore, (IHA) to Point Blue Conservation have significant adverse effects on NMFS has determined that the total Science (Point Blue), to take marine affected marine mammals’ habitat, as taking of affected species or stocks mammals, by Level B harassment, analyzed in detail in the ‘‘Anticipated would not have an unmitigable adverse incidental to conducting seabird and Effects on Marine Mammal Habitat’’ impact on the availability of such pinniped research activities in central section in the Federal Register notice species or stocks for taking for California, January 2015 through (79 FR 55479; September 17, 2014). The subsistence purposes. January 2016. project activities would not modify Endangered Species Act (ESA) DATES: Effective , 2015, existing marine mammal habitat. The through , 2016. activities may cause some fish to leave No species listed under the ESA are ADDRESSES: the area of disturbance, thus temporarily The public may obtain an expected to be affected by these electronic copy of the Point Blue’s impacting marine mammals’ foraging activities. Therefore, NMFS has opportunities in a limited portion of the application, supporting documentation, determined that a section 7 consultation the authorization, and a list of the foraging range, but because of the short under the ESA is not required. duration of the activities and the references cited in this document by relatively small area of the habitat that National Environmental Policy Act visiting: http://www.nmfs.noaa.gov/pr/ may be affected, the impacts to marine (NEPA) permits/incidental/research.htm. In the mammal habitat are not expected to NMFS prepared an Environmental case of problems accessing these cause significant or long-term negative Assessment (EA) and analyzed the documents, please call the contact listed consequences. potential impacts to marine mammals here (see FOR FURTHER INFORMATION Based on the analysis contained that would result from WETA’s Central CONTACT). The Environmental Assessment and herein of the likely effects of the Bay Operations and Maintenance associated Finding of No Significant specified activity on marine mammals Facility project in Alameda, California. Impact, prepared pursuant to the and their habitat, and taking into Therefore, A Finding of No Significant National Environmental Policy Act of consideration the implementation of the Impact (FONSI) was issued for this 1969, are also available at the same site. proposed monitoring and mitigation action. A copy of the EA and FONSI is measures, NMFS finds that the total available upon request. FOR FURTHER INFORMATION CONTACT: marine mammal take from WETA’s Jeannine Cody, Office of Protected Central Bay Operations and Authorization Resources, NMFS (301) 427–8401. Maintenance Facility Project will have a NMFS has issued an IHA to USCG for SUPPLEMENTARY INFORMATION: Section negligible impact on the affected marine the potential harassment of small 101(a)(5)(D) of the Marine Mammal mammal species or stocks. numbers of marine mammal species Protection Act (MMPA; 16 U.S.C. 1361

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et seq.) directs the Secretary of consultation with the Gulf of the maximum frequency of three 15-minute Commerce to authorize, upon request, Farallones National Marine Sanctuary. visits. Daily observations of breeding the incidental, but not intentional, The proposed research activities common murre (Uria aalge) colonies taking of small numbers of marine would occur for one year, January 31, would occur at a maximum frequency of mammals of a species or population 2015, through January 30, 2016, and a single five-hour visit. These activities stock, by United States citizens who would involve annual monitoring and usually involve one or two observers engage in a specified activity (other than censusing of seabird colonies; seabird conducting daily censuses of seabirds or commercial fishing) within a specified nesting habitat observations; nesting conducting mark/recapture studies of geographical region if: (1) We make burrows restoration; breeding elephant breeding seabirds on the island. certain findings; (2) the taking is limited seals observations; and the periodic Field Station Resupply on Southeast to harassment; and (3) we provide a resupply of a field station. Farallon Island: Resupply of the field notice of a proposed authorization to the These proposed activities would station would occur once every two public for review. occur in the vicinity of pinniped haul weeks at a maximum frequency of 26 We shall grant an authorization for out sites and could likely result in the visits annually. Resupply activities the incidental taking of small numbers incidental take of marine mammals. We involve personnel approaching either of marine mammals if we find that the anticipate take, by Level B Harassment the North Landing or East Landing by taking will have a negligible impact on only, of individuals of either California motorboat to offload supplies. the species or stock(s), and will not have sea lions (Zalophus californianus), Pinniped Research in Central an unmitigable adverse impact on the Pacific harbor seals (Phoca vitulina), California: Surveys of breeding northern availability of the species or stock(s) for northern elephant seals (Mirounga elephant seals on Southeast Farallon subsistence uses (where relevant). Also, angustirostris), or Steller sea lions and An˜ o Nuevo Islands, the coastline of the authorization must set forth the (Eumetopias jubatus) to result from the Point Reyes Peninsula, San Francisco permissible methods of taking and specified activity. Bay, and the Russian River, would occur requirements pertaining to the This is the organization’s sixth in early December and late February, monitoring and reporting of such request for an Authorization. To date, annually. At least three researchers takings. We have defined ‘‘negligible we have issued an Incidental would visit the sites at a maximum impact’’ in 50 CFR 216.103 as ‘‘an Harassment Authorization frequency of five times per year. impact resulting from the specified (Authorization) to Point Blue (formerly Seabird Research and Field Supply on activity that cannot be reasonably known as PRBO Conservation Science) An˜ o Nuevo Island: Researchers would expected to, and is not reasonably likely for the conduct of similar activities from monitor seabird burrow nesting habitat to, adversely affect the species or stock 2007 to 2013 (72 FR 71121, December quality, conduct habitat restoration, and through effects on annual rates of 14, 2007; 73 FR 77011, December 18, resupply the field station from April recruitment or survival.’’ 2008; 75 FR 8677, February 19, 2010; 77 through August at a maximum Except with respect to certain FR 73989, , 2012, 78 FR frequency of 20 visits annually. activities not pertinent here, the MMPA 66686, , 2013). Occasionally, researchers would also defines ‘‘harassment’’ as: Any act of conduct intermittent visits to the island pursuit, torment, or annoyance which (i) Description of the Specified Activity throughout the year. These activities has the potential to injure a marine Overview involve two to three researchers mammal or marine mammal stock in the accessing the island by motorboat. wild [Level A harassment]; or (ii) has Point Blue proposes to monitor and Seabird Research on Point Reyes the potential to disturb a marine census seabird colonies; observe seabird National Seashore: The National Park mammal or marine mammal stock in the nesting habitat; restore nesting burrows; Service in collaboration with Point Blue wild by causing disruption of behavioral observe breeding elephant and harbor monitors seabird breeding and roosting patterns, including, but not limited to, seals; and resupply a field station colonies; conducts habitat restoration; migration, breathing, nursing, breeding, annually in central California (i.e., removes non-native plants; monitors feeding, or sheltering [Level B Southeast Farallon Island, West End intertidal areas; and maintains coastal harassment]. Island, An˜ o Nuevo Island, Point Reyes dune habitat. Seabird monitoring National Seashore, San Francisco Bay, usually involves one or two observers Summary of Request and the Russian River in Sonoma conducting the survey by small boats We received an application on July County). along the shoreline. Researchers would 30, 2014, from Point Blue requesting the The purpose of the seabird research is visit the site at a maximum frequency of taking by harassment of small numbers to continue a 30-year monitoring 20 times per year. of marine mammals incidental to program of the region’s seabird conducting seabird and pinniped populations. Point Blue’s long-term Specified Geographic Region research activities on Southeast Farallon pinniped research program monitors Point Blue will conduct their research Island, An˜ o Nuevo Island, Point Reyes pinniped colonies to understand activities within the vicinity of National Seashore, San Francisco Bay, elephant and harbor seal population pinniped haul out sites in the following and the Russian River in central dynamics and to contribute to the locations: California. We determined the conservation of both species. South Farallones Islands: The South application complete and adequate on Farallon Islands consist of Southeast Dates and Duration December 7, 2014. Farallon Island located at 37°41′54.32″ Point Blue, along with partners The Authorization would be effective N; 123° 0′8.33″ W and West End Island. Oikonos Ecosystem Knowledge, Point from January 31, 2015 through January The South Farallon Islands have a land Reyes National Seashore with the 30, 2016. Following is a brief summary area of approximately 120 acres (0.49 National Park Service, and the Gulf of of the dates and duration of the square kilometers (km)) and are part of the Farallones National Marine activities. the Farallon National Wildlife Refuge. Sanctuary would conduct this research Seabird Research on Southeast The islands are located near the edge of under cooperative agreements with the Farallon Island: Daily observations of the continental shelf 28 miles (mi) (45.1 U.S. Fish and Wildlife Service in seabird colonies would occur at a km) west of San Francisco, CA, and lie

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within the waters of the Gulf of the Description of the Marine Mammals in seals, and Steller sea lions hauled out in Farallones National Marine Sanctuary. the Area of the Proposed Specified areas within Southeast Farallon Island, An˜ o Nuevo Island: An˜ o Nuevo Island Activity West End Island, An˜ o Nuevo Island, located at 37° 6′29.25″ N; 122°20′12.20″ The marine mammals most likely to Point Reyes National Seashore, San Francisco Bay, and the Russian River to W is one-quarter mile (402 meters (m)) be harassed incidental to conducting flush into the surrounding water or to offshore of An˜ o Nuevo Point in San seabird and pinniped research at the cause a short-term behavioral proposed research areas are primarily Mateo County, CA. The island lies disturbance for marine mammals. within the Monterey Bay National California sea lions, northern elephant We expect that acoustic and visual Marine Sanctuary and the An˜ o Nuevo seals, Pacific harbor seals, and to a stimuli resulting from the proposed State Marine Conservation Area. lesser extent the eastern distinct motorboat operations and human population segment (DPS) of the Steller Point Reyes National Seashore: Point presence has the potential to harass sea lion, which NMFS has removed Reyes National Seashore is marine mammals. We also expect that from the list of threatened species under these disturbances would be temporary approximately 40 miles (64.3 km) north the U.S. Endangered Species Act of of San Francisco Bay and also lies and result, at worst, in a temporary 1973 (ESA; 16 U.S.C. 1531 et seq.), modification in behavior and/or low- within the Gulf of the Farallones effective November 2013. The ESA does National Marine Sanctuary. level physiological effects (Level B not categorize California sea lions, harassment) of certain species of marine San Francisco Bay: The main part of northern elephant seals, Pacific harbor mammals. San Francisco Bay measures seals as threatened or endangered and We included a summary and approximately 3 to 12 miles (5 to 20 km) the MMPA categorizes these species as discussion of the ways that the types of wide east-to-west and between 48 miles not depleted. On the other hand, despite stressors associated with Point Blue’s (77 km) and 60 miles (97 km) north-to- the delisting of Steller sea lions as specified activities (i.e., visual and south. endangered under the ESA, NMFS still acoustic disturbance) have the potential Russian River: The Russian River categorizes the species as a strategic to impact marine mammals in a stock and depleted species under the coastline stretches for approximately 55 previous notice for the proposed MMPA. The agency will consider miles just south of San Francisco. authorization (79 FR 76975, December designating the eastern stock of Steller Starting at Lake Mendocino, the Russian 23, 2014). sea lions as non-strategic and not Vessel Strike: The potential for River flows south through valleys in depleted under the MMPA following Mendocino and Sonoma County, and striking marine mammals is a concern review by the Alaska Scientific Review with vessel traffic. However, it is highly empties into the Pacific Ocean at Jenner, Group in 2014. unlikely that the use of small, slow- California. We refer the public to Carretta et al., moving boats to access the research Detailed Description of Activities (2014) for general information on these areas would result in injury, serious species which we presented in the injury, or mortality to any marine We outlined the purpose of Point notice of the proposed authorization (79 mammal. Typically, the reasons for Blue’s activities in a previous notice for FR 76975, , 2014). The vessel strikes are fast transit speeds, lack the proposed authorization (79 FR publication is available at: http:// of maneuverability, or not seeing the 76975, December 23, 2014). The www.nmfs.noaa.gov/pr/sars/pdf/ animal because the boat is so large. proposed activities have not changed po2012.pdf. Point Blue’s researchers will access between the proposed authorization Other Marine Mammals in the Proposed areas at slow transit speeds in easily notice and this final notice announcing Action Area maneuverable boats negating any the issuance of the Authorization. For a chance of an accidental strike. more detailed description of the California (southern) sea otters Rookeries: No research activities authorized action, we refer the reader to (Enhydra lutris nereis), listed as would occur on pinniped rookeries and the notice for the proposed threatened under the ESA and breeding animals are concentrated in authorization (79 FR 76975, December categorized as depleted under the areas where researchers would not visit. 23, 2014). MMPA, usually range in coastal waters Therefore, we do not expect mother and within 1.24 miles (2 km) of the pup separation or crushing of pups Comments and Responses shoreline. Point Blue has not during flushing. encountered California sea otters during The potential effects to marine We published a notice of receipt of the course of their seabird or pinniped mammals described in the notice for the Point Blue’s application and proposed research activities over the past five proposed authorization (79 FR 76975, Authorization in the Federal Register years. This species is managed by the December 23, 2014) did not take into on December 23, 2014 (79 FR 76975). U.S. Fish and Wildlife Service and we consideration the proposed monitoring During the 30-day comment period, we do not consider it further in this notice and mitigation measures described later received one comment from the Marine of issuance of an Authorization. in this document (see the ‘‘Proposed Mammal Commission (Commission) Potential Effects on Marine Mammals Mitigation’’ and ‘‘Proposed Monitoring which recommended that we issue the and Reporting’’ sections). requested Authorization, provided that Acoustic and visual stimuli generated Point Blue carries out the required by: (1) Noise generated by motorboat Anticipated Effects on Habitat monitoring and mitigation measures as approaches and departures; (2) noise We considered these impacts in detail described in the notice of the proposed generated during restoration activities in the notice for the proposed authorization (79 FR 76975, December and loading operations while authorization (79 FR 76975, December 23, 2014) and the application. We have resupplying the field station; and (3) 23, 2014). Briefly, we do not anticipate included all measures proposed in the human presence during seabird and that the proposed research activities notice of the proposed authorization (79 pinniped research activities, have the would result in any significant or long- FR 76975, December 23, 2014) in the potential to cause California sea lions, term effects on the habitats used by the Authorization. Pacific harbor seals, northern elephant marine mammals in the proposed area,

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including the food sources they use (i.e., (7) Crawl slowly to access seabird nest result in the take of marine mammals fish and invertebrates). While we boxes on An˜ o Nuevo Island if pinnipeds (this goal may contribute to 1, above, or anticipate that the specified activity are within view. to reducing the severity of harassment could potentially result in marine (8) Coordinate research visits to takes only). mammals avoiding certain areas due to intertidal areas of Southeast Farallon 5. Avoidance or minimization of temporary ensonification and human Island (to reduce potential take) and adverse effects to marine mammal presence, this impact to habitat is coordinate research goals for An˜ o Nuevo habitat, paying special attention to the temporary and reversible. We do not Island to minimize the number of trips food base, activities that block or limit consider behavioral modification to to the island. passage to or from biologically cause significant or long-term (9) Coordinate monitoring schedules important areas, permanent destruction consequences for individual marine on An˜ o Nuevo Island, so that areas near of habitat, or temporary destruction/ mammals or their populations. any pinnipeds would be accessed only disturbance of habitat during a once per visit. biologically important time. Mitigation (10) Have the lead biologist serve as 6. For monitoring directly related to In order to issue an incidental take an observer to evaluate incidental take. mitigation—an increase in the probability of detecting marine authorization under section 101(a)(5)(D) Mitigation Conclusions of the Marine Mammal Protection Act, mammals, thus allowing for more we must set forth the permissible NMFS has carefully evaluated the effective implementation of the methods of taking pursuant to such applicant’s proposed mitigation mitigation. activity, and other means of effecting measures and have considered a range Based on our evaluation of Point the least practicable adverse impact on of other measures in the context of Blue’s proposed measures, we have such species or stock and its habitat, ensuring that we have prescribed the determined that the mitigation measures paying particular attention to rookeries, means of effecting the least practicable provide the means of effecting the least mating grounds, and areas of similar adverse impact on the affected marine practicable impact on marine mammal significance, and the availability of such mammal species and stocks and their species or stocks and their habitat, species or stock for taking for certain habitat. NMFS’ evaluation of potential paying particular attention to rookeries, subsistence uses. measures included consideration of the mating grounds, and areas of similar following factors in relation to one significance. Point Blue has based the mitigation another: measures which they will implement (1) The manner in which, and the Proposed Monitoring during the proposed research, on the degree to which, we expect that the In order to issue an incidental take following: (1) Protocols used during successful implementation of the authorization for an activity, section previous Point Blue seabird research measure would minimize adverse 101(a)(5)(D) of the Marine Mammal activities as required by our previous impacts to marine mammals; Protection Act states that we must set authorizations for these activities; and (2) The proven or likely efficacy of the forth ‘‘requirements pertaining to the (2) recommended best practices in specific measure to minimize adverse monitoring and reporting of such Richardson et al. (1995). impacts as planned; and taking.’’ The Act’s implementing To reduce the potential for (3) The practicability of the measure regulations at 50 CFR 216.104(a)(13) disturbance from acoustic and visual for applicant implementation. indicate that requests for an incidental stimuli associated with the activities Any mitigation measure(s) prescribed take authorization must include the Point Blue and/or its designees has by NMFS should be able to accomplish, suggested means of accomplishing the proposed to implement the following have a reasonable likelihood of necessary monitoring and reporting that mitigation measures for marine accomplishing (based on current will result in increased knowledge of mammals: science), or contribute to the the species and our expectations of the (1) Postpone beach landings on An˜ o accomplishment of one or more of the level of taking or impacts on Nuevo Island until pinnipeds that may general goals listed below: populations of marine mammals present be present on the beach have slowly 1. Avoidance or minimization of in the action area. entered the water. injury or death of marine mammals Monitoring measures prescribed by (2) Select a pathway of approach to wherever possible (goals 2, 3, and 4 may NMFS should accomplish one or more research sites that minimizes the contribute to this goal). of the following general goals: number of marine mammals harassed. 2. A reduction in the numbers of 1. An increase in the probability of marine mammals (total number or (3) Avoid visits to sites used by detecting marine mammals, both within number at biologically important time pinnipeds for pupping. the mitigation zone (thus allowing for or location) exposed to activities more effective implementation of the (4) Monitor for offshore predators and expected to result in the take of marine mitigation) and in general to generate do not approach hauled out pinnipeds mammals (this goal may contribute to 1, more data to contribute to the analyses if great white sharks (Carcharodon above, or to reducing harassment takes mentioned later; carcharias) or killer whales (Orcinas only). 2. An increase in our understanding orca) are present. If Point Blue and/or 3. A reduction in the number of times of how many marine mammals are its designees see predators in the area, (total number or number at biologically likely to be exposed to levels of they must not disturb the animals until important time or location) individuals potential stressor(s) associated with the the area is free of predators. would be exposed to activities expected action (e.g., sound or visual stimuli) that (5) Keep voices hushed and bodies to result in the take of marine mammals we associate with specific adverse low to the ground in the visual presence (this goal may contribute to 1, above, or effects, such as behavioral harassment, of pinnipeds. to reducing harassment takes only). TTS, or PTS; (6) Conduct seabird observations at 4. A reduction in the intensity of 3. An increase in our understanding North Landing on Southeast Farallon exposures (either total number or of how marine mammals respond to Island in an observation blind, shielded number at biologically important time stimuli expected to result in take and from the view of hauled out pinnipeds. or location) to activities expected to how anticipated adverse effects on

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individuals (in different ways and to Resources within 60 days after the of reported take based on a best fit varying degrees) may impact the conclusion of the 2016 field season. The regression analysis (i.e., linear or population, species, or stock report will include a summary of the polynomial regression) of reported take (specifically through effects on annual information gathered pursuant to the from 2007 to 2013. Next, we added the rates of recruitment or survival) through monitoring requirements set forth in the predicted annual increase in take to a any of the following methods: Authorization. baseline of take reported for 2013–2014 • Behavioral observations in the Point Blue will submit a final report season to project the estimated take for presence of stimuli compared to to the Chief, Permits and Conservation each species for the 2015–2016 observations in the absence of stimuli Division, Office of Protected Resources, Authorization. We carried through the (need to be able to accurately predict within 30 days after receiving comments same predicted annual increase in take received level, distance from source, from NMFS on the draft final report. If for future Authorizations (2014–2017) to and other pertinent information); Point Blue does not receive any obtain a mean projected take for each • Physiological measurements in the comments from NMFS on the draft species. Last, we analyzed the reported presence of stimuli compared to report, NMFS and Point Blue will take for each activity by calculating the observations in the absence of stimuli consider the draft final report to be the upper bound of the 99 percent (need to be able to accurately predict final report. confidence interval of the mean received level, distance from source, Estimated Take by Incidental reported take (2007–2013) and mean and other pertinent information); Harassment projected take (2014–2017) for each • Distribution and/or abundance species. Our use of the upper comparisons in times or areas with Except with respect to certain confidence interval represents the best concentrated stimuli versus times or activities not pertinent here, the Marine available information that supports our areas without stimuli; Mammal Protection Act defines precautionary deliberation of how much 4. An increased knowledge of the ‘‘harassment’’ as: Any act of pursuit, take could occur annually. affected species; and torment, or annoyance which (i) has the There is no evidence that Point Blue’s 5. An increase in our understanding potential to injure a marine mammal or planned activities could result in injury, of the effectiveness of certain mitigation marine mammal stock in the wild [Level serious injury or mortality within the and monitoring measures. A harassment]; or (ii) has the potential action area. Moreover, the required As part of its 2015–2016 application, to disturb a marine mammal or marine mitigation and monitoring measures Point Blue proposes to sponsor marine mammal stock in the wild by causing will minimize further any potential risk mammal monitoring during the present disruption of behavioral patterns, for injury, serious injury, or mortality. project, in order to implement the including, but not limited to, migration, Thus, we do not authorize any injury, mitigation measures that require real- breathing, nursing, breeding, feeding, or serious injury or mortality. We expect time monitoring, and to satisfy the sheltering [Level B harassment]. all potential takes to fall under the monitoring requirements of the NMFS proposes to authorize take by category of Level B harassment only. incidental harassment authorization. Level B harassment only for the The Point Blue researchers will monitor proposed seabird research activities on Encouraging and Coordinating Research the area for pinnipeds during all Southeast Farallon Island, An˜ o Nuevo research activities. Monitoring activities Island, and Point Reyes National Point Blue will continue to coordinate will consist of conducting and recording Seashore. Acoustic (i.e., increased monitoring of pinnipeds during the observations on pinnipeds within the sound) and visual stimuli generated research activities occurring on vicinity of the proposed research areas. during these proposed activities may Southeast Farallon Island, An˜ o Nuevo The monitoring notes would provide have the potential to cause marine Island, and Point Reyes National dates, location, species, the researcher’s mammals in the harbor area to Seashore. Point Blue conducts bone fide activity, behavioral state, numbers of experience temporary, short-term research on marine mammals, the animals that were alert or moved greater changes in behavior. results of which may contribute to the than one meter, and numbers of Based on Point Blue’s previous basic knowledge of marine mammal pinnipeds that flushed into the water. research experiences, with the same biology or ecology, or are likely to Point Blue has complied with the activities conducted in the proposed identify, evaluate, or resolve monitoring requirements under the research area, and on marine mammal conservation problems. previous authorizations for the 2007 research activities in these areas, we Negligible impact is ‘‘an impact through 2014 seasons. The results from estimate that approximately 9,871 resulting from the specified activity that previous Point Blue’s monitoring California sea lions, 343 harbor seals, cannot be reasonably expected to, and is reports support our findings that the 196 northern elephant seals, and 106 not reasonably likely to, adversely affect proposed mitigation measures, which Steller sea lions could be affected by the species or stock through effects on we also required under the 2007–2014 Level B behavioral harassment over the annual rates of recruitment or survival.’’ Authorizations provide the means of course of the effective period of the The lack of likely adverse effects on effecting the least practicable adverse proposed Authorization. annual rates of recruitment or survival impact on the species or stock. The authorized take differs from Point (i.e., population level effects) forms the Point Blue will submit a monitoring Blue’s original request for California sea basis of a negligible impact finding. report on the January 31, 2014 through lions (10,092), northern elephant seals In addition to considering estimates of January 30, 2015 research period by (261), harbor seals (526) and Steller sea the number of marine mammals that April 2015. Upon receipt and review, lions (185). NMFS bases these new might be ‘‘taken’’ through behavioral we will post this annual report on our estimates on historical data from harassment, NMFS must consider other Web site at http://www.nmfs.noaa.gov/ previous monitoring reports and factors, such as the likely nature of any pr/permits/incidental/research.htm. anecdotal data for the same activities responses (their intensity, duration, conducted in the proposed research etc.), the context of any responses Proposed Reporting area. In brief, for each species, we (critical reproductive time or location, Point Blue must submit a draft final created a statistical model to derive an feeding, migration, etc.), as well as the report to NMFS’ Office of Protected estimate of the average annual increase number and nature of estimated Level A

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harassment takes, the number of mortality. These species may exhibit has determined that the total taking of estimated mortalities, effects on habitat, behavioral modifications, including affected species or stocks would not and the status of the species. temporarily vacating the area during the have an unmitigable adverse impact on In making a negligible impact proposed seabird and pinniped research the availability of such species or stocks determination, we consider: activities to avoid the resultant acoustic for taking for subsistence purposes. (1) The number of anticipated and visual disturbances. Further, these injuries, serious injuries, or mortalities; proposed activities would not take place Endangered Species Act (2) The number, nature, and intensity, in areas of significance for marine On October 23, 2013 NMFS and duration of Level B harassment; mammal feeding, resting, breeding, or (3) The context in which the takes calving and would not adversely impact announced the removal of the eastern occur (e.g., impacts to areas of marine mammal habitat. Due to the distinct population segment of Steller significance, impacts to local nature, degree, and context of the sea lions from the list of threatened populations, and cumulative impacts behavioral harassment anticipated, the species under the ESA. No marine when taking into account successive/ activities are not expected to impact mammal species listed under the ESA contemporaneous actions when added annual rates of recruitment or survival. are anticipated to occur in the action to baseline data); NMFS does not expect pinnipeds to area. Therefore, NMFS has determined (4) The status of stock or species of permanently abandon any area that is that a section 7 consultation under the marine mammals (i.e., depleted, not surveyed by researchers, as is evidenced ESA is not required. depleted, decreasing, increasing, stable, by continued presence of pinnipeds at impact relative to the size of the the sites during annual monitoring National Environmental Policy Act population); counts. Based on the analysis contained (NEPA) (5) Impacts on habitat affecting rates herein of the likely effects of the In 2014, we prepared an of recruitment/survival; and specified activity on marine mammals Environmental Assessment (EA) (6) The effectiveness of monitoring and their habitat, and taking into analyzing the potential effects to the and mitigation measures. consideration the implementation of the For reasons stated previously in this proposed mitigation and monitoring human environment from NMFS’ document and based on the following measures, NMFS finds that the total issuance of a proposed Authorization to factors, NMFS does not expect Point marine mammal take from Point Blue’s Point Blue for their seabird research Blue’s specified activities to cause long- seabird research activities will not activities. In January 2014, NMFS issued term behavioral disturbance, adversely affect annual rates of a Finding of No Significant Impact abandonment of the haulout area, recruitment or survival and therefore (FONSI) on the issuance of an injury, serious injury, or mortality: will have a negligible impact on the Authorization for Point Blue’s research (1) The effects of the pinniped and affected species or stocks. activities in accordance with section seabird research activities would be 6.01 of the NOAA Administrative Order Small Numbers limited to short-term startle responses 216–6 (Environmental Review and localized behavioral changes due to As mentioned previously, NMFS Procedures for Implementing the the short and sporadic duration of the estimates that four species of marine National Environmental Policy Act, May research activities. Minor and brief mammals could be potentially affected 20, 1999). Point Blue’s proposed responses, such as short-duration startle by Level B harassment over the course activities and impacts for 2015–2016 are or alert reactions, are not likely to of the proposed Authorization. Because within the scope of the 2014 EA and these are maximum estimates, actual constitute disruption of behavioral FONSI. NMFS has reviewed the 2014 patterns, such as migration, nursing, take numbers are likely to be lower, as EA and determined that there are no breeding, feeding, or sheltering. some animals may select other haulout (2) The availability of alternate areas sites the day the researchers are present. new direct, indirect, or cumulative for pinnipeds to avoid the resultant For each species, these numbers are impacts to the human and natural acoustic and visual disturbances from small numbers (each, less than or equal environment associated with the the research operations. Results from to two percent) relative to the Authorization requiring evaluation in a previous monitoring reports also show population size. These incidental supplemental EA and NMFS, therefore, that the pinnipeds returned to the harassment numbers represent reaffirms the 2014 FONSI. various sites and did not permanently approximately 3.33 percent of the U.S. Authorization abandon haul-out sites after Point Blue stock of California sea lion, 1.74 percent conducted their pinniped and research of the California stock of Pacific harbor As a result of these determinations, activities. seal, 0.16 percent of the California we have issued an Authorization to (3) There is no potential for large- breeding stock of northern elephant Point Blue for the take of marine scale movements leading to injury, seal, and 0.17 percent of the eastern mammals incidental to proposed serious injury, or mortality because the distinct population segment of Steller seabird and pinniped research activities, researchers must delay ingress into the sea lion. provided they incorporate the landing areas until after the pinnipeds Impact on Availability of Affected previously mentioned mitigation, present have slowly entered the water. monitoring, and reporting requirements. (4) The limited access of Point Blue’s Species or Stock for Taking for researchers to Southeast Farallon Island, Subsistence Uses Dated: , 2015. An˜ o Nuevo Island, and Point Reyes Section 101(a)(5)(D) of the MMPA Donna S. Wieting, National Seashore during the pupping also requires us to determine that the Director, Office of Protected Resources, season. taking will not have an unmitigable National Marine Fisheries Service. We do not anticipate that any injuries, adverse effect on the availability of [FR Doc. 2015–03849 Filed 2–24–15; 8:45 am] serious injuries, or mortalities would marine mammal species or stocks for occur as a result of Point Blue’s subsistence use. There are no relevant BILLING CODE 3510–22–P proposed activities, and we do not subsistence uses of marine mammals authorize injury, serious injury or implicated by this action. Thus, NMFS

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BUREAU OF CONSUMER FINANCIAL II. Compliance Bulletin the regulations governing CSI, and PROTECTION The CFPB has supervisory authority provides the following guidance to over certain covered persons, including assist with such compliance. Compliance Bulletin—Treatment of very large depository institutions, credit A. Definition of CSI Confidential Supervisory Information unions and their affiliates; 4 certain Under the CFPB’s regulations, nonbanks; 5 and service providers 6 AGENCY: Bureau of Consumer Financial ‘‘confidential supervisory information’’ Protection. (collectively, supervised financial 7 means: ACTION: Compliance Bulletin. institutions). Many supervised • Reports of examination, inspection financial institutions became subject to and visitation, non-public operating, SUMMARY: The Bureau of Consumer federal supervision for the first time condition, and compliance reports, and Financial Protection (CFPB) is issuing a under the Dodd-Frank Wall Street any information contained in, derived compliance bulletin entitled ‘‘Treatment Reform and Consumer Protection Act 8 from, or related to such reports; of Confidential of Supervisory (Dodd-Frank Act). • Any documents, including reports Information’’ as a reminder that, with Pursuant to authority granted under 9 of examination, prepared by, or on limited exceptions, persons in the Dodd-Frank Act, the CFPB has behalf of, or for the use of the CFPB or possession of confidential information, issued regulations that govern the use any other Federal, State, or foreign 10 including confidential supervisory and disclosure of CSI. The CFPB government agency in the exercise of information (CSI), may not disclose expects all supervised financial supervisory authority over a financial such information to third parties. institutions to know and comply with institution, and any supervision DATES: This bulletin is effective information derived from such February 25, 2015 and applicable connection with the offering or provision by such documents; covered person of a consumer financial product or • beginning January 27, 2015. service, including a person that—(i) participates in Any communications between the FOR FURTHER INFORMATION CONTACT: designing, operating, or maintaining the consumer CFPB and a supervised financial Christopher Young, Managing Senior financial product or service; or (ii) processes institution or a Federal, State, or foreign transactions relating to the consumer financial government agency related to the Counsel and Chief of Staff, (202) 435– product or service (other than unknowingly or 7408, Office of Supervision Policy. incidentally transmitting or processing financial CFPB’s supervision of the institution; • Any information provided to the SUPPLEMENTARY INFORMATION: data in a manner that such data is undifferentiated from other types of data of the same form as the CFPB by a financial institution to enable I. Introduction person transmits or processes) .... The term the CFPB to monitor for risks to ‘service provider’ does not include a person solely consumers in the offering or provision The CFPB issues this compliance by virtue of such person offering or providing to a bulletin as a reminder that, with limited covered person—(i) a support service of a type of consumer financial products or exceptions, persons in possession of provided to businesses generally or a similar services, or to assess whether an ministerial service; or (ii) time or space for an confidential information, including CSI, institution should be considered a advertisement for a consumer financial product or covered person, as that term is defined may not disclose such information to service through print, newspaper, or electronic by 12 U.S.C. 5481, or is subject to the third parties.1 More particularly, this media.’’ 12 U.S.C. 5481(26). 4 CFPB’s supervisory authority; and/or bulletin: 12 U.S.C. 5515(a). 5 • Information that is exempt from 1. Sets forth the definition of CSI; Under 12 U.S.C. 5514, the CFPB has supervisory authority over all nonbank covered persons offering disclosure pursuant to 5 U.S.C. 2. Provides examples of CSI; or providing three enumerated types of consumer 11 3. Highlights certain legal restrictions 552(b)(8). financial products or services: (1) Origination, CSI does not include documents on the disclosure of CSI; and brokerage, or servicing of consumer loans secured prepared by a financial institution for its 4. Explains that private by real estate, and related mortgage loan own business purposes and that the confidentiality and non-disclosure modification or foreclosure relief services; (2) private education loans; and (3) payday loans. 12 CFPB does not possess.12 agreements (NDAs) neither alter the U.S.C. 5514(a)(1)(A), (D), (E). The CFPB also has legal restrictions on the disclosure of supervisory authority over ‘‘larger participant[s] of B. Examples of CSI CSI nor impact the CFPB’s authority to a market for other consumer financial products or services,’’ as the CFPB defines by rule. 12 U.S.C. Supervised financial institutions and obtain information from covered 5514(a)(1)(B), (a)(2). Additionally, the CFPB has the other persons that may come into 2 3 persons and service providers in the authority to supervise any nonbank covered person possession of CSI should understand exercise of its supervisory authority. that it ‘‘has reasonable cause to determine, by order, what constitutes CSI in order to comply after notice to the covered person and a reasonable with the applicable rules.13 Examples of 1 ‘‘Confidential information’’ means ‘‘confidential opportunity . . . to respond[,] . . . is engaging, or has engaged, in conduct that poses risks to CSI include, but are not limited to: consumer complaint information, confidential • investigative information, and confidential consumers with regard to the offering or provision CFPB examination reports and supervisory information, as well as any other CFPB of consumer financial products or services.’’ 12 supervisory letters; information that may be exempt from disclosure U.S.C. 5514(a)(1)(C). • All information contained in, 6 under the Freedom of Information Act pursuant to 12 U.S.C. 5514(e), 5515(d). derived from, or related to those 5 U.S.C. 552(b). Confidential information does not 7 ‘‘Financial institution’’ means ‘‘any person include information contained in records that have involved in the offering or provision of a ‘financial documents, including an institution’s been made publicly available by the CFPB or product or service,’ including a ‘covered person’ or supervisory Compliance rating; information that has otherwise been publicly ‘service provider,’ as those terms are defined by 12 • Communications between the CFPB disclosed by an employee with the authority to do U.S.C. 5481.’’ 12 CFR 1070.2(l). ‘‘Supervised and the supervised financial institution so.’’ 12 CFR 1070.2(f). CSI, the focus of this bulletin, financial institution’’ means ‘‘a financial institution related to the CFPB’s examination of the is but one type of confidential information. See 12 that is or that may become subject to the CFPB’s CFR 1070.2(i) (defining ‘‘confidential supervisory supervisory authority.’’ 12 CFR 1070.2(q). institution or other supervisory information’’). 8 Public Law 111–203 (codified at 12 U.S.C. 5301 activities; and 2 ‘‘Covered person[s]’’ include ‘‘(A) any person et seq.). • Other information created by the that engages in offering or providing a consumer 9 12 U.S.C. 5512(c)(6)(A). CFPB in the exercise of its supervisory financial product or service; and (B) any affiliate of 10 See 12 CFR part 1070. In addition to the authority. a person described [in (A)] if such affiliate acts as confidentiality protections afforded by the CFPB’s a service provider to such person.’’ 12 U.S.C. regulation, CSI may also be subject to other laws 5481(6). regarding disclosure, including the bank 11 12 CFR 1070.2(i). 3 ‘‘Service provider’’ means ‘‘any person that examination or other privileges, privacy laws, and 12 12 CFR 1070.2(i)(2). provides a material service to a covered person in other restrictions. 13 See generally 12 CFR 1070.

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Thus, CSI includes any workpapers or Director, utilize, make, or retain copies In addition, a supervised financial other documentation that CFPB of, or disclose CSI for any purpose, institution may risk violating the law if examiners have prepared in the course except as is necessary to provide advice it relies upon provisions of an NDA to of an examination. CSI also includes or services to the supervised financial justify disclosing CSI in a manner not supervisory information requests from institution or its affiliate.17 Moreover, otherwise permitted. As noted above, the CFPB to a supervised financial any supervised financial institution or any disclosure of CSI outside of the institution, along with the institution’s affiliate disclosing CSI shall take applicable exceptions would require the responses. In addition, any CFPB reasonable steps as specified in the prior written approval of the Associate supervisory actions, such as memoranda regulations to ensure that the recipient Director for Supervision, Enforcement, of understanding between the CFPB and complies with the rules governing CSI.18 and Fair Lending (or his or her an institution, and related submissions Confidential information made delegee).22 and correspondence, are CSI. available by the CFPB pursuant to 12 Supervised financial institutions CFR part 1070 remains the property of should contact appropriate CFPB C. Disclosure of Confidential the CFPB. There are other important supervisory personnel with any Information Generally Prohibited requirements relating to the disclosure questions regarding this Bulletin. Subject to limited exceptions, of confidential information, including III. Regulatory Requirements supervised financial institutions and disclosure pursuant to third-party other persons in possession of CSI of the legally enforceable demands, such as This compliance bulletin provides CFPB may not disclose such subpoenas or Freedom of Information nonbinding guidance on matters information.14 Act requests. Among a number of other including limitations on disclosure of requirements, a recipient of a demand CSI under applicable law. It is therefore D. Exceptions to General Prohibition on exempt from the notice and comment Disclosure of CSI for confidential information must inform the CFPB’s General Counsel of rulemaking requirements under the There are certain exceptions to the the demand.19 Administrative Procedure Act pursuant general prohibition against disclosing to 5 U.S.C. 553(b). Because no notice of CSI to third parties. A supervised E. NDAs Do Not Supersede Federal proposed rulemaking is required, the financial institution may disclose CSI of Legal Requirements Regulatory Flexibility Act does not the CFPB lawfully in its possession to: The CFPB recognizes that some require an initial or final regulatory 23 • Its affiliates; supervised financial institutions may flexibility analysis. In addition, the • Its directors, officers, trustees, have entered into third-party NDAs that, CFPB has determined that this bulletin members, general partners, or in part, purport to: (1) Restrict the summarizes existing requirements and employees, to the extent that the supervised financial institution from does not establish any new nor revise disclosure of such CSI is relevant to the sharing certain information with a any existing recordkeeping, reporting, or performance of such individuals’ supervisory agency; and/or (2) require disclosure requirements on covered assigned duties; the supervised financial institution to entities or members of the public that • The directors, officers, trustees, advise the third party when the would be collections of information members, general partners, or institution shares with a supervisory requiring OMB approval under the 24 employees of its affiliates, to the extent agency information subject to the NDA. Paperwork Reduction Act. that the disclosure of such CSI is However, such provisions in NDAs Dated: February 2015. relevant to the performance of such between supervised financial Richard Cordray, individuals’ assigned duties; institutions and third parties do not • Director, Bureau of Consumer Financial Its certified public accountant, legal alter or limit the CFPB’s supervisory Protection. counsel, contractor, consultant, or authority or the supervised financial [FR Doc. 2015–03791 Filed 2–24–15; 8:45 am] service provider.15 institution’s obligations relating to CSI. BILLING CODE 4810–AM–P Supervised financial institutions may A supervised financial institution also in certain instances disclose CSI to should not attempt to use an NDA as the others with the prior written approval of basis for failing to provide information DEPARTMENT OF DEFENSE the Associate Director for Supervision, sought pursuant to supervisory Enforcement, and Fair Lending, or his or authority. The CFPB has the authority to Office of the Secretary her delegee (Associate Director).16 The require supervised financial institutions [Docket ID DoD–2015–OS–0021] recipient of CSI shall not, without the and certain other persons to provide it prior written approval of the Associate with reports and other information to Proposed Collection; Comment conduct supervisory activities, pursuant Request 14 See 12 CFR 1070.41(a) (providing that ‘‘[e]xcept to the Dodd-Frank Act.20 Failure to as required by law or as provided in this part, no AGENCY: Defense Security Cooperation . . . person in possession of confidential provide information required by the information[] shall disclose such confidential CFPB is a violation of law for which the Agency, DoD. information by any means (including written or oral CFPB will pursue all available ACTION: Notice. communications) or in any format (including paper remedies.21 and electronic formats), to: (1) [a]ny person who is SUMMARY: In compliance with the not an employee, contractor, or consultant of the Paperwork Reduction Act of 1995, the CFPB; or (2) [a]ny CFPB employee, contractor, or 17 12 CFR 1070.42(b)(3)(i). consultant when the disclosure of such confidential 18 12 CFR 1070.42(b)(3)(ii). Defense Security Cooperation Agency information . . . is not relevant to the performance 19 12 CFR 1070.47. announces a proposed public of the employee’s, contractor’s, or consultant’s 20 12 U.S.C. 5514, 5515. information collection and seeks public assigned duties’’); see also 12 CFR 1070.42(b) 21 See 12 U.S.C. 5536(a)(2) (making it unlawful for comment on the provisions thereof. (setting forth exceptions relating to the disclosure a supervised financial institution ‘‘to fail or refuse, Comments are invited on: (a) Whether of ‘‘confidential supervisory information of the as required by Federal consumer financial law, or CFPB’’ which is ‘‘lawfully in [the] possession’’ of any rule or order issued by the CFPB thereunder— any ‘‘supervised financial institution’’). (A) to permit access to or copying of records; . . . 22 See 12 CFR 1070.42(b)(2)(ii). 15 12 CFR 1070.42(b). or (C) to make reports or provide information to the 23 5 U.S.C. 603(a), 604(a). 16 12 CFR 1070.42(b)(2)(ii). Bureau.’’). 24 44 U.S.C. 3501 et seq.

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the proposed collection of information Student Registration Form; OMB Security Cooperation workforce is necessary for the proper performance Control Number 0704–XXXX. database on the SAN, DISAM Student of the functions of the agency, including Needs and Uses: The DISAM Database or the DISAM Personnel whether the information shall have Information Technology Mission System Database would be unable to match practical utility; (b) the accuracy of the (DISM): Is a web based portal designed personnel to training and ensure agency’s estimate of the burden of the to hold several web applications for the compliance with DepSecDef directive proposed information collection; (c) purposes of efficient administration of and federal law requiring the reporting ways to enhance the quality, utility, and U.S. and international students, and the of training of foreign nationals (ref. clarity of the information to be effective management of DISAM AECA). The DISAM Personnel Database collected; and (d) ways to minimize the personnel and guest lecturers. The in conjunction with the Travel Forms burden of the information collection on portal provides DISAM personnel the maintains records of the personnel TDY respondents, including through the use ability to submit travel request and travel and reimbursement as required by of automated collection techniques or travel arrangements. Finally, the web federal law and DoD regulations. other forms of information technology. based portal uses a relational database Dated: February 19, 2015. to record, manage and report DATES: Consideration will be given to all Aaron Siegel, comments received by April 27, 2015. information about students, personnel, travel. Reports of annual training of Alternate OSD Federal Register, Liaison ADDRESSES: You may submit comments, Officer, Department of Defense. Foreign nationals to Congress as identified by docket number and title, [FR Doc. 2015–03785 Filed 2–24–15; 8:45 am] required by 22 U.S. Code 2394 (Foreign by any of the following methods: BILLING CODE 5001–06–P • Assistance Act (FAA)) and 22 U.S. Code Federal eRulemaking Portal: http:// 2770A (Arms Export Control Act www.regulations.gov. Follow the (AECA)). DEPARTMENT OF DEFENSE instructions for submitting comments. Affected Public: Individuals and • Mail: Federal Docket Management Households. Office of the Secretary System Office, 4800 Mark Center Drive, Disam Student Registration Form: East Tower, Suite 02G09, Alexandria, Annual Burden Hours: 2388 hours. [Docket ID DoD–2014–HA–0146] VA 22350–3100. Number of Respondents: 4775. Instructions: All submissions received Responses per Respondent: 2. Submission for OMB Review; must include the agency name, docket Annual Responses: 9551. Comment Request number and title for this Federal Average Burden per Response: 15 ACTION: Register document. The general policy minutes. Notice. for comments and other submissions Frequency: On occasion. SUMMARY: The Department of Defense from members of the public is to make Disam Guest Speaker Form: (Still in has submitted to OMB for clearance, the these submissions available for public development). following proposal for collection of viewing on the Internet at http:// Annual Burden Hours: 62. information under the provisions of the www.regulations.gov as they are Number of Respondents: 249. Paperwork Reduction Act. received without change, including any Responses per Respondent: 1. DATES: Consideration will be given to all personal identifiers or contact Annual Responses: 249. comments received by March 27, 2015. information. Average Burden per Response: 15 FOR FURTHER INFORMATION CONTACT: Any associated form(s) for this min. Fred collection may be located within the Frequency: On occasion. Licari, 571–372–0493. same electronic docket and downloaded Average Totals: SUPPLEMENTARY INFORMATION: for reviewing/testing. Follow the Annual Burden Hours: 1884 hours. Title, Associated Form and OMB instructions at http:// Number of Respondents: 5024. Number: Screening and Monitoring of www.regulations.gov for submitting Responses per Respondent: 1.5. DoD Personnel Deployed to Ebola comments. Please submit comments on Annual Responses: 7536. Outbreak Areas; DD Form 2990, DD any given form identified by docket Average Burden per Response: 15 Form 2991; OMB Control Number 0720– number, form number, and title. min. 0056. Respondents are contractor personnel, Type of Request: Extension. FOR FURTHER INFORMATION CONTACT: To non-DOD U.S. Federal Government, Number of Respondents: 1,200. request more information on this Foreign Service nationals and industry Responses per Respondent: 2. proposed information collection or to students, guest speakers and lecturers Annual Responses: 2,400. obtain a copy of the proposal and involved in the Security Cooperation Average Burden per Response: 12 associated collection instruments, initiatives as prescribed by the President minutes. please write to: The Defense Security of the United States, Congress and Annual Burden Hours: 480. Cooperation Agency (DSCA) (ATTN: Departments of State and Defense. Needs And Uses: The information David Frasher, 220 12th Street South, Security Cooperation and Assistance collection requirement is necessary to Suite 203, Arlington VA, 22202–5408 or programs as authorized by the Foreign ensure DoD personnel deployed in call (703) 601–4459 or Defense Institute Assistance Act (FAA), and the Arms support of Operation UNITED of Security Assistance Management Export Control Act (AECA) are required ASSISTANCE are promptly evaluated (DISAM), ATTN: Donald McCormick, to be administered by qualified for possible exposure(s) to the Ebola 2475 K Street, Wright-Patterson AFB, personnel receiving formal education virus during deployment to, and within OH 45433–7803, or call Director of through the Defense Institute of Security 12 hours prior to departing from, an Academic Support, at 937–713–3340. Assistance Management (DISAM) or Ebola outbreak country or region (West SUPPLEMENTARY INFORMATION: other authorized Security Cooperation Africa). Ebola is a Quarantinable Title; Associated Form; and OMB agencies. If the information collected on Communicable Disease as named in Number: The DISAM Information the student registration form is not Executive Order 13295 and supported Technology Mission System (DISM) collected, personnel looking to verify by several DoD regulations and Federal Collection; DISAM Form GSI–001 and the qualifications of individuals in the laws. This information will be used by

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DoD medical and public health officials DEPARTMENT OF DEFENSE options for providing the forfeited to (1) ensure Ebola exposure risk is wages of incarcerated members of the evaluated, (2) proper prevention and Office of the Secretary Armed Forces to victims of offenses as quarantine efforts are implemented, (3) compensation; including bodily harm appropriate medical care is provided, Judicial Proceedings Since Fiscal Year among the injuries meriting (4) medical surveillance programs are 2012 Amendments Panel (Judicial compensation for redress under section robust and (5) the spread of Ebola Proceedings Panel); Notice of Federal 939 of title 10, United States Code beyond West Africa is minimized. The Advisory Committee Meeting (article 139 of the UCMJ); and requiring DoD has consulted with the Centers for AGENCY: Department of Defense. restitution by members of the Armed Disease Control and Prevention, the ACTION: Notice of meeting. Forces to victims of their offenses upon Department of State, the Agency for the direction of a court-martial. The International Development, and several SUMMARY: The Department of Defense is Panel is interested in written and oral Defense Agencies regarding disease publishing this notice to announce the comments from the public, including control efforts and health surveillance following Federal Advisory Committee non-governmental organizations, in response to the public health meeting of the Judicial Proceedings relevant to these issues or any of the emergency in West Africa. DoD has also since Fiscal Year 2012 Amendments Panel’s tasks. specifically discussed these new Panel (‘‘the Judicial Proceedings Panel’’ Agenda: information collections with or ‘‘the Panel’’). The meeting is open to representatives of the various Military the public. • 8:30 a.m.–9:00 a.m. Administrative Services, representing deploying DATES: A meeting of the Judicial Session (41 CFR 102–3.160, not military members who have participated Proceedings Panel will be held on subject to notice & open meeting in the development of the content of Friday, , 2015. The Public requirements) these forms. Session will begin at 9:00 a.m. and end • 9:00 a.m.–10:00 a.m. DoD Overview of Affected Public: Individuals or at 5:00 p.m. Compensation and Restitution households. ADDRESSES: U.S. District Court for the (public meeting begins) Frequency: On occasion. District of Columbia, 333 Constitution —Speakers: Department of Defense Respondent’s Obligation: Voluntary. Avenue NW, Courtroom #20, 6th floor, subject matter experts OMB Desk Officer: Ms. Jasmeet Washington, DC 20001. • 10:00 a.m.–11:00 a.m. Economic Seehra. FOR FURTHER INFORMATION CONTACT: Ms. Needs of Sexual Assault Victims Written comments and Julie Carson, Judicial Proceedings Panel, and Barriers to Compensation recommendations on the proposed One Liberty Center, 875 N. Randolph —Speakers: Law school professors information collection should be sent to Street, Suite 150, Arlington, VA 22203. with recent scholarship on Ms. Jasmeet Seehra at the Office of Email: whs.pentagon.em.mbx.judicial- restitution and compensation for Management and Budget, Desk Officer [email protected] Phone: (703) 693–3849. victims of sexual assault crimes for DoD, Room 10236, New Executive Web site: http://jpp.whs.mil. • 11:00 a.m.–12:15 p.m. State Office Building, Washington, DC 20503. SUPPLEMENTARY INFORMATION: This Compensation Programs: History, You may also submit comments, public meeting is being held under the Purposes, and Use by Military/ identified by docket number and title, provisions of the Federal Advisory Dependent Victims by the following method: —Speakers: Representatives from • Committee Act of 1972 (5 U.S.C., Federal eRulemaking Portal: http:// national and state crime victim www.regulations.gov. Follow the Appendix, as amended), the Government in the Sunshine Act of compensation associations instructions for submitting comments. • 1976 (5 U.S.C. 552b, as amended), and 12:15 p.m.–1:00 p.m. Lunch Instructions: All submissions received • 1:00 p.m.–2:15 p.m. How Victims Can must include the agency name, docket 41 CFR 102–3.150. Purpose of the Meeting: In Section Obtain Restitution or Compensation number and title for this Federal 576(a)(2) of the National Defense for Crimes Under the Uniform Code Register document. The general policy Authorization Act for Fiscal Year 2013 of Military Justice for comments and other submissions (Pub. L. 112–239), as amended, —Speakers: Military Services’ subject from members of the public is to make Congress tasked the Judicial matter experts these submissions available for public Proceedings Panel to conduct an • 2:15 p.m.–4:45 p.m. Perspectives on viewing on the Internet at http:// independent review and assessment of Compensation and Restitution for www.regulations.gov as they are judicial proceedings conducted under Sexual Assault Victims received without change, including any the Uniform Code of Military Justice —Speakers: Civilian and military personal identifiers or contact involving adult sexual assault and practitioners, representatives from information. related offenses since the amendments victim advocacy organizations DOD Clearance Officer: Mr. Frederick • 4:45 p.m.–5:00 p.m. Public Comment Licari. made to the Uniform Code of Military Written requests for copies of the Justice by section 541 of the National Availability of Materials for the information collection proposal should Defense Authorization Act for Fiscal Meeting: A copy of the March 13, 2015 be sent to Mr. Licari at WHS/ESD Year 2012 (Pub. L. 112—81; 125 Stat. meeting agenda or any updates to the Directives Division, 4800 Mark Center 1404), for the purpose of developing agenda, to include individual speakers Drive, East Tower, Suite 02G09, recommendations for improvements to not identified at the time of this notice, Alexandria, VA 22350–3100. such proceedings. At this meeting, the as well as other materials presented Panel will consider the adequacy of the related to the meeting, may be obtained Dated: February 20, 2015. provision of compensation and at the meeting or from the Panel’s Web Aaron Siegel, restitution for victims of offenses under site at http://jpp.whs.mil. Alternate OSD Federal Register Liaison the UCMJ, and develop Public’s Accessibility to the Meeting: Officer, Department of Defense. recommendations on expanding such Pursuant to 5 U.S.C. 552b and 41 CFR [FR Doc. 2015–03906 Filed 2–24–15; 8:45 am] compensation and restitution. 102–3.140 through 102–3.165, and the BILLING CODE 5001–06–P Specifically, the Panel will consider availability of space, this meeting is

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open to the public. Seating is limited DEPARTMENT OF DEFENSE and the disposition of the dye block and is on a first-come basis. already gifted to the Army. Department of the Army Special Accommodations: Individuals Proposed Agenda: The subcommittee requiring special accommodations to will review the current status of Advisory Committee on Arlington monument preservation as well as access the public meeting should National Cemetery Remember request for a Commemorative contact Ms. Julie Carson at Subcommittee Meeting Notice Monument to be placed at Arlington whs.pentagon.em.mbx.judicial-panel@ National Cemetery from the Vietnam mail.mil at least five (5) business days AGENCY: Department of the Army, DoD. Helicopter Association. Public’s prior to the meeting so that appropriate ACTION: Notice of open subcommittee meeting. Accessibility to the Meeting: Pursuant to arrangements can be made. 5 U.S.C. 552b and 41 CFR 102–3.140 Procedures for Providing Public SUMMARY: The Department of the Army through 102–3.165, and the availability Comments: Pursuant to 41 CFR 102– is publishing this notice to announce of space, this meeting is open to the 3.140 and section 10(a)(3) of the Federal the following Federal advisory public. Seating is on a first-come basis. Advisory Committee Act of 1972, the committee meeting of the Remember The Women in Military Service to public or interested organizations may Subcommittee of the Advisory America Memorial is fully handicapped submit written comments to the Panel Committee on Arlington National accessible. For additional information about its mission and topics pertaining Cemetery (ACANC). The meeting is about public access procedures, contact to this public session. Written open to the public. For more Ms. Renea Yates, the subcommittee’s comments must be received by Ms. Julie information about the Committee and Designated Federal Officer, at the email Carson at least five (5) business days the Remember Subcommittee, please address or telephone number listed in prior to the meeting date so that they visit http://www.arlingtoncemetery.mil/ the FOR FURTHER INFORMATION CONTACT may be made available to the Judicial About/Advisory-Committee-on- section. Proceedings Panel for their Arlington-National-Cemetery/Charter. Written Comments and Statements: consideration prior to the meeting. DATES: The Remember Subcommittee Pursuant to 41 CFR 102–3.105(j) and Written comments should be submitted will meet from 0900 a.m.–1000 a.m. on 102–3.140 and section 10(a)(3) of the via email to Ms. Carson at Thursday, March 12, 2015. Federal Advisory Committee Act, the public or interested organizations may whs.pentagon.em.mbx.judicial-panel@ ADDRESSES: Women in Service to submit written comments or statements mail.mil in the following formats: America Memorial, Arlington National to the subcommittee, in response to the Adobe Acrobat or Microsoft Word. Cemetery, Arlington, VA 22211. stated agenda of the open meeting or in Please note that since the Judicial FOR FURTHER INFORMATION CONTACT: Ms. Proceedings Panel operates under the regard to the subcommittee’s mission in Renea C. Yates; Designated Federal general. Written comments or provisions of the Federal Advisory Officer for the committee and the Committee Act, as amended, all written statements should be submitted to Ms. Remember Subcommittee, in writing at Renea Yates, the subcommittee’s comments will be treated as public Arlington National Cemetery, Arlington documents and will be made available Designated Federal Officer, via VA 22211, or by email at electronic mail, the preferred mode of for public inspection. If members of the [email protected], or by phone submission, at the address listed in the public are interested in making an oral at 703–614–1248. FOR FURTHER INFORMATION CONTACT statement, a written statement must be SUPPLEMENTARY INFORMATION: This section. Each page of the comment or submitted along with a request to subcommittee meeting is being held statement must include the author’s provide an oral statement. Oral under the provisions of the Federal name, title or affiliation, address, and presentations by members of the public Advisory Committee Act of 1972 (5 daytime phone number. Written will be permitted between 4:45 p.m. and U.S.C., Appendix, as amended), the comments or statements being 5:00 p.m. on March 13, 2015 in front of Government in the Sunshine Act of submitted in response to the agenda set the Panel. The number of oral 1976 (U.S.C. 552b, as amended) and 41 forth in this notice must be received by presentations to be made will depend Code of the Federal Regulations (CFR the Designated Federal Officer at least on the number of requests received from 102–3.150). seven business days prior to the meeting members of the public on a first-come Purpose of the Meeting: The Advisory to be considered by the subcommittee. basis. After reviewing the requests for Committee on Arlington National The Designated Federal Officer will oral presentation, the Chairperson and Cemetery is an independent Federal review all timely submitted written the Designated Federal Officer will, advisory committee chartered to provide comments or statements with the having determined the statement to be the Secretary of the Army independent subcommittee Chairperson, and ensure relevant to the Panel’s mission, allot five advice and recommendations on the comments are provided to all minutes to persons desiring to make an Arlington National Cemetery, including, members of the subcommittee before the oral presentation. but not limited to, cemetery meeting. Written comments or Committee’s Designated Federal administration, the erection of statements received after this date may Officer: The Panel’s Designated Federal memorials at the cemetery, and master not be provided to the subcommittee Officer is Ms. Maria Fried, Judicial planning for the cemetery. The until its next meeting. Pursuant to 41 Proceedings Panel, 1600 Defense Secretary of the Army may act on the CFR 102–3.140d, the subcommittee is Pentagon, Room 3B747, Washington, DC committee’s advice and not obligated to allow the public to 20301–1600. recommendations. The primary purpose speak; however, interested persons may of the Remember Subcommittee is to Dated: February 20, 2015. submit a written statement or a request review and provide recommendations to speak for consideration by the Aaron Siegel, on preservation and care for the marble subcommittee. After reviewing any Alternate OSD Federal Register Liaison components of the Tomb of the written statements or requests Officer, Department of Defense. Unknown Soldier, including addressing submitted, the subcommittee [FR Doc. 2015–03904 Filed 2–24–15; 8:45 am] the cracks in the large marble Chairperson and the Designated Federal BILLING CODE 5001–06–P sarcophagus, the adjacent marble slabs, Officer may choose to invite certain

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submitters to present their comments but not limited to, cemetery speak; however, interested persons may verbally during the open portion of this administration, the erection of submit a written statement or a request meeting or at a future meeting. The memorials at the cemetery, and master to speak for consideration by the Designated Federal Officer, in planning for the cemetery. The subcommittee. After reviewing any consultation with the subcommittee Secretary of the Army may act on the written statements or requests Chairperson, may allot a specific committee’s advice and submitted, the subcommittee amount of time for submitters to present recommendations. The primary purpose Chairperson and the Designated Federal their comments verbally. of the Honor Subcommittee is to review Officer may choose to invite certain and provide recommendations to the submitters to present their comments Brenda S. Bowen, parent committee on extending the verbally during the open portion of this Army Federal Register Liaison Officer. future locations and availability of meeting or at a future meeting. The [FR Doc. 2015–03860 Filed 2–24–15; 8:45 am] active burial gravesites at Arlington Designated Federal Officer, in BILLING CODE 3710–08–P National Cemetery, veteran eligibility consultation with the subcommittee criteria, and master planning. Chairperson, may allot a specific Proposed Agenda: The subcommittee amount of time for submitters to present DEPARTMENT OF DEFENSE will receive an update on the status of their comments verbally. all major infrastructure and expansion Department of the Army projects. Public’s Accessibility to the Brenda S. Bowen, Army Federal Register Liaison Officer. Advisory Committee on Arlington Meeting: Pursuant to 5 U.S.C. 552b and 41 CFR 102–3.140 through 102–3.165, [FR Doc. 2015–03861 Filed 2–24–15; 8:45 am] National Cemetery Honor and the availability of space, this BILLING CODE 3710–08–P Subcommittee Meeting Notice meeting is open to the public. Seating is AGENCY: Department of the Army, DoD. on a first-come basis. The Women in ACTION: Notice of open subcommittee Military Service to America Memorial is DEPARTMENT OF EDUCATION meeting. fully handicapped accessible. For additional information about public [Docket No.: ED–2014–ICCD–0165] SUMMARY: The Department of the Army access procedures, contact Ms. Renea is publishing this notice to announce Yates, the subcommittee’s Designated Agency Information Collection the following Federal advisory Federal Officer, at the email address or Activities; Submission to the Office of Management and Budget for Review committee meeting of the Honor telephone number listed in the FOR Subcommittee of the Advisory FURTHER INFORMATION CONTACT section. and Approval; Comment Request; Committee on Arlington National Written Comments and Statements: Annual Report on Appeals Process Cemetery (ACANC). The meeting is Pursuant to 41 CFR 102–3.105(j) and RSA–722 open to the public. For more 102–3.140 and section 10(a)(3) of the AGENCY: Office of Special Education and information about the Committee and Federal Advisory Committee Act, the Rehabilitative Services (OSERS), the Honor Subcommittee, please visit public or interested organizations may Department of Education (ED). http://www.arlingtoncemetery.mil/ submit written comments or statements ACTION: Notice. About/Advisory-Committee-on- to the subcommittee, in response to the Arlington-National-Cemetery/Charter. stated agenda of the open meeting or in SUMMARY: In accordance with the DATES: The Honor Subcommittee will regard to the subcommittee’s mission in Paperwork Reduction Act of 1995 (44 meet from 10:00 a.m.–11:30 a.m. on general. Written comments or U.S.C. chapter 3501 et seq.), ED is Thursday, March 12, 2015. statements should be submitted to Ms. proposing a revision of an existing Renea Yates, the subcommittee’s ADDRESSES: Women in Service to information collection. Designated Federal Officer, via America Memorial, Arlington National DATES: electronic mail, the preferred mode of Interested persons are invited to Cemetery, Arlington, VA 22211. submission, at the address listed in the submit comments on or before March FOR FURTHER INFORMATION CONTACT: Ms. FOR FURTHER INFORMATION CONTACT 27, 2015. Renea C. Yates; Designated Federal section. Each page of the comment or ADDRESSES: Comments submitted in Officer for the committee and the Honor statement must include the author’s response to this notice should be Subcommittee, in writing at Arlington name, title or affiliation, address, and submitted electronically through the National Cemetery, Arlington VA 22211, daytime phone number. Written Federal eRulemaking Portal at http:// or by email at renea.c.yates.civ@ comments or statements being www.regulations.gov by selecting mail.mil, or by phone at 703–614–1248. submitted in response to the agenda set Docket ID number ED–2014–ICCD–0165 SUPPLEMENTARY INFORMATION: This forth in this notice must be received by or via postal mail, commercial delivery, subcommittee meeting is being held the Designated Federal Officer at least or hand delivery. If the regulations.gov under the provisions of the Federal seven business days prior to the meeting site is not available to the public for any Advisory Committee Act of 1972 (5 to be considered by the subcommittee. reason, ED will temporarily accept U.S.C., Appendix, as amended), the The Designated Federal Officer will comments at [email protected]. Government in the Sunshine Act of review all timely submitted written Please note that comments submitted by 1976 (U.S.C. 552b, as amended) and 41 comments or statements with the fax or email and those submitted after Code of the Federal Regulations (CFR subcommittee Chairperson, and ensure the comment period will not be 102–3.150). the comments are provided to all accepted; ED will ONLY accept Purpose of the Meeting: The Advisory members of the subcommittee before the comments during the comment period Committee on Arlington National meeting. Written comments or in this mailbox when the regulations.gov Cemetery is an independent Federal statements received after this date may site is not available. Written requests for advisory committee chartered to provide not be provided to the subcommittee information or comments submitted by the Secretary of the Army independent until its next meeting. Pursuant to 41 postal mail or delivery should be advice and recommendations on CFR 102–3.140d, the subcommittee is addressed to the Director of the Arlington National Cemetery, including, not obligated to allow the public to Information Collection Clearance

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Division, U.S. Department of Education, applicants and eligible individuals of activities, please contact Patricia Kilby- 400 Maryland Avenue SW., LBJ, the vocational rehabilitation program Robb, 202–260–2225. Mailstop L–OM–2–2E319, Room 2E105, and the final resolution of appeals filed. SUPPLEMENTARY INFORMATION: The Washington, DC 20202. Respondents are State agencies that Department of Education (ED), in FOR FURTHER INFORMATION CONTACT: For administer the Federal/State Program accordance with the Paperwork specific questions related to collection for Vocational Rehabilitation. Reduction Act of 1995 (PRA) (44 U.S.C. activities, please contact Edward West, Dated: February 19, 2015. 3506(c)(2)(A)), provides the general 202–245–6145. Stephanie Valentine, public and Federal agencies with an SUPPLEMENTARY INFORMATION: The Acting Director, Information Collection opportunity to comment on proposed, Department of Education (ED), in Clearance Division, Privacy, Information and revised, and continuing collections of accordance with the Paperwork Records Management Services, Office of information. This helps the Department Reduction Act of 1995 (PRA) (44 U.S.C. Management. assess the impact of its information 3506(c)(2)(A)), provides the general [FR Doc. 2015–03796 Filed 2–24–15; 8:45 am] collection requirements and minimize public and Federal agencies with an BILLING CODE 4000–01–P the public’s reporting burden. It also opportunity to comment on proposed, helps the public understand the revised, and continuing collections of Department’s information collection information. This helps the Department DEPARTMENT OF EDUCATION requirements and provide the requested assess the impact of its information data in the desired format. ED is collection requirements and minimize [Docket No.: ED–2014–ICCD–0164] soliciting comments on the proposed the public’s reporting burden. It also information collection request (ICR) that helps the public understand the Agency Information Collection is described below. The Department of Department’s information collection Activities; Submission to the Office of Education is especially interested in requirements and provide the requested Management and Budget for Review public comment addressing the data in the desired format. ED is and Approval; Comment Request; following issues: (1) Is this collection soliciting comments on the proposed Charter Schools Program (CSP) Grant necessary to the proper functions of the information collection request (ICR) that Award Database Department; (2) will this information be processed and used in a timely manner; is described below. The Department of AGENCY: Office of Innovation and (3) is the estimate of burden accurate; Education is especially interested in Improvement (OII), Department of (4) how might the Department enhance public comment addressing the Education (ED). following issues: (1) Is this collection the quality, utility, and clarity of the ACTION: Notice. necessary to the proper functions of the information to be collected; and (5) how Department; (2) will this information be SUMMARY: In accordance with the might the Department minimize the processed and used in a timely manner; Paperwork Reduction Act of 1995 (44 burden of this collection on the (3) is the estimate of burden accurate; U.S.C. chapter 3501 et seq.), ED is respondents, including through the use (4) how might the Department enhance proposing a revision of an existing of information technology. Please note the quality, utility, and clarity of the information collection. that written comments received in information to be collected; and (5) how response to this notice will be DATES: Interested persons are invited to might the Department minimize the considered public records. submit comments on or before March burden of this collection on the Title of Collection: Charter Schools 27, 2015. respondents, including through the use Program (CSP) Grant Award Database. of information technology. Please note ADDRESSES: Comments submitted in OMB Control Number: 1855–0016. that written comments received in response to this notice should be Type of Review: A revision of an response to this notice will be submitted electronically through the existing information collection. considered public records. Federal eRulemaking Portal at http:// Respondents/Affected Public: State, Title of Collection: Annual Report on www.regulations.gov by selecting Local and Tribal Governments. Appeals Process RSA–722. Docket ID number ED–2014–ICCD–0164 Total Estimated Number of Annual OMB Control Number: 1820–0563. or via postal mail, commercial delivery, Responses: 81. Type of Review: A revision of an or hand delivery. If the regulations.gov Total Estimated Number of Annual existing information collection. site is not available to the public for any Burden Hours: 139. Respondents/Affected Public: State, reason, ED will temporarily accept Abstract: This request is for an Local and Tribal Governments. comments at [email protected]. extension of OMB approval to collect Total Estimated Number of Annual Please note that comments submitted by data for the Charter Schools Program Responses: 80. fax or email and those submitted after (CSP) Grant Awards Database. This Total Estimated Number of Annual the comment period will not be current data collection is being Burden Hours: 160. accepted; ED will ONLY accept coordinated with the EDFacts Initiative Abstract: Pursuant to subsection comments during the comment period to reduce respondent burden and fully 102(c)(8)(A) and (B) of the in this mailbox when the regulations.gov utilize data submitted by States and Rehabilitation Act of 1973 as amended site is not available. Written requests for available to the U.S. Department of by the Workforce Innovation and information or comments submitted by Education (ED). Specifically, under the Opportunity Act the RSA–722 is needed postal mail or delivery should be current data collection, ED collects CSP to meet specific data collection addressed to the Director of the grant award information from grantees requirements on the number of requests Information Collection Clearance (State agencies, charter management for mediations, hearings, administrative Division, U.S. Department of Education, organizations, and some schools) to reviews and other methods of dispute 400 Maryland Avenue SW., LBJ, create a new database of current CSP- resolution requested and the manner in Mailstop L–OM–2–2E319, Room 2E105, funded charter schools. Together, these which they were resolved. The Washington, DC 20202. data allow ED to monitor CSP grant information collected is used to evaluate FOR FURTHER INFORMATION CONTACT: For performance and analyze data related to the types of complaints made by specific questions related to collection accountability for academic purposes,

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financial integrity, and program public and Federal agencies with an DEPARTMENT OF EDUCATION effectiveness. opportunity to comment on proposed, [Docket No.: ED–2014–ICCD–0163] Dated: February 19, 2015. revised, and continuing collections of Stephanie Valentine, information. This helps the Department Agency Information Collection Acting Director, Information Collection assess the impact of its information Activities; Submission to the Office of Clearance Division, Privacy, Information and collection requirements and minimize Management and Budget for Review Records Management Services, Office of the public’s reporting burden. It also and Approval; Comment Request; Management. helps the public understand the Quarterly Cumulative Caseload Report [FR Doc. 2015–03795 Filed 2–24–15; 8:45 am] Department’s information collection AGENCY: Office of Special Education and BILLING CODE 4000–01–P requirements and provide the requested Rehabilitative Services (OSERS), data in the desired format. ED is Department of Education (ED). soliciting comments on the proposed ACTION: Notice. DEPARTMENT OF EDUCATION information collection request (ICR) that [Docket No.: ED–2014–ICCD–0162] is described below. The Department of SUMMARY: In accordance with the Education is especially interested in Paperwork Reduction Act of 1995 (44 Agency Information Collection public comment addressing the U.S.C. chapter 3501 et seq.), ED is Activities; Submission to the Office of following issues: (1) Is this collection proposing a revision of an existing Management and Budget for Review necessary to the proper functions of the information collection. and Approval; Comment Request; Department; (2) will this information be DATES: Interested persons are invited to HBCU All Star Student Program processed and used in a timely manner; submit comments on or before March AGENCY: Office of the Secretary/Office of (3) is the estimate of burden accurate; 27, 2015. the Deputy Secretary (OS), Department (4) how might the Department enhance ADDRESSES: Comments submitted in of Education (ED). the quality, utility, and clarity of the response to this notice should be ACTION: Notice. information to be collected; and (5) how submitted electronically through the might the Department minimize the Federal eRulemaking Portal at http:// SUMMARY: In accordance with the burden of this collection on the www.regulations.gov by selecting Paperwork Reduction Act of 1995 (44 respondents, including through the use Docket ID number ED–2014–ICCD–0163 U.S.C. chapter 3501 et seq.), ED is of information technology. Please note or via postal mail, commercial delivery, proposing a new information collection. that written comments received in or hand delivery. If the regulations.gov DATES: Interested persons are invited to response to this notice will be site is not available to the public for any submit comments on or before March considered public records. reason, ED will temporarily accept 27, 2015. comments at [email protected]. Title of Collection: HBCU All Star ADDRESSES: Comments submitted in Please note that comments submitted by response to this notice should be Student Program. fax or email and those submitted after submitted electronically through the OMB Control Number: 1894–New. the comment period will not be Federal eRulemaking Portal at http:// Type of Review: A new information accepted; ED will ONLY accept www.regulations.gov by selecting collection. comments during the comment period Docket ID number ED–2014–ICCD–0162 in this mailbox when the regulations.gov or via postal mail, commercial delivery, Respondents/Affected Public: site is not available. Written requests for or hand delivery. If the regulations.gov Individuals or Households. information or comments submitted by site is not available to the public for any Total Estimated Number of Annual postal mail or delivery should be reason, ED will temporarily accept Responses: 105. addressed to the Director of the comments at [email protected]. Total Estimated Number of Annual Information Collection Clearance Please note that comments submitted by Burden Hours: 367. Division, U.S. Department of Education, fax or email and those submitted after 400 Maryland Avenue SW., LBJ, the comment period will not be Abstract: This program was designed Mailstop L–OM–2–2E319, Room 2E105, accepted; ED will ONLY accept to recognize current HBCU students for Washington, DC 20202. comments during the comment period their dedication to academics, FOR FURTHER INFORMATION CONTACT: For in this mailbox when the regulations.gov leadership and civic engagement. specific questions related to collection site is not available. Written requests for Nominees were asked to submit a activities, please contact Joan Ward, information or comments submitted by nomination package containing a signed 202–245–7565. postal mail or delivery should be nomination form, unofficial transcripts, SUPPLEMENTARY INFORMATION: The addressed to the Director of the short essay, resume, and endorsement Department of Education (ED), in Information Collection Clearance letter. Items in this package provide the accordance with the Paperwork Division, U.S. Department of Education, tools necessary to select current HBCU Reduction Act of 1995 (PRA) (44 U.S.C. 400 Maryland Avenue SW., LBJ, students who are excelling academically 3506(c)(2)(A)), provides the general Mailstop L–OM–2–2E319, Room 2E105, and making differences in their public and Federal agencies with an Washington, DC 20202. community. opportunity to comment on proposed, FOR FURTHER INFORMATION CONTACT: For Dated: February 19, 2015. revised, and continuing collections of specific questions related to collection information. This helps the Department Stephanie Valentine, activities, please contact Sedika assess the impact of its information Franklin, (202) 453–5630. Acting Director, Information Collection collection requirements and minimize Clearance Division, Privacy, Information and SUPPLEMENTARY INFORMATION: The the public’s reporting burden. It also Department of Education (ED), in Records Management Services, Office of helps the public understand the Management. accordance with the Paperwork Department’s information collection Reduction Act of 1995 (PRA) (44 U.S.C. [FR Doc. 2015–03793 Filed 2–24–15; 8:45 am] requirements and provide the requested 3506(c)(2)(A)), provides the general BILLING CODE 4000–01–P data in the desired format. ED is

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soliciting comments on the proposed U.S.C. chapter 3501 et seq.), ED is of information technology. Please note information collection request (ICR) that proposing a revision of an existing that written comments received in is described below. The Department of information collection. response to this notice will be Education is especially interested in DATES: Interested persons are invited to considered public records. public comment addressing the submit comments on or before March Title of Collection: 21st Century following issues: (1) Is this collection 27, 2015. Community Learning Centers Annual necessary to the proper functions of the ADDRESSES: Comments submitted in Performance Report. Department; (2) will this information be response to this notice should be OMB Control Number: 1810–0668. processed and used in a timely manner; submitted electronically through the Type of Review: A revision of an (3) is the estimate of burden accurate; Federal eRulemaking Portal at http:// existing information collection. (4) how might the Department enhance www.regulations.gov by selecting Respondents/Affected Public: Private the quality, utility, and clarity of the Docket ID number ED–2014–ICCD–0166 Sector. information to be collected; and (5) how or via postal mail, commercial delivery, Total Estimated Number of Annual might the Department minimize the or hand delivery. If the regulations.gov Responses: 54. Total Estimated Number of Annual burden of this collection on the site is not available to the public for any respondents, including through the use reason, ED will temporarily accept Burden Hours: 2,433. Abstract: The purpose of the 21st of information technology. Please note comments at [email protected]. Century Community Learning Centers that written comments received in Please note that comments submitted by (21st CCLC) program, as authorized response to this notice will be fax or email and those submitted after under title IV, part B, of the Elementary considered public records. the comment period will not be Title of Collection: Quarterly accepted; ED will ONLY accept and Secondary Education Act, sections Cumulative Caseload Report. comments during the comment period 4201 et seq., (20 U.S.C. 7171 et seq., OMB Control Number: 1820–0013. in this mailbox when the regulations.gov attached to submission package), is to Type of Review: A revision of an site is not available. Written requests for provide expanded academic enrichment existing information collection. information or comments submitted by opportunities for children attending Respondents/Affected Public: State, postal mail or delivery should be low-performing schools. Tutorial Local and Tribal Governments. addressed to the Director of the services and academic enrichment Total Estimated Number of Annual Information Collection Clearance activities are designed to help students Responses: 320. Division, U.S. Department of Education, meet local and state academic standards Total Estimated Number of Annual 400 Maryland Avenue SW., LBJ, in subjects such as reading and math. In Burden Hours: 320. Mailstop L–OM–2–2E319, Room 2E105, addition, 21st CCLC programs provide Abstract: State agencies that Washington, DC 20202. youth development activities, drug and administer vocational rehabilitation violence prevention programs, FOR FURTHER INFORMATION CONTACT: For programs provide key caseload data on technology education programs, art, specific questions related to collection this form, including numbers of persons music and recreation programs, activities, please contact Daryn who are applicants, determined eligible/ counseling, and character education to Hedlund, 202–401–3008. ineligible, waiting for services, and their enhance the academic component of the SUPPLEMENTARY INFORMATION: program outcomes. The Rehabilitation The program. In support of this program, Services Administration collects this Department of Education (ED), in Congress appropriated nearly $1.1 information quarterly from states and accordance with the Paperwork billion for 21st CCLC programs for fiscal reports it in the Annual Report to Reduction Act of 1995 (PRA) (44 U.S.C. year 2013. Consisting of public and Congress on the Rehabilitation Act. 3506(c)(2)(A)), provides the general nonprofit agencies, community- and public and Federal agencies with an faith-based organizations, local Dated: February 19, 2015. opportunity to comment on proposed, Stephanie Valentine, businesses, postsecondary institutions, revised, and continuing collections of scientific/cultural and other community Acting Director, Information Collection information. This helps the Department Clearance Division, Privacy, Information and entities, 4,077 subgrantees—operating assess the impact of its information 9,989 centers—provided academic and Records Management Services, Office of collection requirements and minimize Management. enrichment services and activities to the public’s reporting burden. It also over 1.7 million children. [FR Doc. 2015–03794 Filed 2–24–15; 8:45 am] helps the public understand the BILLING CODE 4000–01–P Department’s information collection Dated: February 19, 2015. requirements and provide the requested Stephanie Valentine, Acting Director, Information Collection DEPARTMENT OF EDUCATION data in the desired format. ED is soliciting comments on the proposed Clearance Division, Privacy, Information and [Docket No.: ED–2014–ICCD–0166] information collection request (ICR) that Records Management Services, Office of is described below. The Department of Management. Agency Information Collection Education is especially interested in [FR Doc. 2015–03797 Filed 2–24–15; 8:45 am] Activities; Submission to the Office of public comment addressing the BILLING CODE 4000–01–P Management and Budget for Review following issues: (1) Is this collection and Approval; Comment Request; 21st necessary to the proper functions of the Century Community Learning Centers Department; (2) will this information be DEPARTMENT OF EDUCATION Annual Performance Report processed and used in a timely manner; National Advisory Committee on AGENCY: Office of Elementary and (3) is the estimate of burden accurate; Institutional Quality and Integrity Secondary Education (OESE), (4) how might the Department enhance Meeting Department of Education (ED). the quality, utility, and clarity of the ACTION: Notice. information to be collected; and (5) how AGENCY: National Advisory Committee might the Department minimize the on Institutional Quality and Integrity SUMMARY: In accordance with the burden of this collection on the (NACIQI), Office of Postsecondary Paperwork Reduction Act of 1995 (44 respondents, including through the use Education, Department of Education.

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ADDRESSES: U.S. Department of email your registration to the document published in the Federal Education, Office of Postsecondary [email protected] mailbox Register. Free Internet access to the Education, 1990 K Street NW., Room and enter ‘‘Registration for NACIQI’’ in official edition of the Federal Register 8072, Washington, DC 20006. the subject line of the message. In the and the Code of Federal Regulations is ACTION: Notice of an open (virtual) body of the email message, please available via the Federal Digital System meeting and the opportunity to make include your name, title, affiliation, at www.gpo.gov/fdsys. At this site you third party comments. mailing address, email address, and can view this document, as well as all telephone number. All registrants will other documents of this Department Naciqi’s Statutory Authority And receive an email with the call-in published in the Federal Register, in Function: The NACIQI is established number. text or Adobe Portable Document under Section 114 (d)(2)(B) of the HEA Submission of Written/Oral Format (PDF). To use PDF, you must of 1965, as amended, 20 U.S.C. 1011c. Comments Regarding the Committee’s have Adobe Acrobat Reader, which is The NACIQI advises the Secretary of Policy Recommendations: Written available free at the site. Education about: comments must be received by March 9, • You may also access documents of the The establishment and enforcement 2015, in [email protected] Department published in the Federal of the criteria for recognition of mailbox and include the subject line Register by using the article search accrediting agencies or associations ‘‘Written Comments: Policy feature at: www.federalregister.gov. under Subpart 2, Part H, Title IV, of the Recommendations 2014’’. The email Specifically, through the advanced HEA, as amended. must include the name(s), title, • search feature at this site, you can limit The recognition of specific organization/affiliation, mailing your search to documents published by accrediting agencies or associations or a address, email address, and telephone the Department. specific State approval agency. number, of the person(s) making the • The preparation and publication of comment. Comments should be Authority: Section 114 (d)(2)(B) of the HEA of 1965, as amended, 20 U.S.C. 1011c. the list of nationally recognized submitted as a Microsoft Word accrediting agencies and associations. document or in a medium compatible Lynn B. Mahaffie, • The eligibility and certification with Microsoft Word (not a PDF file) Deputy Assistant Secretary for Policy, process for institutions of higher that is attached to an electronic mail Planning, and Innovation, Delegated the education under Title IV, of the HEA, message (email) or provided in the body Authority to Perform the Functions and together with recommendations for of an email message. Please do not send Duties of the Assistant Secretary for improvement in such process. material directly to the NACIQI Postsecondary Education. • The relationship between (1) members. [FR Doc. 2015–03612 Filed 2–24–15; 8:45 am] accreditation of institutions of higher To request to make oral comments BILLING CODE 4000–01–P education and the certification and during the meeting, email your request eligibility of such institutions, and (2) to [email protected] State licensing responsibilities with mailbox and enter ‘‘Registration for DEPARTMENT OF ENERGY respect to such institutions. NACIQI and Request to Make Oral • Any other advisory function Comments’’ in the subject line of the Federal Energy Regulatory relating to accreditation and email message. In the body of the email Commission institutional eligibility that the message, please provide your name, Secretary may prescribe. title, affiliation, mailing address, email Combined Notice of Filings #1 SUMMARY: This notice sets forth the address, and telephone number as well Take notice that the Commission schedule for the , 2015, virtual as a brief explanation of no more than meeting of NACIQI, and provides received the following electric corporate five sentences that summarize your filings: information to members of the public on anticipated comments. registering for the meeting, and for A total of 30 minutes will be allotted Docket Numbers: EC11–119–001. submitting written comments and for public comment. Six commenters Applicants: Gabelli, Mario J., GGCP, requests to make oral comments. The will be selected on a first-come, first- Inc., GGCP Holdings, LLC, GAMCO notice of this virtual meeting is required served basis. Each commenter will be Investors, Inc. under Section 10(a)(2) of the Federal allotted no more than five minutes. The Description: Request for Advisory Committee Act (FACA) and Department will inform all requesters of Reauthorization and Extension of Section 114(d)(2)(B) of the Higher their selection status in advance of the Blanket Authorizations Under Section Education Act (HEA) of 1965, as meeting. Individuals who need 203 of the Federal Power Act and amended, 20 U.S.C. 1011c. accommodations for a disability in order Request for Expedited Consideration of DATES: The NACIQI virtual meeting will to attend the virtual meeting should Mario J. Gabelli, et al. be held on Monday, March 23, 2015, contact Patricia Howes at Filed Date: 2/12/15. beginning at 1:00 p.m. and ending at [email protected], or email Accession Number: 20150212–5210. 4:00 p.m., Eastern Time. The proposed [email protected] mailbox Comments Due: 5 p.m. ET 3/5/15. agenda for this virtual meeting consists no later than March 9, 2015. The virtual Docket Numbers: EC15–74–000. of discussion and final action on the meeting site is accessible to individuals Applicants: Quantum Choctaw Power, draft NACIQI Policy Recommendations with disabilities. LLC. Report. The report may be accessed FOR FURTHER INFORMATION CONTACT: Description: Application for at:http://www2.ed.gov/about/bdscomm/ Carol Griffiths, Executive Director, Authorization of Disposition of list/naciqi-dir/2014-fall/naciqi-draft- NACIQI, U.S. Department of Education, Jurisdictional Facilities under FPA recomendations-report-01012015.pdf. 1990 K Street NW., Room 8073, Section 203 of Quantum Choctaw Meeting Registration: The deadline for Washington, DC 20006–8129, telephone: Power, LLC. registering to attend the virtual meeting (202) 219–7035, fax: (202) 502–7874, or Filed Date: 2/12/15. is Monday, March 9, 2015. Registration email [email protected]. Accession Number: 20150212–5217. space for the virtual meeting is limited. Electronic Access to This Document: Comments Due: 5 p.m. ET 3/5/15. To register to attend the virtual meeting, The official version of this document is Docket Numbers: EC15–75–000.

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Applicants: Bluco Energy, LLC. Comments Due: 5 p.m. ET 3/6/15. The filings are accessible in the Description: Application Under Docket Numbers: ER15–1033–000. Commission’s eLibrary system by Section 203 of Bluco Energy, LLC. Applicants: PJM Interconnection, clicking on the links or querying the Filed Date: 2/12/15. L.L.C. docket number. Accession Number: 20150212–5219. Description: § 205(d) rate filing per Any person desiring to intervene or Comments Due: 5 p.m. ET 3/5/15. 35.13(a)(2)(iii): Original Service protest in any of the above proceedings Take notice that the Commission Agreement No. 4093; Queue Y2–055 must file in accordance with Rules 211 received the following exempt (WMPA) to be effective 1/14/2015. and 214 of the Commission’s wholesale generator filings: Filed Date: 2/12/15. Regulations (18 CFR 385.211 and Docket Numbers: EG15–47–000. Accession Number: 20150212–5171. 385.214) on or before 5:00 p.m. Eastern Applicants: Shafter Solar, LLC. Comments Due: 5 p.m. ET 3/5/15. time on the specified comment date. Description: Notice of Self- Docket Numbers: ER15–1034–000. Protests may be considered, but Certification of Exempt Wholesale Applicants: PJM Interconnection, intervention is necessary to become a Generator Status of Shafter Solar, LLC. L.L.C. party to the proceeding. Filed Date: 2/13/15. Description: § 205(d) rate filing per eFiling is encouraged. More detailed Accession Number: 20150213–5145. 35.13(a)(2)(iii): Service Agreement No. information relating to filing Comments Due: 5 p.m. ET 3/6/15. 3754; Queue No. Y3–036 to be effective requirements, interventions, protests, service, and qualifying facilities filings Take notice that the Commission 1/13/2015. Filed Date: 2/12/15. can be found at: http://www.ferc.gov/ received the following electric rate docs-filing/efiling/filing-req.pdf. For filings: Accession Number: 20150212–5177. Comments Due: 5 p.m. ET 3/5/15. other information, call (866) 208–3676 Docket Numbers: ER13–80–005. (toll free). For TTY, call (202) 502–8659. Applicants: Tampa Electric Company. Docket Numbers: ER15–1035–000. Description: Compliance filing per 35: Applicants: Southern California Dated: February 13, 2015. OATT Order No. 1000 Amendment of Edison Company. Nathaniel J. Davis, Sr., Compliance Filing to be effective 1/1/ Description: § 205(d) rate filing per Deputy Secretary. 2015. 35.13(a)(2)(iii): Three GIAs with Boomer [FR Doc. 2015–03759 Filed 2–24–15; 8:45 am] Filed Date: 2/13/15. Solar 8 LLC, Boomer Solar 22 LLC, BILLING CODE 6717–01–P Accession Number: 20150213–5065. Boomer Solar 14 LLC to be effective 2/ Comments Due: 5 p.m. ET 3/6/15. 14/2015. Docket Numbers: ER13–86–005. Filed Date: 2/13/15. ENVIRONMENTAL PROTECTION Applicants: Duke Energy Florida, Inc., Accession Number: 20150213–5001. AGENCY Comments Due: 5 p.m. ET 3/6/15. Duke Energy Carolinas, LLC. [EPA–HQ–OECA–2014–0028; FRL–9922– Description: Compliance filing per 35: Docket Numbers: ER15–1036–000. 33–OEI] Additional Enrollees Filing to be Applicants: ISO New England Inc. effective 1/1/2015. Description: ISO New England Inc. Information Collection Request Filed Date: 2/13/15. submits 4th Quarter 2014 Capital Submitted to OMB for Review and Accession Number: 20150213–5073. Budget Report. Approval; Comment Request; NSPS Comments Due: 5 p.m. ET 3/6/15. Filed Date: 2/12/15. for Calciners and Dryers in Mineral Docket Numbers: ER13–104–006. Accession Number: 20150212–5211. Industries (Renewal) Applicants: Florida Power & Light Comments Due: 5 p.m. ET 3/5/15. AGENCY: Docket Numbers: ER15–1037–000. Environmental Protection Company. Agency (EPA). Description: Compliance filing per 35: Applicants: Wabash Valley Power FPL Order No. 1000 Further Regional Association, Inc. ACTION: Notice. Compliance Filings to be effective 1/1/ Description: § 205(d) rate filing per SUMMARY: The Environmental Protection 2015. 35.13(a)(2)(iii): Amendment to Section Agency has submitted an information Filed Date: 2/13/15. 3.002.001.001—Amended T&LF collection request (ICR), ‘‘NSPS for Accession Number: 20150213–5146. Agreement to be effective 1/1/2015. Calciners and Dryers in Mineral Comments Due: 5 p.m. ET 3/6/15. Filed Date: 2/13/15. Industries (40 CFR part 60, subpart Docket Numbers: ER14–2518–002. Accession Number: 20150213–5074. UUU) (Renewal)’’ (EPA ICR No. Applicants: New York Independent Comments Due: 5 p.m. ET 3/6/15. 0746.09, OMB Control No. 2060–0251), System Operator, Inc. Docket Numbers: ER15–1038–000. to the Office of Management and Budget Description: Tariff Amendment per Applicants: Duke Energy Indiana, Inc. (OMB) for review and approval in 35.17(b): Deficiency Response, request Description: § 205(d) rate filing per accordance with the Paperwork to change effective date—Outage States 35.13(a)(2)(iii): Amended TL&F Reduction Act (44 U.S.C. 3501 et seq). to be effective 5/1/2015. Agreement to be effective 1/1/2015. This is a proposed extension of the ICR, Filed Date: 2/12/15. Filed Date: 2/13/15. which is currently approved through Accession Number: 20150212–5198. Accession Number: 20150213–5075. , 2015. Public comments Comments Due: 5 p.m. ET 3/5/15. Comments Due: 5 p.m. ET 3/6/15. were previously requested via the Docket Numbers: ER15–838–001. Docket Numbers: ER15–1039–000. Federal Register (79 FR 30117) on May Applicants: AEP Texas Central Applicants: Homer City Generation, 27, 2014, during a 60-day comment Company. L.P. period. This notice allows for an Description: Tariff Amendment per Description: § 205(d) rate filing per additional 30 days for public comments. 35.17(b): TCC-San Roman Wind I 35.13(a)(2)(iii): Homer City Offer of A fuller description of the ICR is given Interconnection Agreement Amendment Settlement to be effective 2/12/2015. below, including its estimated burden to be effective 1/29/2015. Filed Date: 2/13/15. and cost to the public. An Agency may Filed Date: 2/13/15. Accession Number: 20150213–5090. neither conduct nor sponsor and a Accession Number: 20150213–5088. Comments Due: 5 p.m. ET 3/6/15. person is not required to respond to a

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collection of information unless it Metallic Mineral Processing Plants, are ENVIRONMENTAL PROTECTION displays a currently valid OMB control not subject to these standards. There are AGENCY number. additional processes and process units [EPA–HQ–OECA–2014–0056; FRL–9923– DATES: Additional comments may be at mineral processing plants listed at 08–OEI] submitted on or before March 27, 2015. section 60.730(b) which are not subject ADDRESSES: Submit your comments, to the provisions of this subpart. Information Collection Request referencing Docket ID Number EPA– In general, all NSPS standards require Submitted to OMB for Review and HQ–OECA–2014–0028, to: (1) EPA initial notification reports, performance Approval; Comment Request; NESHAP online using www.regulations.gov (our tests, and periodic reports by the for Shipbuilding and Ship Repair preferred method), or by email to owners/operators of the affected Facilities—Surface Coating (Renewal) [email protected], or by mail to: EPA facilities. They are also required to Docket Center, Environmental AGENCY: Environmental Protection Protection Agency, Mail Code 28221T, maintain records of the occurrence and Agency (EPA). 1200 Pennsylvania Ave. NW., duration of any startup, shutdown, or ACTION: Notice. Washington, DC 20460; and (2) OMB via malfunction in the operation of an SUMMARY: email to [email protected]. affected facility, or any period during The Environmental Protection Address comments to OMB Desk Officer which the monitoring system is Agency has submitted an information for EPA. inoperative. These notifications, reports, collection request (ICR), ‘‘NESHAP for EPA’s policy is that all comments and records are essential in determining Shipbuilding and Ship Repair received will be included in the public compliance, and are required of all Facilities—Surface Coating (40 CFR part docket without change, including any affected facilities subject to NSPS. Any 63, subpart II) (Renewal)’’ (EPA ICR No. personal information provided, unless owner/operator subject to the provisions 1712.09, OMB Control No. 2060–0330) the comment includes profanity, threats, of this part shall maintain a file of these to the Office of Management and Budget (OMB) for review and approval in information claimed to be Confidential measurements, and retain the file for at accordance with the Paperwork Business Information (CBI) or other least two years following the date of Reduction Act (44 U.S.C. 3501 et seq.). information whose disclosure is such measurements, maintenance restricted by statute. This is a proposed extension of the ICR, reports, and records. which is currently approved through FOR FURTHER INFORMATION CONTACT: Form Numbers: None. February 28, 2015. Public comments Patrick Yellin, Monitoring, Assistance, were previously requested via the and Media Programs Division, Office of Respondents/affected entities: Federal Register (79 FR 30117) on May Compliance, Mail Code 2227A, Owners or operators of calciners and 27, 2014, during a 60-day comment Environmental Protection Agency, 1200 dryers at mineral processing plants. period. This notice allows for an Pennsylvania Ave. NW., Washington, Respondent’s obligation to respond: additional 30 days for public comments. DC 20460; telephone number: (202) Mandatory (40 CFR part 60, subpart A fuller description of the ICR is given 564–2970; fax number: (202) 564–0050; UUU). below, including its estimated burden email address: [email protected]. Estimated number of respondents: and cost to the public. An Agency may SUPPLEMENTARY INFORMATION: 167 (total). not conduct or sponsor and a person is Supporting documents, which explain not required to respond to a collection in detail the information that the EPA Frequency of response: Initially, occasionally and semiannually. of information unless it displays a will be collecting, are available in the currently valid OMB control number. public docket for this ICR. The docket Total estimated burden: 6,436 hours DATES: can be viewed online at Additional comments may be (per year). Burden is defined at 5 CFR submitted on or before March 27, 2015. www.regulations.gov or in person at the 1320.3(b). EPA Docket Center, WJC West, Room ADDRESSES: Submit your comments, 3334, 1301 Constitution Ave. NW., Total estimated cost: $738,649 (per referencing Docket ID Number EPA– Washington, DC. The telephone number year), which includes $108,550 in either HQ–OECA–2014–0056, to (1) EPA for the Docket Center is 202–566–1744. annualized capital or operation & online using www.regulations.gov (our For additional information about EPA’s maintenance costs or both. preferred method), by email to public docket, visit: http:// Changes in the Estimates: There is an [email protected], or by mail to: EPA www.epa.gov/dockets. increase of two hours in the total Docket Center, Environmental Abstract: Respondents are owners or estimated burden as currently identified Protection Agency, Mail Code 28221T, operators of calciners and dryers at in the OMB Inventory of Approved ICR 1200 Pennsylvania Ave. NW., mineral processing plants that either Washington, DC 20460, and (2) OMB via Burdens. This increase is not due to any _ process or produce any of the following program changes. In the previous ICR, email to oira [email protected]. Address comments to OMB Desk Officer minerals and their concentrates or any the burden associated with writing the for EPA. mixture of which the majority is any of ‘‘notification of physical or operation the following minerals or a combination EPA’s policy is that all comments change’’ was incorrectly calculated with received will be included in the public of these minerals: Alumina, ball clay, zero respondents. In this ICR, it was bentonite, diatomite, feldspar, fire clay, docket without change including any corrected to one respondent. fuller’s earth, gypsum, industrial sand, personal information provided, unless kaolin, lightweight aggregate, Courtney Kerwin, the comment includes profanity, threats, magnesium compounds, perlite, roofing Acting-Director, Collection Strategies information claimed to be Confidential granules, talc, titanium dioxide, and Division. Business Information (CBI) or other information whose disclosure is vermiculite. Particulate matter is the [FR Doc. 2015–03866 Filed 2–24–15; 8:45 am] pollutant regulated under this subpart. restricted by statute. BILLING CODE 6560–50–P Feed and product conveyors are not FOR FURTHER INFORMATION CONTACT: considered part of the affected facility. Patrick Yellin, Monitoring, Assistance, Facilities subject to NSPS Subpart LL, and Media Programs Division, Office of

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Compliance, Mail Code 2227A, ENVIRONMENTAL PROTECTION Compliance, Mail Code 2227A, Environmental Protection Agency, 1200 AGENCY Environmental Protection Agency, 1200 Pennsylvania Ave. NW., Washington, Pennsylvania Ave. NW., Washington, [EPA–HQ–OECA–2014–0047; FRL–9923– DC 20460; telephone number: (202) 61–OEI] DC 20460; telephone number: (202) 564–2970; fax number: (202) 564–0050; 564–2970; fax number: (202) 564–0050; email address: [email protected]. Information Collection Request email address: [email protected]. Submitted to OMB for Review and SUPPLEMENTARY INFORMATION: SUPPLEMENTARY INFORMATION: Approval; Comment Request; NSPS Supporting documents, which explain Supporting documents, which explain for Municipal Solid Waste Landfills in detail the information that the EPA in detail the information that the EPA (Renewal) will be collecting, are available in the will be collecting, are available in the public docket for this ICR. The docket public docket for this ICR. The docket AGENCY: Environmental Protection can be viewed online at can be viewed online at Agency (EPA). www.regulations.gov or in person at the ACTION: www.regulations.gov or in person at the Notice. EPA Docket Center, WJC West, Room EPA Docket Center, WJC West, Room 3334, 1301 Constitution Ave. NW., 3334, 1301 Constitution Ave., NW., SUMMARY: The Environmental Protection Agency has submitted an information Washington, DC. The telephone number Washington, DC. The telephone number for the Docket Center is 202–566–1744. for the Docket Center is 202–566–1744. collection request (ICR), ‘‘NSPS for Municipal Solid Waste Landfills (40 For additional information about EPA’s For additional information about EPA’s CFR part 60, subpart WWW) (Renewal)’’ public docket, visit http://www.epa.gov/ public docket, visit http://www.epa.gov/ (EPA ICR No. 1557.09, OMB Control No. dockets. dockets. 2060–0220) to the Office of Management Abstract: These regulations apply to Abstract: The respondents are owners and Budget (OMB) for review and MSW landfills for which construction, or operators of shipbuilding and ship approval in accordance with the modification, or reconstruction repair facilities. Operations covered Paperwork Reduction Act (44 U.S.C. commences on or after May 30, 1991. A include: primer and top coat application 3501 et seq.). This is a proposed MSW landfill is an entire disposal in manufacturing processes and in ship extension of the ICR, which is currently facility in a contiguous geographical repair processes. Owners or operators of approved through February 28, 2015. space where household waste is placed shipbuilding and ship repair facilities Public comments were previously in or on. An MSW landfill may also are required to report startup, initial requested via the Federal Register (79 receive other types of RCRA Subtitle D performance test, and retest FR 30117) on , 2014 during a 60- wastes (§ 257.2 of this title) such as information. Facilities will also day comment period. This notice allows commercial solid waste, nonhazardous periodically report emission for an additional 30 days for public sludge, conditionally exempt small exceedances, changes to equipment, and comments. A fuller description of the quantity generator waste, and industrial comply with other requirements of the ICR is given below, including its solid waste. Portions of an MSW landfill may be separated by access roads. An NESHAP. estimated burden and cost to the public. An Agency may not conduct or sponsor MSW landfill may be publicly or Form Numbers: None. and a person is not required to respond privately owned, and may be a new Respondents/affected entities: to a collection of information unless it landfill, an existing landfill, or a lateral Owners or operators of shipbuilding and displays a currently valid OMB control expansion. This information is being ship repair facilities. number. collected to assure compliance with 40 CFR part 60, subpart WWW. Respondent’s obligation to respond: DATES: Additional comments may be Mandatory (40 CFR part 63, subpart II). submitted on or before March 27, 2015. In general, all NSPS standards require ADDRESSES: initial notifications, performance tests, Estimated number of respondents: 56 Submit your comments, referencing Docket ID Number EPA– and periodic reports by the owners/ (total). HQ–OECA–2014–0047, to (1) EPA operators of the affected facilities. They Frequency of response: Initially, online using www.regulations.gov (our are also required to maintain records of occasionally, and semiannually. preferred method), by email to the occurrence and duration of any Total estimated burden: 28,594 hours [email protected], or by mail to: EPA startup, shutdown, or malfunction in the operation of an affected facility, or (per year). Burden is defined at 5 CFR Docket Center, Environmental any period during which the monitoring 1320.3(b). Protection Agency, Mail Code 28221T, 1200 Pennsylvania Ave. NW., system is inoperative. These Total estimated cost: $2,799,388 (per Washington, DC 20460, and (2) OMB via notifications, reports, and records are year), includes $0 annualized capital or email to [email protected]. essential in determining compliance, operation & maintenance costs. Address comments to OMB Desk Officer and are required of all affected facilities Changes in the Estimates: for EPA. subject to NSPS. Any owner/operator subject to the provisions of this part There is no change of hours in the EPA’s policy is that all comments shall maintain a file of these total estimated respondent burden received will be included in the public docket without change including any measurements, and retain the file for at compared with the ICR currently least five years following the date of approved by OMB. personal information provided, unless the comment includes profanity, threats, such measurements, maintenance Courtney Kerwin, information claimed to be Confidential reports, and records. Acting Director, Collection Strategies Business Information (CBI) or other Form Numbers: None. Division. information whose disclosure is Respondents/affected entities: [FR Doc. 2015–03891 Filed 2–24–15; 8:45 am] restricted by statute. Owners or operators of municipal solid BILLING CODE 6560–50–P FOR FURTHER INFORMATION CONTACT: waste landfills for which construction, Patrick Yellin, Monitoring, Assistance, modification, or reconstruction and Media Programs Division, Office of commences on or after May 30, 1991.

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Respondent’s obligation to respond: 27, 2014 during a 60-day comment , 1973 and on or before June 24, Mandatory (40 CFR part 60, subpart period. This notice allows for an 2008; or (3) any Claus sulfur recovery WWW). additional 30 days for public comments. plant which commenced construction, Estimated number of respondents: A fuller description of the ICR is given reconstruction or modification after 195 (total). below, including its estimated burden , 1976 and on or before May Frequency of response: Initially, and cost to the public. An Agency , 2007. Units that are constructed, occasionally, quarterly and annually. not conduct or sponsor and a person is reconstructed or modified after the end Total estimated burden: 111,471 not required to respond to a collection date of Subpart J applicability are hours (per year). Burden is defined at 5 of information unless it displays a subject to the requirements under CFR 1320.3(b). currently valid OMB control number. regulations at 40 CFR part 60, subpart Total estimated cost: $11,677,667 (per DATES: Additional comments may be Ja. At the time of this ICR renewal, all year), includes $764,400 annualized submitted on or before March 27, 2015. refinery flares are complying with the capital or operation & maintenance ADDRESSES: Submit your comments, NSPS Subpart Ja requirements. costs. referencing Docket ID Number EPA– Form Numbers: None. Changes in the Estimates: There is an HQ–OECA–2014–0033, to (1) EPA Respondents/affected entities: adjustment increase in the total online using www.regulations.gov (our Petroleum refineries. estimated burden as currently identified preferred method), by email to Respondent’s obligation to respond: in the OMB Inventory of Approved ICR [email protected], or by mail to: EPA Mandatory (40 CFR part 60, subpart J). Burdens. The change resulted from Docket Center, Environmental Estimated number of respondents: incorporating comments received, Protection Agency, Mail Code 28221T, 150 (total). addressing respondent activities that 1200 Pennsylvania Ave. NW., Frequency of response: Initially, were not included in the previous ICR Washington, DC 20460, and (2) OMB via occasionally, and semiannually. and increased the burden estimate for email to [email protected]. Total estimated burden: 15,784 hours activities that were already included. Address comments to OMB Desk Officer (per year). Burden is defined at 5 CFR There is also an increase in the total for EPA. 1320.3(b). estimated Capital/Startup and O&M EPA’s policy is that all comments Total estimated cost: $2,264,370 (per costs. This increase occurred as a result received will be included in the public year), includes $719,100 annualized of incorporating comments received, docket without change including any capital or operation & maintenance which stated that the previous ICR did personal information provided, unless costs. not include the purchase price and the comment includes profanity, threats, Changes in the Estimates: There is no O&M costs of three additional devices information claimed to be Confidential change in the respondent labor hours in that respondents are required to use. Business Information (CBI) or other this ICR compared to the previous ICR information whose disclosure is because the 2012 rule amendments did Courtney Kerwin, restricted by statute. not require additional monitoring, Acting Director, Collection Strategies recordkeeping and reporting Division. FOR FURTHER INFORMATION CONTACT: Patrick Yellin, Monitoring, Assistance, requirements under NSPS J. Modified or [FR Doc. 2015–03867 Filed 2–24–15; 8:45 am] and Media Programs Division, Office of reconstructed sources under NSPS BILLING CODE 6560–50–P Compliance, Mail Code 2227A, Subpart J would trigger NSPS Subpart Ja Environmental Protection Agency, 1200 applicability. ENVIRONMENTAL PROTECTION Pennsylvania Ave. NW., Washington, Courtney Kerwin, DC 20460; telephone number: (202) AGENCY Acting Director, Collection Strategies 564–2970; fax number: (202) 564–0050; Division. [EPA–HQ–OECA–2014–0033; FRL–9923– email address: [email protected]. 60–OEI] [FR Doc. 2015–03868 Filed 2–24–15; 8:45 am] SUPPLEMENTARY INFORMATION: BILLING CODE 6560–50–P Information Collection Request Supporting documents, which explain Submitted to OMB for Review and in detail the information that the EPA Approval; Comment Request; NSPS will be collecting, are available in the ENVIRONMENTAL PROTECTION for Petroleum Refineries (Renewal) public docket for this ICR. The docket AGENCY can be viewed online at AGENCY: Environmental Protection www.regulations.gov or in person at the [EPA–HQ–OAR–2010–0162; FRL–9922–19– Agency (EPA). EPA Docket Center, WJC West, Room OEI] ACTION: Notice. 3334, 1301 Constitution Ave. NW., Information Collection Request Washington, DC. The telephone number Submitted to OMB for Review and SUMMARY: The Environmental Protection for the Docket Center is 202–566–1744. Approval; Comment Request; Agency has submitted an information For additional information about EPA’s Reporting and Recordkeeping collection request (ICR), ‘‘NSPS for public docket, visit http://www.epa.gov/ Requirements for Greenhouse Gas Petroleum Refineries (40 CFR part 60, dockets. Emissions Standards and Fuel subpart J) (Renewal)’’ (EPA ICR No. Abstract: The affected sources are (1) Efficiency Standards for Medium- and 1054.12, OMB Control No. 2060–0022) fluid catalytic cracking unit (FCCU) Heavy-Duty Engines and Vehicles to the Office of Management and Budget catalyst regenerator or fuel gas (Renewal) (OMB) for review and approval in combustion device (FGCD) other than a accordance with the Paperwork flare that commenced construction, AGENCY: Environmental Protection Reduction Act (44 U.S.C. 3501 et seq.). reconstruction or modification after Agency (EPA). This is a proposed extension of the ICR, June 11, 1973 and on or before May 14, ACTION: Notice. which is currently approved through 2007; (2) FGCD fuel gas combustion February 28, 2015. Public comments device that is also a flare that SUMMARY: The Environmental Protection were previously requested via the commenced construction, Agency has submitted an information Federal Register (79 FR 30117) on May reconstruction or modification after collection request (ICR), ‘‘Greenhouse

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Gas Emissions Standards and Fuel additional information about EPA’s ENVIRONMENTAL PROTECTION Efficiency Standards for Medium- and public docket, visit http://www.epa.gov/ AGENCY Heavy-Duty Engines and Vehicles’’ dockets. (EPA ICR No. 2394.03, OMB Control No. [EPA–HQ–OECA–2014–0026; FRL–9922– Abstract: Under Title II of the Clean 96–OEI] 2060–0678), to the Office of Air Act (CAA) (42 U.S.C. 7521 et seq.), Management and Budget (OMB) for EPA issues certificates of conformity for Information Collection Request review and approval in accordance with motor vehicle designs and engines that Submitted to OMB for Review and the Paperwork Reduction Act (44 U.S.C. Approval; Comment Request; NSPS 3501 et seq.). This is a proposed comply with applicable emission standards set under section 202(a)(1) of for Metal Coil Surface Coating extension of the ICR, which is currently (Renewal) approved through February 28, 2015. the CAA, such as those for CO2, N2O, Public comments were previously and CH4 in the final regulation. Under AGENCY: Environmental Protection requested via the Federal Register (79 49 U.S.C. 32902, NHTSA is mandated to Agency (EPA). FR 53190) on , 2014 during require manufacturers comply with fuel ACTION: Notice. a 60-day comment period. This notice economy and consumption standards. allows for an additional 30 days for Manufacturers will submit applications SUMMARY: The Environmental Protection public comments. A fuller description to certify their products and respond to Agency has submitted an information of the ICR is given below, including its the information collection activities collection request (ICR), ‘‘NSPS for estimated burden and cost to the public. detailed in the HD National Program. Metal Coil Surface Coating (40 CFR part An Agency may not conduct or sponsor They will also submit reports, conduct 60, subpart TT) (Renewal)’’ (EPA ICR and a person is not required to respond compliance testing, label certified No. 0660.12, OMB Control No. 2060– to a collection of information unless it vehicles, provide final year-end-reports 0107) to the Office of Management and displays a currently valid OMB control and retain records of information. Budget (OMB) for review and approval number. in accordance with the Paperwork Manufacturer test results will be used DATES: Additional comments may be Reduction Act (44 U.S.C. 3501 et seq.). submitted on or before March 27, 2015. by EPA to perform confirmatory testing This is a proposed extension of the ICR, on a sufficient number of engines and ADDRESSES: Submit your comments, which is currently approved through referencing Docket ID Number No. EPA– vehicles to confirm manufacturer- February 28, 2015. Public comments HQ–OAR–2010–0162, to (1) EPA online reported results. EPA’s emission were previously requested via the using www.regulations.gov (our certification programs and NHTSA’s Federal Register (79 FR 30117) on May preferred method), by email to a-and-r- fuel efficiency programs are statutorily 27, 2014, during a 60-day comment [email protected], or by mail to: EPA mandated. EPA does not have discretion period. This notice allows for an Docket Center, Environmental to cease these functions under Section additional 30 days for public comments. Protection Agency, Mail Code 28221T, 206(a) of the CAA (42 U.S.C. 7521). A fuller description of the ICR is given below, including its estimated burden 1200 Pennsylvania Ave. NW., Form Numbers: None. Washington, DC 20460, and (2) OMB via and cost to the public. An Agency may Respondents/affected entities: email to [email protected]. not conduct or sponsor and a person is Address comments to OMB Desk Officer Manufacturers of Medium- and Heavy- not required to respond to a collection for EPA. Duty Engines and Vehicles; owners of of information unless it displays a EPA’s policy is that all comments heavy-duty truck fleets. currently valid OMB control number. received will be included in the public Respondent’s obligation to respond: DATES: Additional comments may be docket without change including any Mandatory (42 U.S.C. 7521) (40 CFR submitted on or before March 27, 2015. personal information provided, unless 1036.730 and 1037.730). ADDRESSES: Submit your comments, the comment includes profanity, threats, Estimated number of respondents: 34 referencing Docket ID Number EPA– information claimed to be Confidential (total). HQ–OECA–2014–0026, to (1) EPA Business Information (CBI) or other online using www.regulations.gov (our information whose disclosure is Frequency of response: Quarterly, preferred method), by email to restricted by statute. Annually, On Occasion. [email protected], or by mail to: EPA FOR FURTHER INFORMATION CONTACT: Total estimated burden: 41,305 hours Docket Center, Environmental Fakhri Hamady, Office of (per year). Burden is defined at 5 CFR Protection Agency, Mail Code 28221T, Transportation and Air Quality, Mail 1320.03(b) 1200 Pennsylvania Ave. NW., Code 6406J, Environmental Protection Total estimated cost: $4,565,145 (per Washington, DC 20460, and (2) OMB via Agency, 2000 Traverwood Dr., Ann _ year), includes $1,458,333 annualized email to oira [email protected]. Arbor, MI 48105; telephone number: Address comments to OMB Desk Officer capital and operation & maintenance 734–214–4330; fax number: 734–214– for EPA. costs. 4869; email address: hamady.fakhri@ EPA’s policy is that all comments epa.gov. Changes in Estimates: There is no received will be included in the public SUPPLEMENTARY INFORMATION: change of hours in the total estimated docket without change including any Supporting documents which explain in burden compared with the ICR currently personal information provided, unless detail the information that the EPA will approved by OMB. the comment includes profanity, threats, information claimed to be Confidential be collecting are available in the public Courtney Kerwin, docket for this ICR. The docket can be Business Information (CBI) or other Acting Director, Collection Strategies viewed online at www.regulations.gov information whose disclosure is Division. or in person at the EPA Docket Center, restricted by statute. [FR Doc. 2015–03890 Filed 2–24–15; 8:45 am] WJC West, Room 3334, 1301 FOR FURTHER INFORMATION CONTACT: Constitution Ave., NW., Washington, BILLING CODE 6560–50–P Patrick Yellin, Monitoring, Assistance, DC. The telephone number for the and Media Programs Division, Office of Docket Center is 202–566–1744. For Compliance, Mail Code 2227A,

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Environmental Protection Agency, 1200 Respondents/affected entities: ADDRESSES: Submit your comments, Pennsylvania Ave. NW., Washington, Owners and operators of primary copper referencing Docket ID No. EPA–HQ– DC 20460; telephone number: (202) smelter. OA–2006–0278 online using 564–2970; fax number: (202) 564–0050; Respondent’s obligation to respond: www.regulations.gov (our preferred email address: [email protected]. Mandatory (40 CFR part 60, subpart TT). method), by email to oei.docket@ Estimated number of respondents: SUPPLEMENTARY INFORMATION: epa.gov, or by mail to: EPA Docket 158 (total). Center, Environmental Protection Supporting documents, which explain Frequency of response: Initially, in detail the information that the EPA Agency, Mail Code 28221T, 1200 occasionally, quarterly, and Pennsylvania Ave. NW., Washington, will be collecting, are available in the semiannually. public docket for this ICR. The docket DC 20460. Total estimated burden: 15,643 hours EPA’s policy is that all comments can be viewed online at (per year). Burden is defined at 5 CFR www.regulations.gov or in person at the received will be included in the public 1320.3(b). docket without change including any EPA Docket Center, EPA William Total estimated cost: $1,863,362 (per Jefferson Clinton West, Room 3334, personal information provided, unless year), includes $331,800 annualized the comment includes profanity, threats, 1301 Constitution Ave. NW., capital or operation & maintenance information claimed to be Confidential Washington, DC. The telephone number costs. Business Information (CBI) or other for the Docket Center is 202–566–1744. Changes in the Estimates: There is no For additional information about EPA’s change in the total estimated respondent information whose disclosure is public docket, visit http://www.epa.gov/ burden compared with the ICR currently restricted by statute. dockets. approved by OMB. FOR FURTHER INFORMATION CONTACT: Teree Henderson, Office of Small Abstract: The New Source Courtney Kerwin, Business Programs, (mail code: 1230T), Performance Standards (NSPS) for Metal Acting Director, Collection Strategies Environmental Protection Agency, 1200 Coil Surface Coating (40 CFR part 60, Division. Pennsylvania Ave. NW., Washington, subpart TT) were: Proposed on January [FR Doc. 2015–03865 Filed 2–24–15; 8:45 am] DC 20460; telephone number: 202–566– 5, 1981; promulgated on , BILLING CODE 6560–50–P 2222; fax number: 202–566–0548; email 1982; and amended on June 24, 1986 address: [email protected]. and , 2000. These regulations SUPPLEMENTARY INFORMATION: apply to the following surface coating ENVIRONMENTAL PROTECTION Supporting documents which explain in lines in the metal coil surface coating AGENCY industry: Each prime coat operation; detail the information that the EPA will each finish coat operation; and each [EPA–HQ–OA–2006–0278; FRL–9923–50– be collecting are available in the public OA] prime and finish coat operation cured docket for this ICR. The docket can be simultaneously, where the finish coat is viewed online at www.regulations.gov Proposed Information Collection or in person at the EPA Docket Center, applied wet-on-wet over the prime coat. Request; Comment Request; These regulations apply to facilities WJC West, Room 3334, 1301 Participation by Disadvantaged Constitution Ave. NW., Washington, commencing construction, modification, Business Enterprises in Procurements or reconstruction after the date of DC. The telephone number for the Under EPA Financial Assistance Docket Center is 202–566–1744. For proposal. This information is being Agreements (Renewal) collected to assure compliance with 40 additional information about EPA’s CFR part 60, subpart TT. AGENCY: Environmental Protection public docket, visit http://www.epa.gov/ dockets. In general, all NSPS standards require Agency (EPA). ACTION: Notice. Pursuant to section 3506(c)(2)(A) of initial notification reports, performance the PRA, EPA is soliciting comments tests, and periodic reports by the SUMMARY: The Environmental Protection and information to enable it to: (i) owners/operators of the affected Agency (EPA) is planning to submit an Evaluate whether the proposed facilities. They are also required to information collection request (ICR), collection of information is necessary maintain records of the occurrence and ‘‘Participation by Disadvantaged for the proper performance of the duration of any startup, shutdown, or Business Enterprises in Procurement functions of the Agency, including malfunction in the operation of an under EPA Financial Assistance whether the information will have affected facility, or any period during Agreements (Renewal)’’ (EPA ICR No. practical utility; (ii) evaluate the which the monitoring system is 2047.05, OMB Control No. 2090–0030) accuracy of the Agency’s estimate of the inoperative. These notifications, reports, to the Office of Management and Budget burden of the proposed collection of and records are essential in determining (OMB) for review and approval in information, including the validity of compliance, and are required of all accordance with the Paperwork the methodology and assumptions used; affected facilities subject to NSPS. Reduction Act (44 U.S.C. 3501 et seq.). (iii) enhance the quality, utility, and Any owner/operator subject to the Before doing so, EPA is soliciting public clarity of the information to be provisions of this part shall maintain a comments on specific aspects of the collected; and (iv) minimize the burden file of these measurements, and retain proposed information collection as of the collection of information on those the file for at least two years following described below. This is a proposed who are to respond, including through the date of such measurements, extension of the ICR, which is currently the use of appropriate automated maintenance reports, and records. All approved through , 2015. An electronic, mechanical, or other reports are sent to the delegated state or Agency may not conduct or sponsor and technological collection techniques or local authority. In the event that there a person is not required to respond to other forms of information technology, is no such delegated authority, the a collection of information unless it e.g., permitting electronic submission of reports are sent directly to the U.S. displays a currently valid OMB control responses. EPA will consider the Environmental Protection Agency (EPA) number. comments received and amend the ICR regional office. DATES: Comments may be submitted on as appropriate. The final ICR package Form Numbers: None. or before April 27, 2015. will then be submitted to OMB for

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review and approval. At that time, EPA ENVIRONMENTAL PROTECTION Compliance, Mail Code 2227A, will issue another Federal Register AGENCY Environmental Protection Agency, 1200 Pennsylvania Ave., NW., Washington, notice to announce the submission of [EPA–HQ–OECA–2014–0096; FRL–9923– the ICR to OMB and the opportunity to 49–OEI] DC 20460; telephone number: (202) submit additional comments to OMB. 564–2970; fax number: (202) 564–0050; email address: [email protected]. Abstract: EPA currently requires an Information Collection Request entity to be certified in order to be Submitted to OMB for Review and SUPPLEMENTARY INFORMATION: considered a Minority Business Approval; Comment Request; NESHAP Supporting documents, which explain Enterprise (MBE) or Women’s Business for Iron and Steel Foundry Area in detail the information that the EPA Enterprise (WBE) under EPA’s Sources (Renewal) will be collecting, are available in the public docket for this ICR. The docket Disadvantaged Business Enterprise AGENCY: Environmental Protection can be viewed online at (DBE) Program. To qualify as an MBE or Agency (EPA). www.regulations.gov or in person at the WBE under EPA’s programs an entity ACTION: Notice. EPA Docket Center, WJC West, Room must establish that it is owned and/or 3334, 1301 Constitution Ave., NW., SUMMARY: The Environmental Protection controlled by socially and economically Washington, DC. The telephone number Agency has submitted an information disadvantaged individuals who are of for the Docket Center is 202–566–1744. collection request (ICR), ‘‘NESHAP for good character and are citizens of the For additional information about EPA’s Iron and Steel Foundry Area Sources United States. The EPA DBE Program public docket, visit: http:// (40 CFR part 63, subpart ZZZZZ) also includes contract administration www.epa.gov/dockets. (Renewal)’’ (EPA ICR No. 2267.04, OMB requirements designed to prevent unfair Abstract: The NESHAP for Iron and Control No. 2060–0605), to the Office of practices that adversely affect DBEs. Steel Foundry Area Sources applies to Management and Budget (OMB) for either owners or operators of any Form Numbers: 6100–1a, 6100–1b, review and approval in accordance with existing or new iron or steel foundry 6100–1c, 6100–1d, 6100–1e, 6100–1f, the Paperwork Reduction Act (44 U.S.C. that is an area source of hazardous air 6100–1g, 6100–1h, 6100–1i, 6100–2, 3501 et seq). This is a proposed pollutant (HAP) emissions. Research 6100–3, and 6100–4. extension of the ICR, which is currently and development facilities are not approved through February 28, 2015. Respondents/Affected Entities: Private covered by the rule. Foundries covered Public comments were previously Sector. by the rule would not be required to requested via the Federal Register (79 Respondent’s Obligation to Respond: obtain a Title V operating permit. Small FR 30117) on May 27, 2014, during a 60- iron and steel foundries are required to Required to obtain or retain a benefit per day comment period. This notice allows comply with pollution prevention 40 CFR 33, Subpart B and 40 CFR 33, for an additional 30 days for public management practices for scrap Subpart E. comments. A fuller description of the materials, the removal of mercury Estimated Number of Respondents: ICR is given below, including its switches, and binder formulations. 1,865 (total). estimated burden and cost to the public. Large iron and steel foundries are An Agency may not conduct or sponsor, Frequency of Response: Certification: required to comply with the same and a person is not required to respond On occasion. pollution prevention management to, a collection of information unless it practices as small foundries in addition Total Estimated Burden: 11,614 hours displays a currently valid OMB control to emissions limitations for melting (per year). Burden is defined at 5 CFR number. 1320.03(b) furnaces and foundry operations. DATES: Additional comments may be Owners or operators must submit an Total Estimated Cost: $372,817.43 submitted on or before March 27, 2015. initial notification report that the (per year), includes $0 annualized ADDRESSES: Submit your comments, facility is subject to the rule, notification capital or operation & maintenance referencing Docket ID Number EPA– of performance test, notification of costs. HQ–OECA–2014–0096, to: (1) EPA compliance status (including results of Changes in the Estimates: There is an online using www.regulations.gov (our performance tests and other initial increase of $10,104 in the total preferred method), by email to compliance demonstrations), and the estimated cost which reflects updated [email protected], or by mail to: EPA semiannual compliance report. wage rates as determined by the Docket Center, Environmental Form Numbers: None. Department of Labor. There are no Protection Agency, Mail Code 28221T, Respondents/affected entities: Iron changes to the total estimated 1200 Pennsylvania Ave., NW., and steel foundries. respondent burden. EPA is currently Washington, DC 20460; and (2) OMB via Respondent’s obligation to respond: email to [email protected]. performing a comprehensive review of Mandatory (40 CFR part 63, subpart Address comments to OMB Desk Officer the DBE Rule which is scheduled to be ZZZZZ). for EPA. Estimated number of respondents: completed by September 30, 2015. The EPA’s policy is that all comments ICR will be revised in accordance with 427 (total). received will be included in the public Frequency of response: Initially, lessons learned from this review with a docket without change including any occasionally and semiannually. focus on maximizing practical utility personal information provided, unless Total estimated burden: 7,893 hours and minimizing public burden the comment includes profanity, threats, (per year). Burden is defined at 5 CFR associated with collection. information claimed to be Confidential 1320.3(b). Dated: , 2015. Business Information (CBI) or other Total estimated cost: $772,735 (per Kimberly Patrick, information whose disclosure is year), which includes no annualized restricted by statute. Director, Office of Small Business Programs. capital or operation & maintenance FOR FURTHER INFORMATION CONTACT: costs. [FR Doc. 2015–03918 Filed 2–24–15; 8:45 am] Patrick Yellin, Monitoring, Assistance, Changes in the Estimates: The BILLING CODE 6560–50–P and Media Programs Division, Office of increase in burden from the most-

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recently approved ICR is due to several EPA’s policy is that all comments ICR Number 1856.06 (existing rule) and changes. This ICR adds burden received will be included in the public EPA ICR Number 1856.08 (2011 requirements to repeat certain docket without change including any amendment). In this ICR renewal, we performance tests (PM tests for large personal information provided, unless have combined the two ICRs to reflect foundries and opacity tests for all the comment includes profanity, threats, current rule requirements and removed foundries), and corrects the average information claimed to be Confidential duplicate items. In addition, this ICR number of respondents per year. Business Information (CBI) or other renewal reflects a decrease in the information whose disclosure is number of respondents from two to one Courtney Kerwin, restricted by statute. since EPA ICR Number 1856.06. We Acting Director, Collection Strategies have assumed that there are an Division. FOR FURTHER INFORMATION CONTACT: Patrick Yellin, Monitoring, Assistance, estimated one respondent subject to [FR Doc. 2015–03902 Filed 2–24–15; 8:45 am] and Media Programs Division, Office of NSPS Subpart TTT since rule is still in BILLING CODE 6560–50–P Compliance, Mail Code 2227A, effect. These changes result in an Environmental Protection Agency, 1200 apparent decrease in labor hours and costs. ENVIRONMENTAL PROTECTION Pennsylvania Ave., NW., Washington, AGENCY DC 20460; telephone number: (202) Courtney Kerwin, 564–2970; fax number: (202) 564–0050; Acting Director, Collection Strategies [EPA–HQ–OECA–2014–0068; FRL–9923– email address: [email protected]. 46–OEI] Division. SUPPLEMENTARY INFORMATION: [FR Doc. 2015–03901 Filed 2–24–15; 8:45 am] Information Collection Request Supporting documents which explain in BILLING CODE 6560–50–P Submitted to OMB for Review and detail the information that the EPA will Approval; Comment Request; NESHAP be collecting are available in the public for Primary Lead Smelters (Renewal) docket for this ICR. The docket can be ENVIRONMENTAL PROTECTION viewed online at www.regulations.gov AGENCY AGENCY: Environmental Protection or in person at the EPA Docket Center, Agency (EPA). EPA West, Room 3334, 1301 [EPA–HQ–OPP–2014–0446; FRL–9922–66– OEI] ACTION: Notice. Constitution Ave., NW., Washington, DC. The telephone number for the Information Collection Request SUMMARY: The Environmental Protection Docket Center is 202–566–1744. For Agency has submitted an information Submitted to OMB for Review and additional information about EPA’s Approval; Comment Request; collection request (ICR), ‘‘NESHAP for public docket, visit http://www.epa.gov/ Primary Lead Smelters (40 CFR part 63, Certification of Pesticide Applicators dockets. (Renewal) subpart TTT) (Renewal)’’ (EPA ICR No. Abstract: The NESHAP is applicable 1856.10, OMB Control No. 2060–0414) to primary lead processing facilities that AGENCY: Environmental Protection to the Office of Management and Budget are engaged in the production of lead Agency (EPA). (OMB) for review and approval in metal from lead sulfide ore concentrate. ACTION: Notice. accordance with the Paperwork The final amendment establishes new Reduction Act (44 U.S.C. 3501 et seq.). emission limits, revises testing, SUMMARY: The Environmental Protection This is a proposed extension of the ICR, reporting, and recordkeeping Agency has submitted an information which is currently approved through requirements. Sources subject to the collection request (ICR), ‘‘Certification February 28, 2015. Public comments NESHAP are required to comply with of Pesticide Applicators (Renewal)’’ were previously requested via the the stack testing, monitoring, reporting, (EPA ICR No. 0155.12, OMB Control No. Federal Register (79 FR 30117) on May and recordkeeping requirements of the 2070–0029) to the Office of Management 27, 2014 during a 60-day comment standard. and Budget (OMB) for review and period. This notice allows for an Form Numbers: None. approval in accordance with the additional 30 days for public comments. Respondents/affected entities: Paperwork Reduction Act (44 U.S.C. A fuller description of the ICR is given Owners and operators of primary lead 3501 et seq.). This is a proposed below, including its estimated burden smelting facilities. revision of the ICR, which is currently and cost to the public. An Agency may Respondent’s obligation to respond: approved through February 28, 2015. not conduct or sponsor and a person is Mandatory (40 CFR part 63, subpart Public comments were previously not required to respond to a collection TTT). requested via the Federal Register (79 of information unless it displays a Estimated number of respondents: 1 FR 43039) on , 2014 during a 60- currently valid OMB control number. (total). day comment period. This notice allows DATES: Additional comments may be Frequency of response: Initially, for an additional 30 days for public submitted on or before March 27, 2015. quarterly and semiannually. comments. A fuller description of the ADDRESSES: Submit your comments, Total estimated burden: 6,265 hours ICR is given below, including its referencing Docket ID Number EPA– (per year). Burden is defined at 5 CFR estimated burden and cost to the public. HQ–OECA–2014–0068, to (1) EPA 1320.3(b). An Agency may not conduct or sponsor online using www.regulations.gov (our Total estimated cost: $782,379 (per and a person is not required to respond preferred method), by email to year), includes $169,000 annualized to a collection of information unless it [email protected], or by mail to: EPA capital or operation & maintenance displays a currently valid OMB control Docket Center, Environmental costs. number. Protection Agency, Mail Code 28221T, Changes in the Estimates: There is an DATES: Additional comments may be 1200 Pennsylvania Ave., NW., overall decrease in the respondent and submitted on or before March 27, 2015. Washington, DC 20460, and (2) OMB via Agency burden and cost from the OMB ADDRESSES: Submit your comments, email to [email protected]. Inventory of Approved Burdens. The referencing Docket ID Number EPA– Address comments to OMB Desk Officer currently approved burden is the HQ–OPP–2014–0446, to (1) EPA online for EPA. cumulative burden and cost from EPA using www.regulations.gov (our

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preferred method), by email to OPP_ security requirements governing all FOR FURTHER INFORMATION CONTACT: Any [email protected], or by mail to: EPA Privacy Act database systems at EPA. member of the public wishing further Docket Center, Environmental Form Numbers: EPA Form 8500–17 information regarding this meeting may Protection Agency, Mail Code 28221T, and EPA Form 8500–17–N. contact Rita Cestaric, Designated 1200 Pennsylvania Ave. NW., Respondents/affected entities: Federal Officer (DFO), by email at Washington, DC 20460, and (2) OMB via Registrants, commercial and private [email protected]. General email to [email protected]. applicators, and dealers of restricted use information on the GLRI and the Board Address comments to OMB Desk Officer pesticides; Indian tribes and State can be found at http://www.glri.us under for EPA. regulators. the ‘‘Public Engagement’’ tab. EPA’s policy is that all comments Respondent’s obligation to respond: SUPPLEMENTARY INFORMATION: received will be included in the public Mandatory (FIFRA Sections 3 & 11). Background: The Board is a federal docket without change including any Estimated number of respondents: advisory committee chartered under the personal information provided, unless 421,000 (total). Federal Advisory Committee Act the comment includes profanity, threats, Frequency of response: On occasion. (FACA), Public Law 92–463. EPA information claimed to be Confidential Total estimated burden: 1,320,254 established the Board in 2013 to provide Business Information (CBI) or other hours (per year). Burden is defined at 5 independent advice to the EPA information whose disclosure is CFR 1320.03(b). Administrator in her capacity as Chair restricted by statute. Total estimated cost: $42,637,865 (per of the federal Great Lakes Interagency year), includes $0 annualized capital or FOR FURTHER INFORMATION CONTACT: Lily Task Force (IATF). The Board conducts operation & maintenance costs. G. Negash, Office of Pesticide Programs, business in accordance with FACA and Changes in the Estimates: There is a Field & External Affairs Division, 7605P, related regulations. decrease of 415 hours in the total Environmental Protection Agency, 1200 The Board consists of 16 members estimated respondent burden compared Pennsylvania Ave. NW., Washington, appointed by EPA’s Administrator in with the ICR currently approved by DC 20460; telephone number: 703–347– her capacity as IATF Chair. Members OMB. This net decrease is due to EPA’s 8515; fax number: 703–305–5884; email serve as representatives of state, local updates to burden estimates, addition of address: [email protected]. and tribal government, environmental a recently-implemented optional, groups, agriculture, business, SUPPLEMENTARY INFORMATION: voluntary offering, and a change in the transportation, foundations, educational Supporting documents, which explain number of entities whose certification institutions, and as technical experts. in detail the information that the EPA programs are directly overseen by EPA. Availability of Meeting Materials: The will be collecting, are available in the This change is both an adjustment and agenda and other materials in support of public docket for this ICR. The docket the result of a program change. the teleconference will be available on can be viewed online at Courtney Kerwin, the GLRI Web site at http://www.glri.us www.regulations.gov or in person at the under the ‘‘Public Engagement’’ tab in EPA Docket Center, WJC West, Room Acting Director, Collection Strategies Division. advance of the teleconference. 3334, 1301 Constitution Ave. NW., Procedures for Providing Public Input: [FR Doc. 2015–03864 Filed 2–24–15; 8:45 am] Washington, DC. The telephone number Federal advisory committees provide for the Docket Center is 202–566–1744. BILLING CODE 6560–50–P independent advice to federal agencies. For additional information about EPA’s Members of the public can submit public docket, visit http://www.epa.gov/ relevant comments for consideration by dockets. ENVIRONMENTAL PROTECTION AGENCY the Board. Input from the public to the Abstract: The Environmental Board will have the most impact if it Protection Agency (EPA) administers [FRL–9923–51–OA] provides specific information for the certification programs for pesticide Board to consider. Members of the applicators under section 11 of the Notification of a Public Teleconference public wishing to provide comments Federal Insecticide, Fungicide, and of the Great Lakes Advisory Board should contact the DFO directly. Rodenticide Act (FIFRA). FIFRA allows Oral Statements: In general, EPA to classify a pesticide as ‘‘restricted AGENCY: Environmental Protection individuals or groups requesting an oral use’’ if the pesticide meets certain Agency, (EPA). presentation at this public meeting will toxicity or risk criteria. Due to the ACTION: Notice. be limited to three minutes per speaker, potential of improperly applied subject to the number of people wanting restricted use pesticides (RUPs) to harm SUMMARY: The Environmental Protection to comment. Interested parties should human health or the environment, Agency (EPA) announces a contact the DFO in writing (preferably pesticides under this classification may teleconference of the Great Lakes via email) at the contact information be purchased and applied only by Advisory Board (Board). The purpose of noted above by , 2015 to be ‘‘certified applicators’’ or by persons this teleconference is to discuss the placed on the list of public speakers for under the direct supervision of certified Great Lakes Restoration Initiative the meeting. applicators. The completion of a covering (GLRI) FY15–19 and other Written Statements: Written certification program or test is required relevant matters. statements must be received by March in order to become a certified DATES: The teleconference will be held 17, 2015 so that the information may be applicator. Thursday, , 2015 from 9 a.m. made available to the Board for Personally identifying information to 11 a.m. Central Time, 10 a.m. to 12 consideration. Written statements (PII) is collected in the process of p.m. Eastern Time. An opportunity will should be supplied to the DFO in the certifying individuals to apply RUPs as be provided to the public to comment. following formats: One hard copy with private or commercial applicators. This ADDRESSES: The public teleconference original signature and one electronic information is collected to differentiate will be held by teleconference only. The copy via email. Commenters are between individuals sharing the same teleconference number is: (877) 744– requested to provide two versions of names and is subject to Agency-wide 6030; Participant code: 83810127. each document submitted: one each

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with and without signatures because expects to issue orders terminating these I. General Information only documents without signatures may uses. The Agency will consider A. Does this action apply to me? be published on the GLRI Web page. withdrawal requests postmarked no Accessibility: For information on later than March 27, 2015. Comments This action is directed to the public access or services for individuals with must be received on or before March 27, in general. Although this action may be disabilities, please contact the DFO at 2015, for those registrations where the of particular interest to persons who the phone number or email address 180-day comment period has been produce or use pesticides, the Agency noted above, preferably at least seven waived. has not attempted to describe all the days prior to the meeting, to give EPA specific entities that may be affected by ADDRESSES: Submit your comments, as much time as possible to process identified by docket identification (ID) this action. your request. number EPA–HQ–OPP–2014–0888, by B. What should I consider as I prepare Dated: February 12, 2015. one of the following methods: my comments for EPA? Cameron Davis, • Federal eRulemaking Portal: http:// Senior Advisor to the Administrator. www.regulations.gov. Follow the online 1. Submitting CBI. Do not submit this information to EPA through [FR Doc. 2015–03916 Filed 2–24–15; 8:45 am] instructions for submitting comments. regulations.gov or email. Clearly mark BILLING CODE 6560–50–P Do not submit electronically any information you consider to be the part or all of the information that Confidential Business Information (CBI) you claim to be CBI. For CBI ENVIRONMENTAL PROTECTION or other information whose disclosure is information in a disk or CD–ROM that AGENCY restricted by statute. you mail to EPA, mark the outside of the • disk or CD–ROM as CBI and then [EPA–HQ–OPP–2014–0888; FRL–9921–65] Mail: OPP Docket, Environmental Protection Agency Docket Center (EPA/ identify electronically within the disk or CD–ROM the specific information that Notice of Receipt of Requests for DC), (28221T), 1200 Pennsylvania Ave. is claimed as CBI. In addition to one Amendments To Terminate Uses in NW., Washington, DC 20460–0001. complete version of the comment that Certain Pesticide Registrations Written Withdrawal Request, ATTN: Christopher Green, Information includes information claimed as CBI, a AGENCY: Environmental Protection Technology and Resources Management copy of the comment that does not Agency (EPA). Division (7502P). contain the information claimed as CBI must be submitted for inclusion in the ACTION: Notice. • Hand Delivery: To make special public docket. Information so marked arrangements for hand delivery or SUMMARY: In accordance with the will not be disclosed except in delivery of boxed information, please Federal Insecticide, Fungicide, and accordance with procedures set forth in follow the instructions at http:// Rodenticide Act (FIFRA), EPA is issuing 40 CFR part 2. www.epa.gov/dockets/contacts.html. a notice of receipt of request for 2. Tips for preparing your comments. amendments by registrants to terminate Additional instructions on commenting or visiting the docket, along with more When preparing and submitting your uses in certain pesticide registrations. comments, see the commenting tips at FIFRA provides that a registrant of a information about dockets generally, is available at http://www.epa.gov/ http://www.epa.gov/dockets/ pesticide product may at any time comments.html. request that any of its pesticide dockets. registrations be amended to terminate FOR FURTHER INFORMATION CONTACT: II. What action is the agency taking? one or more uses. FIFRA further Mark Hartman, Information Technology This notice announces receipt by the provides that, before acting on the and Resources Management Division Agency of applications from registrants request, EPA must publish a notice of (7502P), Office of Pesticide Programs, to terminate uses in certain pesticide receipt of any request in the Federal Environmental Protection Agency, 1200 products registered under FIFRA section Register. Pennsylvania Ave. NW., Washington, 3 (7 U.S.C. 136a) or 24(c) (7 U.S.C. DATES: Unless a request is withdrawn by DC 20460–0001; main telephone 136v(c)). These registrations are listed in March 27, 2015 for registrations for number: (703) 305–5440; email address: Table 1 of this unit by registration which the registrant requested a waiver [email protected]. number, product name, active of the 180-day comment period, EPA SUPPLEMENTARY INFORMATION: ingredient, and specific uses terminated.

TABLE 1—REQUESTS FOR AMENDMENTS TO TERMINATE USES IN CERTAIN PESTICIDE REGISTRATIONS

EPA registration no. Product name Active ingredient Use to be terminated

352–690 ...... DuPont Mankocide Fungicide/ Mancozeb & Copper hydroxide ...... Turf, Ornamental plants & Non-bearing Bactericide. citrus. 464–660 ...... Bioban CS–1135 Antimicrobial Agent .... 4,4-Dimethyloxazolidine ...... Paints, Inks, Emulsions, Adhesives (Non-Food Contact), Metalworking Fluids, Die-Cast Lubricants, Mold-Re- lease Agents, Consumer, Household & Institutional Products, Mineral Slurries & Surfactants. 1624–120 ...... Borogard ZB ...... Zinc borate ...... Paints and coatings. 39967–118 ...... Veriguard OD...... Dazomet & o-Phenylphenol (No Inert Arts, Crafts Latex, Finger Paints, Paints, use). Coating, Inks & Dyes. 71368–61 ...... Imidacloprid Technical ...... Imidacloprid ...... Terrestrial Nonfood Crop, Domestic In- door & Outdoor: Companion Animals. 81598–9 ...... Rotam Methomyl Technical ...... Methomyl ...... Barley, Oats & Rye. 83100–27 ...... Rotam Methomyl 29LV Insecticide ...... Methomyl ...... Barley, Oats & Rye.

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TABLE 1—REQUESTS FOR AMENDMENTS TO TERMINATE USES IN CERTAIN PESTICIDE REGISTRATIONS—Continued

EPA registration no. Product name Active ingredient Use to be terminated

83100–28 ...... Rotam Methomyl 90SP Insecticide ...... Methomyl ...... Barley, Oats & Rye.

Unless a request is withdrawn by the desiring the retention of a use should registrants of the products in Table 1 of registrant within 30 days of publication contact the applicable registrant directly this unit, in sequence by EPA company of this notice, EPA expects to issue during this 30-day period. number: orders terminating all of these uses. Table 2 of this unit includes the Users of these pesticides or anyone else names and addresses of record for all

TABLE 2—REGISTRANTS REQUESTING AMENDMENTS TO TERMINATE USES IN CERTAIN PESTICIDE REGISTRATIONS

EPA Company No. Company name and address

352 ...... E. I. Du Pont De Nemours and Company, 1007 Market Street, Wilmington, DE 19898–0001. 464 ...... The Dow Chemical Co., 1500 E. Lake Cook Road, Buffalo Grove, IL 60089. 1624 ...... U.S. Borax, Inc., Agent Name: Delta Analytical Corporation, 12510 Prosperity Drive, Suite 160, Silver Spring, MD 20904. 39967 ...... Lanxess Corporation, 111 RIDC West Park Drive, Pittsburgh, PA 15275–1112. 71368 ...... Nufarm, Inc., 4020 Aerial Center Parkway, Suite 101, Morrisville, NC 27560. 81598 ...... Rotam Limited, Agent Name: Wagner Regulatory Associates, Inc., P.O. Box 640, Hockessin, DE 19707. 83100 ...... Rotam Agrochemical Company, Ltd., Agent Name: Wagner Regulatory Associates, Inc., P.O. Box 640, Hockessin, DE 19707.

III. What is the agency’s authority for Dated: February 10, 2015. information collected; ways to minimize taking this action? Mark A. Hartman, the burden of the collection of Director, Information Technology and information on the respondents, Section 6(f)(1) of FIFRA (7 U.S.C. Resources Management Division, Office of including the use of automated 136d(f)(1)) provides that a registrant of Pesticide Programs. collection techniques or other forms of a pesticide product may at any time [FR Doc. 2015–03926 Filed 2–24–15; 8:45 am] information technology; and ways to request that any of its pesticide BILLING CODE 6560–50–P further reduce the information registrations be amended to terminate collection burden on small business one or more uses. FIFRA further concerns with fewer than 25 employees. provides that, before acting on the FEDERAL COMMUNICATIONS The FCC may not conduct or sponsor request, EPA must publish a notice of COMMISSION a collection of information unless it displays a currently valid OMB control receipt of any such request in the [OMB 3060–1154] Federal Register. Thereafter, the EPA number. No person shall be subject to Administrator may approve such a Information Collection Being Reviewed any penalty for failing to comply with request. by the Federal Communications a collection of information subject to the Commission PRA that does not display a valid OMB IV. Procedures for Withdrawal of control number. Request AGENCY: Federal Communications DATES: Written PRA comments should Commission. Registrants who choose to withdraw a be submitted on or before April 27, ACTION: Notice and request for 2015. If you anticipate that you will be request for use termination must submit comments. submitting comments, but find it such withdrawal in writing to the difficult to do so within the period of person listed under FOR FURTHER SUMMARY: As part of its continuing effort time allowed by this notice, you should INFORMATION CONTACT, postmarked to reduce paperwork burdens, and as required by the Paperwork Reduction advise the contact listed below as soon before March 27, 2015, for the requests as possible. that the registrants requested to waive Act (PRA) of 1995 (44 U.S.C. 3501– ADDRESSES: Direct all PRA comments to the 180-day comment period. This 3520), the Federal Communications Commission (FCC or Commission) Cathy Williams, FCC, via email PRA@ written withdrawal of the request for fcc.gov and to [email protected]. use termination will apply only to the invites the general public and other Federal agencies to take this FOR FURTHER INFORMATION CONTACT: For applicable FIFRA section 6(f)(1) request opportunity to comment on the additional information about the listed in this notice. If the products have following information collections. information collection, contact Cathy been subject to a previous use Comments are requested concerning: Williams at (202) 418–2918. termination action, the effective date of Whether the proposed collection of SUPPLEMENTARY INFORMATION: termination and all other provisions of information is necessary for the proper OMB Control Number: 3060–1154. any earlier termination action are performance of the functions of the Title: Commercial Advertisement controlling. Commission, including whether the Loudness Mitigation (‘‘CALM’’) Act; Authority: 7 U.S.C. 136 et seq. information shall have practical utility; General Waiver Requests. the accuracy of the Commission’s Form Number: Not applicable. burden estimate; ways to enhance the Type of Review: Revision of a quality, utility, and clarity of the currently approved collection.

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Respondents: Business or other for- whether the proposed collection of OMB Control Number: 3060–0806. profit entities. information is necessary for the proper Title: Universal Service—Schools and Number of Respondents and performance of the functions of the Libraries Universal Service Program, Responses: 20 respondents and 20 Commission, including whether the FCC Forms 470 and 471. responses. information shall have practical utility; Form Numbers: FCC Forms 470 and Frequency of Response: On occasion the accuracy of the Commission’s 471. reporting requirement. burden estimate; ways to enhance the Type of Review: Extension of a Estimated Time per Response: 20 quality, utility, and clarity of the currently approved collection. hours. information collected; ways to minimize Respondents: Not-for-profit Total Annual Burden: 400 hours. the burden of the collection of institutions, and state, local or tribal Total Annual Cost to Respondents: information on the respondents, government public institutions. $12,000. including the use of automated Number of Respondents and Obligation to Respond: Required to collection techniques or other forms of Responses: 82,000 respondents, 82,000 obtain benefits. The statutory authority information technology; and ways to responses. for this collection of information is further reduce the information Estimated Time per Response: 3 hours contained in 47 U.S.C. 151, 152, 154(i), collection burden on small business to fill out FCC Form 470 and 4 hours to 303(r) and 621. concerns with fewer than 25 employees. fill out the FCC Form 471 plus 0.5 hours Nature and Extent of Confidentiality: The FCC may not conduct or sponsor a for each form for the ten-year There is no assurance of confidentiality collection of information unless it recordkeeping requirement. provided to respondents, but, in displays a currently valid OMB control Frequency of Response: On occasion, accordance with the Commission’s number. No person shall be subject to annual reporting, and recordkeeping rules, 47 CFR 0.459, a station/MVPD any penalty for failing to comply with requirements. Obligation to Respond: Required to may request confidential treatment for a collection of information subject to the obtain or retain benefits. Statutory financial information supplied with its PRA that does not display a valid OMB authority for this information collection waiver request. control number. is contained in 47 U.S.C.s 151—154, Privacy Impact Assessment: No DATES: Written comments should be 201—205, 218—220, 254, 303(r), 403, impact(s). submitted on or before March 27, 2015. and 405. Needs and Uses: TV stations and If you anticipate that you will be Total Annual Burden: 334,000 hours. MVPDs may file general waiver requests submitting comments, but find it Total Annual Cost: No cost. to request waiver of the rules difficult to do so within the period of Privacy Act Impact Assessment: No implementing the CALM Act for good time allowed by this notice, you should impact(s). cause. The information obtained by advise the contacts below as soon as Nature and Extent of Confidentiality: general waiver requests will be used by possible. There is no assurance of confidentiality Commission staff to evaluate whether ADDRESSES: Direct all PRA comments to provided to respondents concerning this grant of a waiver would be in the public information collection. If the interest. Nicholas A. Fraser, OMB, via email [email protected]; and Commission requests applicants to Federal Communications Commission. to Nicole Ongele, FCC, via email PRA@ submit information that the respondents Marlene H. Dortch, fcc.gov and to [email protected]. believe is confidential, respondents may Secretary, Office of the Secretary, Office of Include in the comments the OMB request confidential treatment of their the Managing Director. control number as shown in the information under 47 CFR 0.459 of the [FR Doc. 2015–03844 Filed 2–24–15; 8:45 am] SUPPLEMENTARY INFORMATION section Commission’s rules. Needs and Uses: FCC Forms 470 and BILLING CODE 6712–01–P below. 471 collect the information the FOR FURTHER INFORMATION CONTACT: For Commission and the Universal Service FEDERAL COMMUNICATIONS additional information or copies of the Administrative Company (USAC) need COMMISSION information collection, contact Nicole to administer the schools and libraries Ongele at (202) 418–2991. To view a universal service mechanism [3060–0806] copy of this information collection (informally known as the E-rate request (ICR) submitted to OMB: (1) Go Information Collection Being program), determine if entities are to the Web page , the Office of Management and Budget schools and libraries support (2) look for the section of the Web page mechanism, determine the amount of AGENCY: Federal Communications called ‘‘Currently Under Review,’’ (3) support entities seeking funding are Commission. click on the downward-pointing arrow eligible to receive, determine if entities in the ‘‘Select Agency’’ box below the ACTION: Notice and request for are complying with the Commission’s ‘‘Currently Under Review’’ heading, (4) comments. rules, and prevent waste, fraud, and select ‘‘Federal Communications abuse. The forms collect specific SUMMARY: As part of its continuing effort Commission’’ from the list of agencies information to establish that to reduce paperwork burdens, and as presented in the ‘‘Select Agency’’ box, economically disadvantaged schools required by the Paperwork Reduction (5) click the ‘‘Submit’’ button to the and rural schools receive a greater share Act (PRA) of 1995 (44 U.S.C. 3501– right of the ‘‘Select Agency’’ box, (6) of E-rate program funding based on the 3520), the Federal Communications when the list of FCC ICRs currently percentage of students eligible in that Commission (FCC or Commission) under review appears, look for the OMB school district for the national school invites the general public and other control number of this ICR and then lunch program (NSLP) (or other Federal agencies to take this click on the ICR Reference Number. A acceptable indicators of economic opportunity to comment on the copy of the FCC submission to OMB disadvantage determined by the following information collections. will be displayed. Commission). The student poverty level Comments are requested concerning: SUPPLEMENTARY INFORMATION: needed to determine discounts for

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libraries are based on the NSLP Dated: February 20, 2015. Proposed Project information for the school district Karen V. Gregory, State Health Department Access to nearby. In the E-rate Modernization Secretary. Electronic Health Record Data from Order, among other things, the [FR Doc. 2015–03893 Filed 2–24–15; 8:45 am] Healthcare Facilities during a Commission took steps to streamline the BILLING CODE 6730–01–P Healthcare-Associated Infection application process, provide exemptions Outbreak: A Retrospective from competitive bidding, implement a Assessment—New—National Center for ‘‘district-wide’’ discount calculation Emerging and Zoonotic Infections mechanism, establish budgets for DEPARTMENT OF HEALTH AND Diseases (NCEZID), Centers for Disease internal broadband connectivity, and HUMAN SERVICES Control and Prevention (CDC). extend the document retention period to ten years. FCC Forms 470 and 471 Centers for Disease Control and Background and Brief Description Prevention execute these changes for the E-rate Two years ago, contaminated steroid application process and enable the injections caused the largest fungal Commission to collect data to facilitate [30Day–15–15FY] meningitis outbreak in the United measurement of progress towards the States, affecting 20 states and resulting adopted performance goals established Agency Forms Undergoing Paperwork Reduction Act Review in 751 infections and 64 deaths. The in the E-rate Modernization Order. subsequent healthcare-associated In addition, this collection is The Centers for Disease Control and infection (HAI) outbreak response necessary to allow the Commission to Prevention (CDC) has submitted the required significant collaboration evaluate the extent to which the E-rate following information collection request between healthcare providers and program is meeting the statutory to the Office of Management and Budget facilities and public health departments objectives specified in section 254(h) of (OMB) for review and approval in (HDs). Following the outbreak response, the 1996 Act. accordance with the Paperwork HDs reported that various challenges Federal Communications Commission. Reduction Act of 1995. The notice for with access to patient health Marlene H. Dortch, the proposed information collection is information in electronic health records Secretary, Office of the Secretary, Office of published to obtain comments from the (EHRs) hindered the efficient and rapid the Managing Director. public and affected agencies. identification of potential fungal [FR Doc. 2015–03845 Filed 2–24–15; 8:45 am] Written comments and suggestions meningitis cases in healthcare facilities. BILLING CODE 6712–01–P from the public and affected agencies The fungal meningitis outbreak concerning the proposed collection of experience highlights the need to better information are encouraged. Your understand the landscape of granting FEDERAL MARITIME COMMISSION comments should address any of the and using access to EHRs for outbreak following: (a) Evaluate whether the investigations. Notice of Agreement Filed proposed collection of information is The Division of Healthcare Quality The Commission hereby gives notice necessary for the proper performance of Promotion (a component of NCEZID), of the filing of the following agreement the functions of the agency, including the Office for State, Tribal, Local and under the Shipping Act of 1984. whether the information will have Territorial Support, and the Office of Interested parties may submit comments practical utility; (b) Evaluate the Public Health Scientific Services at the on the agreement to the Secretary, accuracy of the agencies estimate of the Centers for Disease Control and Federal Maritime Commission, burden of the proposed collection of Prevention (CDC) are partnering with Washington, DC 20573, within twelve information, including the validity of Association of State and Territorial days of the date this notice appears in the methodology and assumptions used; Health Officials and The Keystone the Federal Register. A copy of the (c) Enhance the quality, utility, and Center to evaluate the challenges agreement is available through the clarity of the information to be surrounding HDs access to EHRs in Commission’s Web site (www.fmc.gov) collected; (d) Minimize the burden of healthcare facilities’ during an HAI or by contacting the Office of the collection of information on those outbreak investigation. The evaluation Agreements at (202) 523–5793 or who are to respond, including through seeks to compile information across [email protected]. the use of appropriate automated, states from experts in the public and Agreement No.: 012288–001. electronic, mechanical, or other private sector to assess experiences, Title: Hoegh/NYK Atlantic/Pacific technological collection techniques or identify issues, and seek Space Charter Agreement. other forms of information technology, recommendations for improving HDs Parties: Hoegh Autoliners AS and e.g., permitting electronic submission of access to EHRs during future outbreaks. Nippon Yusen Kaisha. responses; and (e) Assess information In addition to a study report, the Filing Party: Joshua Stein, Esq.; Cozen collection costs. insights from healthcare facility staff O’Connor; 1627 I Street NW., Suite To request additional information on will be used to build a toolkit to help 1100; Washington, DC 20006. the proposed project or to obtain a copy state HDs understand the perspectives Synopsis: The amendment adds the of the information collection plan and and needs of the healthcare facilities trade between the U.S. West Coast, on instruments, call (404) 639–7570 or related to EHR access. The toolkit will the one hand, and China, South Korea, send an email to [email protected]. Written provide perceived barriers, and Japan, on the other hand, to the comments and/or suggestions regarding recommendations to overcome those geographic scope of the agreement, the items contained in this notice barriers, best practices that support EHR revises the duration of the agreement, should be directed to the Attention: access, and practical tools such as changes the name of the agreement to CDC Desk Officer, Office of Management templates, memorandums of reflect the new geographic scope, and and Budget, Washington, DC 20503 or understanding (MOUs), and policies. restates the agreement. by fax to (202) 395–5806. Written The toolkit will be distributed to HDs, By Order of the Federal Maritime comments should be received within 30 healthcare facilities, and other Commission. days of this notice. stakeholders to support awareness and

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strengthen relationships between public states chosen for Phase I and Phase II investigation. In hospitals, the health and clinical care. data collections are: Florida, Indiana, evaluation team will be conducting These activities will facilitate the Kansas, Maryland, Michigan, interviews with staff members serving quick and efficient identification of Minnesota, New Hampshire, New in one of three roles: Infection cases in future outbreaks and protect the Jersey, New York, North Carolina, Ohio, preventionist, informatics director, and health and safety of patients. This Oregon, Tennessee, Texas, and Virginia. other as referred (e.g. privacy officer, request corresponds with an initial Data will be collected from 150 hospital risk management, etc.). In clinics, the ongoing data collection (Phase I), State and clinic staff in their official evaluation team will be conducting Health Department Access to Electronic capacities using one 30-minute interviews with the clinic director, and Health Record Data during an Outbreak: telephone interview per person and other as referred (e.g. patient records A Retrospective Assessment, which limiting interviews to two hospitals and manager, etc.) involves interviews with four types of two clinics per state. Hospital The maximum estimates for burden Health Department staff: Healthcare- participants include: Infection hours are derived from interview guide associated infection coordinator, preventionists, informatics directors, pilot testing and data collection with epidemiologist, legal counsel, and and others as referred. Clinic HDs during Phase I data collection, in informatics director (OMB Number participants include: Clinic directors which interviews took 27 minutes. The 0920–0879, approved on 04/24/2014). and others as referred. total annual burden is 90 hours. Phase I data analysis is ongoing. The focus of this OMB request is to The data to be collected do not For Phase II of this study, we will be conduct interviews with 150 healthcare involve questions of a personal or requesting participation from hospital facilities’ staff, hospitals and clinics, in sensitive nature and should have no and clinic staff in their official their official capacity who has been impact on the individual’s privacy. capacities across the same 15 states asked by HDs to provide access to their There are no costs to the respondents included in the Phase I request. The EHRs during an HAI outbreak other than their time.

ESTIMATED ANNUALIZED BURDEN HOURS

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

HD Epidemiologist ...... Interview Guide ...... 15 1 60/60 Infection Preventionist ...... Interview Guide ...... 30 1 30/60 Informatics Director ...... Interview Guide ...... 30 1 Other as referred by Infection Preventionist Interview Guide ...... 30 1 or Informatics Director (for example, pri- vacy officer or risk management specialist). Clinic Director ...... Interview Guide ...... 30 1 Other as referred by Clinic Director (for ex- Interview Guide ...... 30 1 ample, patient records manager).

Leroy A. Richardson, comment on proposed and/or through the use of automated collection Chief, Information Collection Review Office, continuing information collections, as techniques or other forms of information Office of Scientific Integrity, Office of the required by the Paperwork Reduction technology; and (e) estimates of capital Associate Director for Science, Office of the Act of 1995. To request more or start-up costs and costs of operation, Director, Centers for Disease Control and information on the below proposed maintenance, and purchase of services Prevention. project or to obtain a copy of the to provide information. Burden means [FR Doc. 2015–03805 Filed 2–24–15; 8:45 am] information collection plan and the total time, effort, or financial BILLING CODE 4163–18–P instruments, call 404–639–7570 or send resources expended by persons to comments to Leroy A. Richardson, 1600 generate, maintain, retain, disclose or Clifton Road, MS–D74, Atlanta, GA DEPARTMENT OF HEALTH AND provide information to or for a Federal 30333 or send an email to [email protected]. agency. This includes the time needed HUMAN SERVICES Comments submitted in response to this notice will be summarized and/or to review instructions; to develop, Centers for Disease Control and included in the request for Office of acquire, install and utilize technology Prevention Management and Budget (OMB) and systems for the purpose of approval. Comments are invited on: (a) collecting, validating and verifying [60 Day–15–15PI] Whether the proposed collection of information, processing and information is necessary for the proper maintaining information, and disclosing Proposed Data Collections Submitted and providing information; to train for Public Comment and performance of the functions of the personnel and to be able to respond to Recommendations agency, including whether the information shall have practical utility; a collection of information, to search The Centers for Disease Control and (b) the accuracy of the agency’s estimate data sources, to complete and review Prevention (CDC), as part of its of the burden of the proposed collection the collection of information; and to continuing effort to reduce public of information; (c) ways to enhance the transmit or otherwise disclose the burden and maximize the utility of quality, utility, and clarity of the information. Written comments should government information, invites the information to be collected; (d) ways to be received within 60 days of this general public and other Federal minimize the burden of the collection of notice. agencies to take this opportunity to information on respondents, including

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Proposed Project Spanish and will occur during late Information will be collected through Extended Evaluation of the National 2015, 2016, and early 2017. Once Web surveys to be self-administered on Tobacco Prevention and Control Public enrolled in the first wave of data computers in the respondents’ homes or Education Campaign—New—National collection, all participants will be re- in another convenient location. Center for Chronic Disease Prevention contacted for follow-up at subsequent Information will be collected about and Health Promotion (NCCDPHP), survey waves. smokers’ and nonsmokers’ awareness of Centers for Disease Control and The sample for the data collection and exposure to specific campaign Prevention (CDC). will originate from two sources: (1) An advertisements; knowledge, attitudes, online longitudinal cohort of smokers beliefs related to smoking and Background and Brief Description and nonsmokers, sampled randomly secondhand smoke; and other marketing from postal mailing addresses in the In 2012, Centers for Disease Control exposure. The surveys will also measure and Prevention (CDC) launched the first United States (address-based sample, or ABS); and (2) the existing GfK behaviors related to smoking cessation federally funded, national mass media (among the smokers in the sample) and campaign to educate consumers about KnowledgePanel, an established long- behaviors related to nonsmokers’ the adverse health consequences of term online panel of U.S. adults. The tobacco use (the National Tobacco ABS-sourced longitudinal cohort will encouragement of smokers to quit Prevention and Control Public consist of smokers and nonsmokers who smoking, recommendations of cessation Education Campaign, or ‘‘The have not previously participated in any services, and attitudes about other Campaign’’). The Campaign continued established online panels to reduce tobacco and nicotine products. in 2013 and 2014 with advertisements potential panel conditioning bias from It is important to evaluate The known as ‘‘Tips from Former Smokers.’’ previous participation. The new cohort Campaign in a context that assesses the Activities for Phase 3 of the campaign will be recruited by GfK, utilizing dynamic nature of tobacco product are ongoing. To assess the impact of The similar recruitment methods that are marketing and uptake of various tobacco Campaign in Phases 1–3, CDC obtained used in the recruitment of products, particularly since these may OMB approval to conduct a series of KnowledgePanel. The GfK affect successful cessation rates. Survey KnowledgePanel will be used in longitudinal surveys of smokers and instruments may be updated to include combination with the new ABS-sourced nonsmokers (OMB Control Number new or revised items on relevant topics, cohort to support larger sample sizes 0920–0923, exp. 3/31/2017). including cigars, noncombustible New media activities for Phases 4 and that will allow for more in-depth tobacco products, and other emerging 5 of The Campaign are scheduled to subgroup analysis, which is a key launch in March 2015. To support objective for CDC. All online surveys, trends in tobacco use. evaluation of The Campaign through regardless of sample source, will be OMB approval is requested for two Phase 5, CDC plans to field four new conducted via the GfK KnowledgePanel years. Participation is voluntary and waves of information collection. The Web portal for self-administered there are no costs to respondents other surveys will be fielded in English and surveys. than their time.

ESTIMATED ANNUALIZED BURDEN HOURS

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

General Population...... Screening and Consent Question- 25,000 1 5/60 2,083 naire. Adults Smokers and Nonsmokers, Smoker Survey (Wave A) ...... 6,500 1 30/60 3,250 ages 18–54, in the United States. Smoker Survey (Wave B) ...... 4,000 1 30/60 2,000 Smoker Survey (Wave C) ...... 4,000 1 30/60 2,000 Smoker Survey (Wave D) ...... 4,000 1 30/60 2,000 Nonsmoker Survey (Wave A) ...... 2,500 1 30/60 1,250 Nonsmoker Survey (Wave B) ...... 2,000 1 30/60 1,000 Nonsmoker Survey (Wave C) ...... 2,000 1 30/60 1,000 Nonsmoker Survey (Wave D) ...... 2,000 1 30/60 1,000

Total ...... 15,583

Leroy A. Richardson, DEPARTMENT OF HEALTH AND continuing effort to reduce public Chief, Information Collection Review Office, HUMAN SERVICES burden and maximize the utility of Office of Scientific Integrity, Office of the government information, invites the Associate Director for Science, Office of the Centers for Disease Control and general public and other Federal Director, Centers for Disease Control and Prevention agencies to take this opportunity to Prevention. comment on proposed and/or [FR Doc. 2015–03825 Filed 2–24–15; 8:45 am] [60Day–15–0824] continuing information collections, as BILLING CODE 4163–18–P required by the Paperwork Reduction Proposed Data Collections Submitted Act of 1995. To request more for Public Comment and information on the below proposed Recommendations project or to obtain a copy of the The Centers for Disease Control and information collection plan and Prevention (CDC), as part of its instruments, call 404–639–7570 or send

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comments to Leroy A. Richardson, 1600 Laboratory Services (CSELS), Centers for title: National Syndromic Surveillance Clifton Road, MS–D74, Atlanta, GA Disease Control and Prevention (CDC). Program (NSSP). The NSSP will continue to receive and processes four 30333 or send an email to [email protected]. Background and Brief Description different types of information: (1) Comments submitted in response to The BioSense Program was created by this notice will be summarized and/or Contact information for state and local congressional mandate as part of the public health officials who wish to have included in the request for Office of Public Health Security and Bioterrorism Management and Budget (OMB) data from their jurisdictions submitted Preparedness and Response Act of 2002 to NSSP (recruitment data); (2) contact approval. Comments are invited on: (a) and was launched by the Centers for Whether the proposed collection of information for public health officials Disease Control and Prevention (CDC) in and other new users needed to provide information is necessary for the proper 2003. The BioSense Program has since performance of the functions of the them with access to the NSSP Platform been expanded into the National (registration data); (3) NSSP user agency, including whether the Syndromic Surveillance Program information needed to determine for information shall have practical utility; (NSSP) to promote the use of high- development of the NSSP platform and (b) the accuracy of the agency’s estimate quality syndromic surveillance data for to assess the usability of the platform of the burden of the proposed collection improved nationwide all-hazard (user data) (since the number of of information; (c) ways to enhance the situational awareness for public health respondents will not exceed nine non- quality, utility, and clarity of the decision making and enhanced federal users to assess usability, the information to be collected; (d) ways to responses to hazardous events and associated burden is not applicable to minimize the burden of the collection of outbreaks. this request); and (4) existing healthcare information on respondents, including NSSP is a collaboration among encounter, pharmacy, and laboratory through the use of automated collection individuals and organizations from the data (healthcare data) without local, state, and federal levels of public techniques or other forms of information personally identifiable information (PII). technology; and (e) estimates of capital health; other federal agencies, including As in the past, healthcare data will or start-up costs and costs of operation, the Department of Defense (DoD) and continue to be submitted to NSSP by maintenance, and purchase of services the Department of Veterans Affairs (VA); state and local health departments or and associations of public health to provide information. Burden means hospitals in those jurisdictions, federal officials, including the Association of the total time, effort, or financial agencies including the VA, DoD, a resources expended by persons to State and Territorial Health Officials. NSSP includes a community of practice, national level private sector clinical generate, maintain, retain, disclose or laboratory, and a private sector health provide information to or for a Federal a stakeholder governance process, and a cloud-based syndromic surveillance information exchange company. agency. This includes the time needed In addition, healthcare data will be to review instructions; to develop, platform (the NSSP platform) that hosts the BioSense application and other submitted from urgent care, ambulatory acquire, install and utilize technology care and inpatient settings. The and systems for the purpose of analytic tools and services. Syndromic surveillance is a process inclusion of these additional data in collecting, validating and verifying NNSP is consistent with the Department information, processing and that regularly and systematically uses health and health-related data in near of Health and Human Services’ criteria maintaining information, and disclosing for the ‘‘meaningful use’’ by public and providing information; to train real-time to make information on the health of a community available to health of electronic health records for personnel and to be able to respond to syndromic surveillance. a collection of information, to search public health officials. Patient encounter, laboratory, and pharmacy There are no costs to respondents data sources, to complete and review data from healthcare settings including other than their time. Respondents in the collection of information; and to emergency departments, urgent care, this data submission include state and transmit or otherwise disclose the ambulatory care and inpatient settings local public health jurisdictions, federal information. Written comments should provide critical information for agencies, and the private sector be received within 60 days of this syndromic surveillance and are used by providers of healthcare, laboratory and notice. public health agencies under authorities pharmacy data. Proposed Project granted to them by applicable local and Though a large number of electronic state laws. health records are transmitted to NSSP, National Syndromic Surveillance CDC requests a three-year approval for once the automated interfaces are set up Program (BioSense, OMB Control No. a Revision for NSSP (BioSense, OMB for transmission (developing the data 0920–0824, Expiration Date 10/31/ Control No. 0920–0824, Expiration Date sharing agreements), there is no burden 2015)—Revision—Center for 10/31/2015). With this revision, CDC for record transmission. The estimated Surveillance, Epidemiology and also requests the following collection annual burden is 51 hours.

ESTIMATED ANNUALIZED BURDEN HOURS

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

Recruitment Information Collection

State and Local Public Health Jurisdictions ...... 20 1 1 20 Federal Government ...... 2 1 1 2 Private Sector ...... 3 1 1 3

Registration Information Collection

State and Local Public Health Jurisdictions ...... 200 1 5/60 17

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ESTIMATED ANNUALIZED BURDEN HOURS—Continued

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

Federal Government ...... 30 1 5/60 3 Private Sector ...... 50 1 5/60 4

Healthcare Information Collection: Administrator Data Sharing Agreements/Permissions

State and Local Public Health Jurisdictions ...... 20 1 5/60 2 Federal Government ...... 2 0 5/60 0 Private Sector ...... 3 0 0 0

Total ...... 51

Leroy A. Richardson, organizations are to be consistent, to the annual reports. The existing guidance Chief, Information Collection Review Office, greatest extent practicable, with the (OMB Control No. 0970–0409, Office of Scientific Integrity, Office of the requirements for grantees under the Expiration Date 9/30/15) provides Associate Director for Science, Office of the MIECHV program for states and sections where grantees must address Director, Centers for Disease Control and jurisdictions. the following: Prevention. The Administration for Children and • Update on Home Visiting Program [FR Doc. 2015–03826 Filed 2–24–15; 8:45 am] Families, Office of Child Care, in Goals and Objectives BILLING CODE 4163–18–P collaboration with the Health Resources • Update on the Implementation of and Services Administration, Maternal Home Visiting Program in Targeted and Child Health Bureau, has awarded Community(ies) DEPARTMENT OF HEALTH AND • HUMAN SERVICES grants for the Tribal Maternal, Infant, Progress toward Meeting and Early Childhood Home Visiting Legislatively Mandated Benchmark Administration for Children and Program (Tribal Home Visiting). The Requirements Families Tribal Home Visiting discretionary • Update on Rigorous Evaluation grants support cooperative agreements Activities Proposed Information Collection to conduct community needs • Home Visiting Program Continuous Activity; Comment Request assessments; plan for and implement Quality Improvement (CQI) Efforts • Title: Affordable Care Act Tribal high-quality, culturally-relevant, Administration of Home Visiting evidence-based home visiting programs Program Maternal, Infant, and Early Childhood • Home Visiting Program: Guidance for in at-risk tribal communities; establish, Technical Assistance Needs Submitting an Annual Report to the measure, and report on progress toward The proposed data collection form is Secretary. meeting performance measures in six as follows: OMB No.: 0970–0409. legislatively-mandated benchmark ACF is requesting approval to renew Description: Section 511(e)(8)(A) of areas; and participate in rigorous and update the existing Tribal Home the Social Security Act, as added by evaluation activities to build the Visiting Guidance for Submitting an Section 2951 of the Affordable Care Act, knowledge base on home visiting among Annual Report to the Secretary (OMB requires that grantees under the Native populations. Control No. 0970–0409) that will Maternal, Infant, and Early Childhood Tribal Home Visiting grantees have include instructions for grantees to Home Visiting (MIECHV) program for been notified that in every year of their submit either an annual or final report states and jurisdictions submit an grant, after the first year, they must (in the final year of the grant) on the annual report to the Secretary of Health comply with the requirement for progress of their program to the and Human Services regarding the submitting an Annual Report to the Secretary, depending on the reporting program and activities carried out under Secretary that should feature activities period. the program, including such data and carried out under the program during Respondents: Tribal Maternal, Infant, information as the Secretary shall the past reporting period. In order to and Early Childhood Home Visiting require. Section 511 (h)(2)(A) further assist grantees with meeting the Program Managers (The information states that the requirements for the requirements of the Annual Report to collection does not include direct MIECHV grants to tribes, tribal the Secretary, ACF created guidance for interaction with individuals or families organizations, and urban Indian grantees to use when writing their that receive the services).

ANNUAL BURDEN ESTIMATES

Number of Average Annual responses Total burden Total annual Instrument number of per responses hours per burden respondents respondent response hours

Annual/Final Report to the Secretary (depending on reporting period) .. 25 1 1 50 1250 Estimated Total Annual Burden Hours: 1,250.

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In compliance with the requirements notice proposes a priority for an RRTC The Plan identifies a need for research of Section 3506(c)(2)(A) of the on Employer Practices Leading to and training regarding employment of Paperwork Reduction Act of 1995, the Successful Employment Outcomes for individuals with disabilities. To address Administration for Children and Individuals with Disabilities. We take this need, NIDILRR seeks to: (1) Improve Families is soliciting public comment this action to focus research attention on the quality and utility of disability and on the specific aspects of the an area of national need. We intend this rehabilitation research; (2) foster an information collection described above. priority to contribute to improved exchange of research findings, expertise, Copies of the proposed collection of employment practices and successful and other information to advance information can be obtained and employment outcomes for individuals knowledge and understanding of the comments may be forwarded by writing with disabilities. needs of individuals with disabilities to the Administration for Children and DATES: We must receive your comments and their family members, including Families, Office of Administration, on or before March 27, 2015. those from among traditionally Office Planning, Research and underserved populations; (3) determine ADDRESSES: Submit your comments Evaluation, 370 L’Enfant Promenade effective practices, programs, and through the Federal eRulemaking Portal SW., Washington, DC 20447, Attn: ACF policies to improve community living or via postal mail or commercial Reports Clearance Officer. Email and participation, employment, and delivery. We will not accept comments address: [email protected]. All health and function outcomes for submitted by fax or by email or those requests should be identified by the title individuals with disabilities of all ages; submitted after the comment period. To of the information collection. (4) identify research gaps and areas for ensure that we do not receive duplicate The Department specifically requests promising research investments; (5) copies, please submit your comments comments on: (a) Whether the proposed identify and promote effective only once. In addition, please include collection of information is necessary mechanisms for integrating research and the Docket ID at the top of your for the proper performance of the practice; and (6) disseminate research comments. functions of the agency, including findings to all major stakeholder groups, • Federal eRulemaking Portal: Go to whether the information shall have including individuals with disabilities www.regulations.gov to submit your practical utility; (b) the accuracy of the and their family members in formats comments electronically. Information agency’s estimate of the burden of the that are appropriate and meaningful to on using Regulations.gov, including proposed collection of information; (c) them. instructions for accessing agency the quality, utility, and clarity of the documents, submitting comments, and This notice proposes one priority that information to be collected; and (d) viewing the docket, is available on the NIDILRR intends to use for one or more ways to minimize the burden of the site under ‘‘Are you new to the site?’’ competitions in fiscal year (FY) 2015 collection of information on and possibly later years. NIDILRR is • Postal Mail or Commercial Delivery: respondents, including through the use under no obligation to make an award If you mail or deliver your comments of automated collection techniques or under this priority. The decision to about these proposed regulations, other forms of information technology. make an award will be based on the address them to Patricia Barrett, U.S. Consideration will be given to quality of applications received and Department of Health and Human comments and suggestions submitted available funding. NIDILRR may publish Services, 400 Maryland Avenue SW., within 60 days of this publication. additional priorities, as needed. Room 5142, Potomac Center Plaza Robert Sargis, (PCP), Washington, DC 20202–2700. Invitation to Comment: We invite you to submit comments regarding this Reports Clearance Officer. Privacy Note: The Department’s policy is to make all comments received proposed priority. To ensure that your [FR Doc. 2015–03830 Filed 2–24–15; 8:45 am] comments have maximum effect in BILLING CODE 4184–01–P from members of the public available for public viewing in their entirety on the developing the final priority, we urge Federal eRulemaking Portal at you to identify clearly the specific topic within the priority that each comment DEPARTMENT OF HEALTH AND www.regulations.gov. Therefore, addresses. HUMAN SERVICES commenters should be careful to include in their comments only We invite you to assist us in Administration for Community Living information that they wish to make complying with the specific publicly available. requirements of Executive Orders 12866 [CFDA Number: 84.133B–1] and 13563 and their overall requirement FOR FURTHER INFORMATION CONTACT: of reducing regulatory burden that Proposed Priority—National Institute Patricia Barrett. Telephone: (202) 245– might result from this proposed priority. on Disability, Independent Living, and 6211 or by email: patricia.barrett@ Please let us know of any further ways Rehabilitation Research— ed.gov. we could reduce potential costs or Rehabilitation Research and Training If you use a telecommunications increase potential benefits while Centers device for the deaf (TDD) or a text preserving the effective and efficient telephone (TTY), call the Federal Relay AGENCY: Administration for Community administration of the program. Service (FRS), toll free, at 1–800–877– Living, HHS. During and after the comment period, 8339. ACTION: Notice of proposed priority. you may inspect all public comments by SUPPLEMENTARY INFORMATION: This following the instructions found under SUMMARY: The Administrator of the notice of proposed priority is in concert the ‘‘Are you new to the site?’’ portion Administration for Community Living with NIDILRR’s currently approved of the Federal eRulemaking Portal at proposes a priority for the Long-Range Plan (Plan). The Plan, wwww.regulations.gov. Any comments Rehabilitation Research and Training which was published in the Federal sent to NIDILRR via postal mail or Center (RRTC) Program administered by Register on , 2013 (78 FR 20299), commercial delivery can be viewed in the National Institute on Disability, can be accessed on the Internet at the Room 5142, 550 12th Street SW., PCP, Independent Living, and Rehabilitation following site: www.ed.gov/about/ Washington, DC, between the hours of Research (NIDILRR). Specifically, this offices/list/osers/nidrr/policy.html. 8:30 a.m. and 4 p.m., Washington, DC

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time, Monday through Friday of each without disabilities. The percentage of 2008; Bruye`re & Barrington, 2012; Fraser week except Federal holidays. the population that is employed is lower et al., 2010). Assistance to Individuals with for individuals with disabilities (17.6%) However, knowledge of employer Disabilities in Reviewing the than for individuals without disabilities practices that are associated with better Rulemaking Record: On request we will (64.0%), and this difference has been employment outcomes for individuals provide an appropriate accommodation relatively stable since 2012 (U.S. with disabilities does not tell us or auxiliary aid to an individual with a Department of Labor, 2014a, 2014b). Of whether those practices actually caused disability who needs assistance to those individuals who are employed, those outcomes (Bruye`re & Barrington, review the comments or other individuals with disabilities are more 2012; Fraser et al., 2011). In addition to documents in the public rulemaking likely to work part time (34%) than are the need for a stronger evidence base for record for this notice. If you want to individuals without disabilities (19%) the effectiveness of promising employer schedule an appointment for this type of (U.S. Department of Labor, 2014a), and practices, there is a need for the accommodation or auxiliary aid, please individuals with disabilities earn less development of measures that contact the person listed under FOR than do individuals without disabilities employers can use to track employment FURTHER INFORMATION CONTACT. (Brault, 2012; Schur et al., 2009; U.S. outcomes for individuals with Purpose of Program: The purpose of Department of Commerce, 2013). In disabilities (Erickson et al., 2013; Von the Disability and Rehabilitation addition, employees with disabilities Schrader et al., 2013). Both of these Research Projects and Centers Program have more limited opportunities for types of knowledge are critical to the is to plan and conduct research, experiences related to retention and development of effective workplace demonstration projects, training, and advancement, such as training and programs and practices to improve related activities, including participation in decision-making, and employment outcomes for individuals international activities, to develop less job security (Schur et al., 2009). with disabilities. methods, procedures, and rehabilitation Although the employment of References technology that maximize the full individuals with disabilities is the result inclusion and integration into society, of a complex interaction among many Brault, M. W. (2012). Americans with employment, independent living, family variables, employer practices comprise disabilities: 2010. U.S. Department of Commerce, Economics and Statistics support, and economic and social self- an important factor in the employment sufficiency of individuals with Administration, US Census Bureau. of individuals with disabilities. In Bruye`re, S. M., & Barrington, L. (2012). disabilities, especially individuals with recent years, researchers (Bruye`re & Current issues, controversies, and the most severe disabilities, and to Barrington, 2012; Chan et al., 2010a) solutions. In S.M. Bruye`re and L. improve the effectiveness of services have recognized the importance of Barrington, (Eds.), Employment and authorized under the Rehabilitation Act considering demand-side, i.e., work. Sage Publications. of 1973, as amended (Rehabilitation employer, variables to understand and Chan, F., Strauser, D., Gervey, R., & Lee, E– Act). J. (2010a). Introduction to demand-side decrease the difference in employment factors related to employment of people Rehabilitation Research and Training outcomes between individuals with and with disabilities. Journal of Centers without disabilities. In addition, a Occupational Rehabilitation, 20, 407– number of Federal initiatives have 411. The purpose of the RRTCs, which are highlighted the need for employers to Chan, F., Straser, D., Maher, P., Lee, E–J., funded through the Disability and change their practices to improve Jones, R., & Johnson, E. T. (2010b). Rehabilitation Research Projects and employment outcomes for individuals Demand-side factors related to Centers Program, is to achieve the goals employment of people with disabilities: with disabilities (e.g., new regulations of, and improve the effectiveness of, A survey of employers in the Midwest for Section 503 of the Rehabilitation services authorized under the region of the United Sates. Journal of Act, establishing nationwide 7% Rehabilitation Act through well- Occupational Rehabilitation, 20, 412– employment goals for qualified designed research, training, technical 419. individuals with disabilities for Erickson, W. A., von Schrader, S., Bruye`re, assistance, and dissemination activities companies doing business with the S. M., & VanLooy, S. A. (2013). The in important topical areas as specified Federal government; Executive Order employment environment: Employer by NIDILRR. These activities are 13548 (2010), ‘‘Increasing Federal perspectives, policies, and practices designed to benefit rehabilitation regarding the employment of persons Employment of Individuals with service providers, individuals with with disabilities. Rehabilitation Disabilities’’). disabilities, family members, Counseling Bulletin, 0034355213509841. policymakers and other research A number of employer practices are Exec. Order No. 13548, 3 C. F. R. 168 (2010). stakeholders. Additional information on associated with better employment Fraser, R. T., Johnson, K., Hebert, J., Ajzen, I., Copeland, J., Brown, P., & Chan, F. the RRTC program can be found at: outcomes (i.e., hiring, retention, or advancement) for individuals with (2010). Understanding employers’ hiring http://www2.ed.gov/programs/rrtc/ intentions in relation to qualified index.html#types. disabilities. These include, but are not limited to: Employer knowledge of the workers with disabilities: Preliminary Program Authority: 29 U.S.C. 762(g) findings. Journal of Occupational and 764(b)(2). Americans with Disabilities Act, the Rehabilitation, 20(4), 420–426. Applicable Program Regulations: 34 inclusion of disability in employer Fraser, R., Ajzen, I., Johnson, K., Hebert, J., CFR part 350. diversity plans, diversity training for & Chan, F. (2011). Understanding Proposed Priority: This notice management, targeted recruitment, and employers’ hiring intention in relation to contains one proposed priority. employer-provided accommodations qualified workers with disabilities. (Bruye`re & Barrington, 2012; Chan et al., Journal of Vocational Rehabilitation, RRTC on Employer Practices Leading to 2010b; Hirsh & Kmec, 2009; Schur et al., 35(1), 1–11. Successful Employment Outcomes for 2009). Factors associated with Hirsh, E., & Kmec, J. A. (2009). Human Individuals With Disabilities resource structures: Reducing employment of individuals with discrimination or raising rights Background: Individuals with disabilities vary by employer size, awareness?. Industrial Relations: A disabilities experience lower rates and industry type, and sector of the Journal of Economy and Society, 48(3), quality of employment than those economy (U.S. Department of Labor, 512–532.

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Schur, L., Kruse, D., Blasi, J., & Blanck, P. achieved under this stage of research Employment Outcomes for Individuals (2009). Is disability disabling in all may inform the development of with Disabilities. The purpose of the workplaces? Workplace disparities and interventions or lead to evaluations of RRTC is to generate new knowledge corporate culture. Industrial Relations: A interventions or policies. The results of about effective employer practices that Journal of Economy and Society, 48(3), 381–410. the exploration and discovery stage of support successful employment Von Schrader, S., Malzer, V., & Bruye`re, S. research may also be used to inform outcomes for individuals with (2013). Perspectives on disability decisions or priorities. disabilities. The RRTC must contribute disclosure: The importance of employer (b) Intervention Development means to improving the employment outcomes practices and workplace climate. the stage of research that focuses on of individuals with disabilities by: Employee Responsibilities and Rights generating and testing interventions that (a) Identifying promising employer Journal, 26(4), 237–255. have the potential to improve outcomes practices most strongly associated with U.S. Department of Commerce, U.S. Census for individuals with disabilities. desired employment outcomes for Bureau. (2013). Selected economic Intervention development involves individuals with disabilities as well as characteristics for the civilian determining the active components of noninstitutionalized population by the prevalence of these practices. disability status. 2013 American possible interventions, developing Practices should include those related to Community Survey 1-year estimates. measures that would be required to the hiring, retention, and advancement http://factfinder2.census.gov/faces/ illustrate outcomes, specifying target of individuals with disabilities. tableservices/jsf/pages/ populations, conducting field tests, and (b) Developing measures of productview.xhtml?pid=ACS_13_1YR_ assessing the feasibility of conducting a employment outcomes that include S1811&prodType=table Retrieved well-designed interventions study. hiring, retention, and advancement of , 2014. Results from this stage of research may individuals with disabilities. These U.S. Department of Labor, Bureau of Labor be used to inform the design of a study measures must be developed for use by Statistics (2014a). Persons with A to test the efficacy of an intervention. employers and other stakeholders. Disability: Labor Force Characteristics— (c) Intervention Efficacy means the These measures may also include 2013. Available at http://www.bls.gov/ stage of research during which a project news.release/pdf/disabl.pdf Retrieved employment quality, such as, but not November 14, 2014. evaluates and tests whether an limited to, earnings, full- or part-time U.S. Department of Labor, Bureau of Labor intervention is feasible, practical, and employment, or opportunities for on- Statistics (2014b). Table A6. has the potential to yield positive the-job training. In developing these Employment status of the civilian outcomes for individuals with measures, the RRTC must collaborate population by sex, age, and disability disabilities. Efficacy research may assess with the NIDILRR-funded RRTC on status, not seasonally adjusted. Available the strength of the relationships Employment Policy and Measurement. at http://www.bls.gov/news.release/ between an intervention and outcomes, (c) Generating new knowledge of the empsit.t06.htm Retrieved November 19, and may identify factors or individual effectiveness of promising employer 2014. characteristics that affect the practices by identifying or developing, U.S. Department of Labor, Office on relationship between the intervention Disability Employment Policy (2008). and then implementing and evaluating Survey of Employer Perspectives on the and outcomes. Efficacy research can pilot workplace program(s) based on Employment of People with Disabilities. inform decisions about whether there is practices identified in (a). This work Technical report. Available at http:// sufficient evidence to support ‘‘scaling- should be conducted in employment www.dol.gov/odep/documents/survey_ up’’ an intervention to other sites and settings in collaboration with report_jan_09.doc. Retrieved , contexts. This stage of research can employers, and should include: 2015. include assessing the training needed (1) Implementation of practices that Definitions: The research that is for wide-scale implementation of the are particularly likely to be effective in proposed under this priority must be intervention, and approaches to improving employment outcomes for focused on one or more stages of evaluation of the intervention in real individuals with disabilities; research. If the RRTC is to conduct world applications. (2) Implementation of practices research that can be categorized under (d) Scale-Up Evaluation means the among different types of employers (e.g., more than one research stage, or stage of research during which a project small v. large employers, private v. research that progresses from one stage analyzes whether an intervention is public sector employers); to another, those research stages must be effective in producing improved (3) Collection of data using, but not clearly specified. For purposes of this outcomes for individuals with limited to, outcome measures from (b) priority, the stages of research are from disabilities when implemented in a real- above. the notice of final priorities and world setting. During this stage of (d) Focusing its research on one or definitions published in the Federal research, a project tests the outcomes of more specific stages of research. If the Register on , 2013 (78 FR 34261). an evidence-based intervention in RRTC is to conduct research that can be (a) Exploration and Discovery means different settings. It examines the categorized under more than one of the the stage of research that generates challenges to successful replication of research stages, or research that hypotheses or theories by conducting the intervention, and the circumstances progresses from one stage to another, new and refined analyses of data, and activities that contribute to those stages should be clearly justified. producing observational findings, and successful adoption of the intervention (e) Serving as a national resource creating other sources of research-based in real-world settings. This stage of center related to employment for information. This research stage may research may also include well-designed individuals with disabilities, their include identifying or describing the studies of an intervention that has been families, and other stakeholders by barriers to and facilitators of improved widely adopted in practice, but that conducting knowledge translation outcomes of individuals with lacks a sufficient evidence-base to activities that include, but are not disabilities, as well as identifying or demonstrate its effectiveness. limited to: describing existing practices, programs, Proposed Priority: The Administrator (1) Providing information and or policies that are associated with for Community Living proposes a technical assistance to employers, important aspects of the lives of priority for an RRTC on Employer employment service providers, individuals with disabilities. Results Practices Leading to Successful employer groups, individuals with

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disabilities and their representatives, (4) Raise novel legal or policy issues We also have determined that this and other key stakeholders; arising out of legal mandates, the regulatory action would not unduly (2) Providing training, including President’s priorities, or the principles interfere with State, local, and tribal graduate, pre-service, and in-service stated in the Executive Order. governments in the exercise of their training, to employers and employer This proposed regulatory action is not governmental functions. groups, to facilitate more effective a significant regulatory action subject to In accordance with both Executive review by OMB under section 3(f) of employer practices for individuals with Orders, the Department has assessed the disabilities. This training may be Executive Order 12866. potential costs and benefits, both provided through conferences, We have also reviewed this regulatory quantitative and qualitative, of this workshops, public education programs, action under Executive Order 13563, in-service training programs, and which supplements and explicitly regulatory action. The potential costs similar activities; reaffirms the principles, structures, and are those resulting from statutory (3) Disseminating research-based definitions governing regulatory review requirements and those we have information and materials related to established in Executive Order 12866. determined as necessary for increasing employment levels for To the extent permitted by law, administering the Department’s individuals with disabilities; and Executive Order 13563 requires that an programs and activities. (4) Involving key stakeholder groups agency— The benefits of the Disability and in the activities conducted under (1) Propose or adopt regulations only Rehabilitation Research Projects and paragraphs (a) and (b) of this priority to upon a reasoned determination that Centers Program have been well promote the new knowledge generated their benefits justify their costs established over the years. Projects by the RRTC. (recognizing that some benefits and similar to one envisioned by the Final Priority: We will announce the costs are difficult to quantify); proposed priority have been completed final priority in a notice in the Federal (2) Tailor its regulations to impose the successfully, and the proposed priority Register. We will determine the final least burden on society, consistent with would generate new knowledge through priority after considering responses to obtaining regulatory objectives and research. The new RRTC would this notice and other information taking into account—among other things generate, disseminate, and promote the and to the extent practicable—the costs available to the Department. This notice use of new information that would of cumulative regulations; does not preclude us from proposing improve outcomes for individuals with (3) In choosing among alternative additional priorities, requirements, disabilities in the area of employment. definitions, or selection criteria, subject regulatory approaches, select those to meeting applicable rulemaking approaches that maximize net benefits Intergovernmental Review: This requirements. (including potential economic, program is not subject to Executive environmental, public health and safety, Order 12372. Note: This notice does not solicit applications. In any year in which we choose and other advantages; distributive Electronic Access to This Document: to use this priority, we invite applications impacts; and equity); The official version of this document is through a notice in the Federal Register or (4) To the extent feasible, specify the document published in the Federal in a Funding Opportunity Announcement performance objectives, rather than the Register. Free Internet access to the posted at www.grants.gov. behavior or manner of compliance a official edition of the Federal Register regulated entity must adopt; and and the Code of Federal Regulations is Executive Orders 12866 and 13563 (5) Identify and assess available available via the Federal Digital System alternatives to direct regulation, Regulatory Impact Analysis at: www.gpo.gov/fdsys. At this site you including economic incentives—such as can view this document, as well as all Under Executive Order 12866, the user fees or marketable permits—to Secretary must determine whether this encourage the desired behavior, or other documents of this Department regulatory action is ‘‘significant’’ and, provide information that enables the published in the Federal Register, in therefore, subject to the requirements of public to make choices. text or Adobe Portable Document the Executive Order and subject to Executive Order 13563 also requires Format (PDF). To use PDF you must review by the Office of Management and an agency ‘‘to use the best available have Adobe Acrobat Reader, which is Budget (OMB). Section 3(f) of Executive techniques to quantify anticipated available free at the site. Order 12866 defines a ‘‘significant present and future benefits and costs as You may also access documents of the regulatory action’’ as an action likely to accurately as possible.’’ The Office of Department published in the Federal result in a rule that may— Information and Regulatory Affairs of Register by using the article search (1) Have an annual effect on the OMB has emphasized that these feature at: www.federalregister.gov. economy of $100 million or more, or techniques may include ‘‘identifying Specifically, through the advanced adversely affect a sector of the economy, changing future compliance costs that search feature at this site, you can limit productivity, competition, jobs, the might result from technological your search to documents published by environment, public health or safety, or innovation or anticipated behavioral the Department. State, local, or tribal governments or changes.’’ communities in a material way (also We are issuing this proposed priority Dated: February 19, 2015. referred to as an ‘‘economically only upon a reasoned determination Kathy Greenlee, significant’’ rule); that its benefits would justify its costs. Administrator. (2) Create serious inconsistency or In choosing among alternative [FR Doc. 2015–03877 Filed 2–24–15; 8:45 am] otherwise interfere with an action taken regulatory approaches, we selected BILLING CODE 4154–01–P or planned by another agency; those approaches that would maximize (3) Materially alter the budgetary net benefits. Based on the analysis that impacts of entitlement grants, user fees, follows, the Department believes that or loan programs or the rights and this proposed priority is consistent with obligations of recipients thereof; or the principles in Executive Order 13563.

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DEPARTMENT OF HEALTH AND commenters should be careful to We invite you to assist us in HUMAN SERVICES include in their comments only complying with the specific information that they wish to make requirements of Executive Orders 12866 Administration for Community Living publicly available. and 13563 and their overall requirement [CFDA Number: 84.133B–5] FOR FURTHER INFORMATION CONTACT: of reducing regulatory burden that Patricia Barrett. Telephone: (202) 245– might result from this proposed priority. Proposed Priority—National Institute 6211 or by email: patricia.barrett@ Please let us know of any further ways on Disability, Independent Living, and ed.gov. we could reduce potential costs or Rehabilitation Research— If you use a telecommunications increase potential benefits while Rehabilitation Research and Training device for the deaf (TDD) or a text preserving the effective and efficient Centers telephone (TTY), call the Federal Relay administration of the program. Service (FRS), toll free, at 1–800–877– During and after the comment period, AGENCY: Administration for Community 8339. you may inspect all public comments by Living, HHS. following the instructions found under SUPPLEMENTARY INFORMATION: This ACTION: Notice of proposed priority. the ‘‘Are you new to the site?’’ portion notice of proposed priority is in concert of the Federal eRulemaking Portal at SUMMARY: The Administrator of the with NIDRR’s currently approved Long- wwww.regulations.gov. Any comments Administration for Community Living Range Plan (Plan). The Plan, which was sent to NIDILRR via postal mail or proposes a priority for the published in the Federal Register on commercial deliver can be viewed in Rehabilitation Research and Training April 4, 2013 (78 FR 20299), can be room 5142, 550 12th Street SW., PCP, Center (RRTC) Program administered by accessed on the Internet at the following Washington, DC, between the hours of the National Institute on Disability, site: www.ed.gov/about/offices/list/ 8:30 a.m. and 4:00 p.m., Washington, Independent Living, and Rehabilitation osers/nidrr/policy.html. DC time, Monday through Friday of Research (NIDILRR). Specifically, this The Plan identifies a need for research each week except Federal holidays. notice proposes a priority for an RRTC and training regarding employment of Assistance to Individuals With on Employment for Individuals with individuals with disabilities. To address Disabilities in Reviewing the Blindness or other Visual Impairments. this need, NIDILRR seeks to: (1) Improve Rulemaking Record: On request we will We take this action to focus research the quality and utility of disability and provide an appropriate accommodation attention on an area of national need. rehabilitation research; (2) foster an or auxiliary aid to an individual with a We intend this priority to contribute to exchange of research findings, expertise, disability who needs assistance to improved employment for individuals and other information to advance review the comments or other with blindness or other visual knowledge and understanding of the documents in the public rulemaking impairments. needs of individuals with disabilities record for this notice. If you want to and their family members, including schedule an appointment for this type of DATES: We must receive your comments those from among traditionally accommodation or auxiliary aid, please on or before March 27, 2015. underserved populations; (3) determine contact the person listed under FOR ADDRESSES: Submit your comments effective practices, programs, and FURTHER INFORMATION CONTACT. through the Federal eRulemaking Portal policies to improve community living Purpose of Program: The purpose of or via postal mail or commercial and participation, employment, and the Disability and Rehabilitation delivery. We will not accept comments health and function outcomes for Research Projects and Centers Program submitted by fax or by email or those individuals with disabilities of all ages; is to plan and conduct research, submitted after the comment period. To (4) identify research gaps and areas for demonstration projects, training, and ensure that we do not receive duplicate promising research investments; (5) related activities, including copies, please submit your comments identify and promote effective international activities, to develop only once. In addition, please include mechanisms for integrating research and methods, procedures, and rehabilitation the Docket ID at the top of your practice; and (6) disseminate research technology that maximize the full comments. findings to all major stakeholder groups, inclusion and integration into society, • Federal eRulemaking Portal: Go to including individuals with disabilities employment, independent living, family www.regulations.gov to submit your and their family members in formats support, and economic and social self- comments electronically. Information that are appropriate and meaningful to sufficiency of individuals with on using Regulations.gov, including them. disabilities, especially individuals with instructions for accessing agency This notice proposes one priority that the most severe disabilities, and to documents, submitting comments, and NIDILRR intends to use for one or more improve the effectiveness of services viewing the docket, is available on the competitions in fiscal year (FY) 2015 authorized under the Rehabilitation Act site under ‘‘Are you new to the site?’’ and possibly later years. NIDILRR is of 1973, as amended (Rehabilitation • Postal Mail or Commercial Delivery: under no obligation to make an award Act). If you mail or deliver your comments under this priority. The decision to about these proposed regulations, make an award will be based on the Rehabilitation Research and Training address them to Patricia Barrett, U.S. quality of applications received and Centers Department of Health and Human available funding. NIDILRR may publish The purpose of the RRTCs, which are Services, 400 Maryland Avenue SW., additional priorities, as needed. funded through the Disability and Room 5142, Potomac Center Plaza Invitation to Comment: We invite you Rehabilitation Research Projects and (PCP), Washington, DC 20202–2700. to submit comments regarding this Centers Program, is to achieve the goals Privacy Note: The Department’s proposed priority. To ensure that your of, and improve the effectiveness of, policy is to make all comments received comments have maximum effect in services authorized under the from members of the public available for developing the final priority, we urge Rehabilitation Act through well- public viewing in their entirety on the you to identify clearly the specific topic designed research, training, technical Federal eRulemaking Portal at within the priority that each comment assistance, and dissemination activities www.regulations.gov. Therefore, addresses. in important topical areas as specified

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by NIDILRR. These activities are approximately 2.5 million people Census Bureau (2012). American Community designed to benefit rehabilitation received a traumatic brain injury (Center Survey, American FactFinder, Table service providers, individuals with for Disease Control (2010). TBI is also a B18120. Retrieved , 2013, disabilities, family members, from: http://factfinder2.census.gov. signature cause of disability among Center for Disease Control (2010). National policymakers and other research veterans of the wars in Iraq and Hospital Discharge Survey (NHDS). stakeholders. Additional information on Afghanistan (U.S. Department of Retrieved , 2015, from: http:// the RRTC program can be found at: Defense, 2012). Closed head injuries www.cdc.gov/traumaticbraininjury/data/ http://www2.ed.gov/programs/rrtc/ often result in focal axonal swelling and index.html. index.html#types. disconnection, damage to optic nerves, Crudden, A. (2012). Transition to Program Authority: 29 U.S.C. 762(g) impaired visual processing, and eye Employment for Students with Visual and 764(b)(2). movement difficulties due to cranial Impairments: Components for Success. Applicable Program Regulations: 34 Journal of Visual Impairment & nerve disruption. Research has Blindness. January 9, 2015, from: http:// CFR part 350. estimated that among individuals with Proposed Priority: This notice www.afb.org/afbpress/ TBI in the United States, 42 percent pubjvib.asp?DocID=jvib060702. contains one proposed priority. were unemployed (Doctor, Castro, Doctor J.N., Castro J., Temkin N.R., Fraser RRTC on Employment for Individuals Temkin, Fraser, Machamer & Dikmen, R.T., Machamer J.E., Dikmen S.S. (2005). With Blindness or Other Visual 2005). For Vocational Rehabilitation Workers’ risk of unemployment after Impairments consumers with TBI, 49.4 percent or traumatic brain injury: a normed 6,040 achieved employment in 2013 comparison. Journal of International Background: Employment rates for Neuropsychological Society 11(6):747– individuals with blindness or other (Rehabilitation Services Administration, 52. visual impairments are low compared to 2014). There are little data on the Gallaudet University Library (2010). other persons with disabilities and the employment outcomes of individuals American Deaf-Blind Population. nondisabled population. Of 3.5 million with TBI who experience low-vision Retrieved January 9, 2015, from: http:// working age adults who report vision and blindness, however. Research is libguides.gallaudet.edu/ needed to document the employment content.php?pid=119476&sid=1029203. loss, only 1.3 million or 37 percent are Hartman, E. (2011). National Consortium on employed (U.S. Census Bureau, 2012). outcomes of individuals who experience low vision and blindness due to or in Deafblindness: Universal Design for Key groups within the population of Learning. Retrieved January 9, 2015, persons with blindness and visual addition to TBI and to develop effective from: http://files.eric.ed.gov/fulltext/ impairments would benefit from neuropsychological rehabilitation, ED531767.pdf. research and development to promote psychotherapy, vocational McDonnall, M. (2010). Factors affecting better employment outcomes. These rehabilitation, and other interventions employment outcomes for young adults groups include: for improving employment outcomes for with visual impairments. Rehabilitation (a) Deaf blindness—Rough estimates these individuals. Counseling Bulletin (54), 36–45. (c) Transition-age students—High Rehabilitation Services Administration suggest there are approximately 45 to 50 (2014). RSA–911 Case Service Report. thousand individuals with deaf- school students with blindness or visual impairments demonstrate higher Retrieved January 9, 2015, from: blindness in the United States www2.ed.gov/policy/speced/guid/rsa/pd- (Gallaudet University, 2010). Among academic achievement and are more 04–04.doc. students who received services under likely to continue with postsecondary U.S. Department of Defense (2012). the Individuals with Disabilities education when compared to other Traumatic Brain Injury Special Report. Education Act (IDEA), 36.1 percent of students receiving special education Retrieved January 9, 2015, from: http:// students with multiple disabilities/deaf- services under the IDEA. However, www.defense.gov/home/features/2012/ these students are less likely to achieve 0312_tbi/. blindness were employed after leaving Wagner, M., Newman, L., Cameto, R., Levine, high school as compared to 62.4 percent employment outcomes despite demonstrated academic success P., and Garza, N. (2006). An Overview of among students with visual Findings From Wave 2 of the National impairments only (American Federation (Wagner, Newman, Cameto, Levine & Longitudinal Transition Study-2 of the Blind, 2014). For the 2,020 Garza 2006; McDonnall, 2010). (NLTS2). Retrieved January 9, 2015, persons with deaf-blindness who Qualitative research suggests that early from: http://ies.ed.gov/ncser/pdf/ received services through the Federal/ intervention and planning, family 20063004.pdf. State Vocational Rehabilitation program involvement, interagency coordination Definitions: The research that is from 2008 through 2013, 64.5 percent and early work-based experiences may proposed under this priority must be achieved employment outcomes improve employment outcomes for focused on one or more stages of (Rehabilitation Services Administration, transition-age students with blindness research. If the RRTC is to conduct 2014). Prevalence and employment data or visual impairments (Crudden, 2012). research that can be categorized under thus vary considerably and strategies for Rigorous research evaluating the more than one research stage, or improving communication, social potential of these and other research that progresses from one stage development, self-determination, and employment-focused strategies, to another, those research stages must be employment for this subpopulation including vocational rehabilitation, may clearly specified. For purposes of this have not kept pace with emerging thus yield results that inform effective priority, the stages of research are from technologies accessible to most citizens policies and practice. the notice of final priorities and References: (Hartman, 2010). Development and definitions published in the Federal testing of new technologies focused on American Federation of the Blind (2014). Register on June 7, 2013 (78 FR 34261). improving the employment and quality NLTS2 Tables: Transition of Youth with (a) Exploration and Discovery means of life outcomes of people with deaf- Visual Impairments, Multiple the stage of research that generates Impairments, or Deaf-Blindness. hypotheses or theories by conducting blindness is needed along with effective Retrieved January 9, 2015, from: http:// knowledge translation and www.afb.org/info/programs-and- new and refined analyses of data, dissemination. services/public-policy-center/ producing observational findings, and (b) Blindness or low vision related to employment-and-rehabilitation/nlts2- creating other sources of research-based traumatic brain injury (TBI)—In 2010, tables/1235#table5. information. This research stage may

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include identifying or describing the studies of an intervention that has been promote the new knowledge generated barriers to and facilitators of improved widely adopted in practice, but that by the RRTC. outcomes of individuals with lacks a sufficient evidence-base to Final Priority: We will announce the disabilities, as well as identifying or demonstrate its effectiveness. final priority in a notice in the Federal describing existing practices, programs, Proposed Priority: The Administrator Register. We will determine the final or policies that are associated with of the Administration for Community priority after considering responses to important aspects of the lives of Living proposes a priority for an RRTC this notice and other information individuals with disabilities. Results on Employment for Individuals with available to the Department. This notice achieved under this stage of research Blindness or other Visual Impairments. does not preclude us from proposing may inform the development of The purpose of the proposed RRTC is to additional priorities, requirements, interventions or lead to evaluations of conduct research that generates new definitions, or selection criteria, subject interventions or policies. The results of knowledge about the efficacy of to meeting applicable rulemaking the exploration and discovery stage of rehabilitative services and technology requirements. used to support improved employment research may also be used to inform Note: This notice does not solicit decisions or priorities. outcomes of individuals with blindness applications. In any year in which we choose (b) Intervention Development means or other visual impairments, including to use this priority, we invite applications the stage of research that focuses on subpopulations that are the focus of this through a notice in the Federal Register, generating and testing interventions that priority. Executive Orders 12866 and 13563 or in a have the potential to improve outcomes The RRTC must contribute to Funding Opportunity Announcement posted for individuals with disabilities. improving the employment outcomes of at www.grants.gov. Intervention development involves individuals with blindness or other determining the active components of visual impairments by: Executive Orders 12866 and 13563 (a) Conducting research on the possible interventions, developing Regulatory Impact Analysis measures that would be required to efficacy of rehabilitation services and illustrate outcomes, specifying target technology used to enhance Under Executive Order 12866, the populations, conducting field tests, and employment outcomes of individuals Secretary must determine whether this assessing the feasibility of conducting a with blindness or other visual regulatory action is ‘‘significant’’ and, well-designed interventions study. impairments. Outcomes must include therefore, subject to the requirements of Results from this stage of research may but are not limited to obtaining the Executive Order and subject to be used to inform the design of a study employment, retention, promotion, and review by the Office of Management and to test the efficacy of an intervention. quality of salary and benefits. The RRTC Budget (OMB). Section 3(f) of Executive (c) Intervention Efficacy means the must focus its research on the target Order 12866 defines a ‘‘significant stage of research during which a project population of individuals with regulatory action’’ as an action likely to evaluates and tests whether an blindness or other visual impairments, result in a rule that may— intervention is feasible, practical, and including at least one of the following (1) Have an annual effect on the has the potential to yield positive subpopulations of particular concern: economy of $100 million or more, or outcomes for individuals with (1) Individuals who are deaf-blind, (2) adversely affect a sector of the economy, disabilities. Efficacy research may assess individuals with blindness or low productivity, competition, jobs, the the strength of the relationships vision related to traumatic brain injury, environment, public health or safety, or between an intervention and outcomes, and (3) transition-age young people with State, local, or tribal governments or and may identify factors or individual blindness or other visual impairments; communities in a material way (also characteristics that affect the (b) Generating new knowledge about referred to as an ‘‘economically relationship between the intervention how the outcomes of the services and significant’’ rule); and outcomes. Efficacy research can technologies investigated in paragraph (2) Create serious inconsistency or inform decisions about whether there is (a) vary with relevant variables such as otherwise interfere with an action taken sufficient evidence to support ‘‘scaling- service type, consumer characteristics, or planned by another agency; up’’ an intervention to other sites and and provider characteristics; (3) Materially alter the budgetary contexts. This stage of research can (c) Focusing its research on one or impacts of entitlement grants, user fees, include assessing the training needed more specific stages of research. If the or loan programs or the rights and for wide-scale implementation of the RRTC is to conduct research that can be obligations of recipients thereof; or intervention, and approaches to categorized under more than one of the (4) Raise novel legal or policy issues evaluation of the intervention in real research stages, or research that arising out of legal mandates, the world applications. progresses from one stage to another, President’s priorities, or the principles (d) Scale-Up Evaluation means the those stages should be clearly justified; stated in the Executive Order. stage of research during which a project (d) Serving as a national resource This proposed regulatory action is not analyzes whether an intervention is center related to employment for a significant regulatory action subject to effective in producing improved individuals with blindness or other review by OMB under section 3(f) of outcomes for individuals with visual impairments, their families, and Executive Order 12866. disabilities when implemented in a real- other stakeholders by conducting We have also reviewed this regulatory world setting. During this stage of knowledge translation, technical action under Executive Order 13563, research, a project tests the outcomes of assistance, and training activities; which supplements and explicitly an evidence-based intervention in (e) Disseminating research-based reaffirms the principles, structures, and different settings. It examines the information and materials related to definitions governing regulatory review challenges to successful replication of improving the quality of services to established in Executive Order 12866. the intervention, and the circumstances individuals with blindness or other To the extent permitted by law, and activities that contribute to visual impairments; and Executive Order 13563 requires that an successful adoption of the intervention (f) Involving key stakeholder groups agency— in real-world settings. This stage of in the activities conducted under (1) Propose or adopt regulations only research may also include well-designed paragraphs (a) and (b) of this priority to upon a reasoned determination that

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their benefits justify their costs proposed priority have been completed Recovery, Health, and Wellness for (recognizing that some benefits and successfully, and the proposed priority Individuals with Serious Mental Illness. costs are difficult to quantify); would generate new knowledge through We take this action to focus research (2) Tailor its regulations to impose the research. The new RRTC would attention on an area of national need. least burden on society, consistent with generate, disseminate, and promote the We intend this priority to contribute to obtaining regulatory objectives and use of new information that would improved employment for individuals taking into account—among other things improve employment outcomes for with serious mental illness (SMI) and and to the extent practicable—the costs individuals with blindness or other co-occurring conditions. of cumulative regulations; visual impairments. DATES: We must receive your comments (3) In choosing among alternative Intergovernmental Review: This on or before March 27, 2015. regulatory approaches, select those program is not subject to Executive ADDRESSES: Submit your comments approaches that maximize net benefits Order 12372. through the Federal eRulemaking Portal (including potential economic, Electronic Access to This Document: or via postal mail, commercial delivery, environmental, public health and safety, The official version of this document is or hand delivery. We will not accept and other advantages; distributive the document published in the Federal comments submitted by fax or by email impacts; and equity); Register. Free Internet access to the or those submitted after the comment (4) To the extent feasible, specify official edition of the Federal Register performance objectives, rather than the period. To ensure that we do not receive and the Code of Federal Regulations is duplicate copies, please submit your behavior or manner of compliance a available via the Federal Digital System regulated entity must adopt; and comments only once. In addition, please at: www.gpo.gov/fdsys. At this site you include the Docket ID at the top of your (5) Identify and assess available can view this document, as well as all alternatives to direct regulation, comments. other documents of this Department • Federal eRulemaking Portal: Go to including economic incentives—such as published in the Federal Register, in user fees or marketable permits—to www.regulations.gov to submit your text or Adobe Portable Document comments electronically. Information encourage the desired behavior, or Format (PDF). To use PDF you must provide information that enables the on using Regulations.gov, including have Adobe Acrobat Reader, which is instructions for accessing agency public to make choices. available free at the site. Executive Order 13563 also requires documents, submitting comments, and You may also access documents of the an agency ‘‘to use the best available viewing the docket, is available on the Department published in the Federal techniques to quantify anticipated site under ‘‘Are you new to the site?’’ Register by using the article search • present and future benefits and costs as Postal Mail, Commercial Delivery, feature at: www.federalregister.gov. accurately as possible.’’ The Office of or Hand Delivery: If you mail or deliver Specifically, through the advanced Information and Regulatory Affairs of your comments about these proposed search feature at this site, you can limit OMB has emphasized that these regulations, address them to Patricia your search to documents published by techniques may include ‘‘identifying Barrett, U.S. Department of Health and the Department. changing future compliance costs that Human Services, 400 Maryland Avenue might result from technological Dated: February 19, 2015. SW., Room 5142, Potomac Center Plaza innovation or anticipated behavioral Kathy Greenlee, (PCP), Washington, DC 20202–2700. changes.’’ Administrator. Privacy Note: The Department’s policy is We are issuing this proposed priority [FR Doc. 2015–03885 Filed 2–24–15; 8:45 am] to make all comments received from members of the public available for public only upon a reasoned determination BILLING CODE 4154–01–P that its benefits would justify its costs. viewing in their entirety on the Federal eRulemaking Portal at www.regulations.gov. In choosing among alternative Therefore, commenters should be careful to regulatory approaches, we selected DEPARTMENT OF HEALTH AND include in their comments only information those approaches that would maximize HUMAN SERVICES that they wish to make publicly available. net benefits. Based on the analysis that follows, the Department believes that Administration for Community Living FOR FURTHER INFORMATION CONTACT: Patricia Barrett. Telephone: (202) 245– this proposed priority is consistent with [CFDA Number: 84.133B–4] the principles in Executive Order 13563. 6211 or by email: [email protected]. We also have determined that this Proposed Priority—National Institute regulatory action would not unduly If you use a telecommunications on Disability, Independent Living, and device for the deaf (TDD) or a text interfere with State, local, and tribal Rehabilitation Research— governments in the exercise of their telephone (TTY), call the Federal Relay Rehabilitation Research and Training Service (FRS), toll free, at 1–800–877– governmental functions. Centers In accordance with both Executive 8339. Orders, the Department has assessed the AGENCY: Administration for Community SUPPLEMENTARY INFORMATION: This potential costs and benefits, both Living. notice of proposed priority is in concert quantitative and qualitative, of this ACTION: Notice of proposed priority. with NIDRR’s currently approved Long- regulatory action. The potential costs Range Plan (Plan). The Plan, which was are those resulting from statutory SUMMARY: The Administrator of the published in the Federal Register on requirements and those we have Administration for Community Living April 4, 2013 (78 FR 20299), can be determined as necessary for proposes a priority for the accessed on the Internet at the following administering the Department’s Rehabilitation Research and Training site: www.ed.gov/about/offices/list/ programs and activities. Center (RRTC) Program administered by osers/nidrr/policy.html. The benefits of the Disability and the National Institute on Disability, The Plan identifies a need for research Rehabilitation Research Projects and Independent Living, and Rehabilitation and training regarding employment of Centers Program have been well Research (NIDILRR). Specifically, this individuals with disabilities. To address established over the years. Projects notice proposes a priority for an RRTC this need, NIDILRR seeks to: (1) Improve similar to one envisioned by the on Self-Directed Care to Promote the quality and utility of disability and

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rehabilitation research; (2) foster an provide an appropriate accommodation U.S. adults (U.S. Department of Health exchange of research findings, expertise, or auxiliary aid to an individual with a and Human Services, 2012a). Most and other information to advance disability who needs assistance to individuals with mental illness today knowledge and understanding of the review the comments or other live in community settings—a result of needs of individuals with disabilities documents in the public rulemaking the deinstitutionalization movement of and their family members, including record for this notice. If you want to the 1960s to 1980s, the Americans with those from among traditionally schedule an appointment for this type of Disabilities Act of 1990, and the 1999 underserved populations; (3) determine accommodation or auxiliary aid, please U.S. Supreme Court Olmstead decision effective practices, programs, and contact the person listed under FOR (National Council on Disability, 2008; policies to improve community living FURTHER INFORMATION CONTACT. Olmstead v. L.C., 527 U.S. 581 (1999); and participation, employment, and Purpose of Program: The purpose of Salzer, Kaplan, & Atay, 2006). health and function outcomes for the Disability and Rehabilitation Individuals with mental illness are less individuals with disabilities of all ages; Research Projects and Centers Program likely to achieve successful employment (4) identify research gaps and areas for is to plan and conduct research, outcomes than individuals without promising research investments; (5) demonstration projects, training, and mental illness (Cook, 2006). For those identify and promote effective related activities, including who are employed, mental illness is mechanisms for integrating research and international activities, to develop associated with decreased productivity practice; and (6) disseminate research methods, procedures, and rehabilitation and lower levels of job retention (Cook, findings to all major stakeholder groups, technology that maximize the full 2006; Lerner et al., 2012). In addition, including individuals with disabilities inclusion and integration into society, individuals with mental illness and their family members in formats employment, independent living, family experience higher mortality rates and that are appropriate and meaningful to support, and economic and social self- poorer physical health than individuals them. sufficiency of individuals with without mental illness (Banham & This notice proposes one priority that disabilities, especially individuals with Gilbody, 2010). This disparity in general NIDILRR intends to use for one or more the most severe disabilities, and to health is exacerbated by barriers to competitions in fiscal year (FY) 2015 improve the effectiveness of services healthcare delivery services for and possibly later years. NIDILRR is authorized under the Rehabilitation Act individuals with mental illness, at both under no obligation to make an award of 1973, as amended (Rehabilitation the system and the individual levels under this priority. The decision to Act). (Kelly et al., 2014). Furthermore, make an award will be based on the employment outcomes and health are Rehabilitation Research and Training quality of applications received and related in this population. At the Centers available funding. NIDILRR may publish individual level, mental illness additional priorities, as needed. The purpose of the RRTCs, which are symptoms and comorbid medical Invitation to Comment: We invite you funded through the Disability and conditions are associated with poorer to submit comments regarding this Rehabilitation Research Projects and employment outcomes (Cook et al., proposed priority. To ensure that your Centers Program, is to achieve the goals 2007; Frey et al., 2008). At the system comments have maximum effect in of, and improve the effectiveness of, level, the relations among health care developing the final priority, we urge services authorized under the systems, and those between you to identify clearly the specific topic Rehabilitation Act through well- employment service systems and health within the priority that each comment designed research, training, technical care systems, are complex (Frey et al., addresses. assistance, and dissemination activities We invite you to assist us in 2008; Kelly et al., 2014). in important topical areas as specified complying with the specific Over the last few decades, the concept by NIDILRR. These activities are requirements of Executive Orders 12866 of self-determination has become more designed to benefit rehabilitation and 13563 and their overall requirement widespread in the design and service providers, individuals with of reducing regulatory burden that conceptualization of services for disabilities, family members, might result from this proposed priority. individuals with mental illness. In this policymakers and other research Please let us know of any further ways context, self-determination refers to stakeholders. Additional information on we could reduce potential costs or individuals’ rights to direct their own the RRTC program can be found at: increase potential benefits while services, to be involved in decisions that http://www2.ed.gov/programs/rrtc/ preserving the effective and efficient impact their wellbeing, to be index.html#types. administration of the program. meaningfully involved in the design, During and after the comment period, Program Authority: 29 U.S.C. 762(g) delivery and evaluation of services and you may inspect all public comments by and 764(b)(2). supports, and to develop and use their following the instructions found under Applicable Program Regulations: 34 own personal goals to guide their lives the ‘‘Are you new to the site?’’ portion CFR part 350. and actions (Cook & Jonikas, 2002). Self- of the Federal eRulemaking Portal at Proposed Priority: This notice determination is a central component of wwww.regulations.gov. Any comments contains one proposed priority. the Substance Abuse and Mental Health sent to NIDILRR via postal mail, RRTC on Self-Directed Care To Promote Services Administration’s definition of commercial deliver, or hand delivery Recovery, Health, and Wellness for recovery (U.S. Department of Health and can be viewed in room 5142, 550 12th Individuals With Serious Mental Illness Human Services, 2012b) and has Street SW., PCP, Washington, DC, become an important component of Background between the hours of 8:30 a.m. and 4:00 recovery-oriented mental health p.m., Washington, DC time, Monday Mental health disorders are one of the treatment and services. It is closely through Friday of each week except leading causes of disability in the related to the guiding principle of Federal holidays. United States. In 2012, there were an informed choice in vocational Assistance to Individuals With estimated 9.6 million adults aged 18 or rehabilitation and supported Disabilities in Reviewing the older in the U.S. with serious mental employment (Drake, Bond & Becker, Rulemaking Record: On request we will illness, representing 4.1 percent of all 2012; Workforce Innovation and

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Opportunity Act of 2014). In the field of Mechanic, 2014). Services provided directed care programs to empower general health care, self-determination through care coordination models can individuals with serious mental principles are reflected in the concept of bridge the gap between mental health illnesses. Social Work in Mental Health, self-direction (e.g., Centers for Medicare and general health services and improve 8(3), 209–224. Barry, C.L., & Huskamp, H.A. (2011). Moving and Medicaid Services, no date). outcomes both in mental and in general beyond parity—mental health and Principles of self-determination can be medical health (Woltmann et al., 2012). addiction care under the ACA. New incorporated into many types of services Although care coordination England Journal of Medicine, 365(11), and supports for individuals with organizations do not necessarily 973–975. mental illness and into efforts to address incorporate self-determination features, Brekke, J.S., Siantz, E., Pahwa, R., Kelly, E., system and individual-level barriers to they can do so. For example, care Tallen, L., & Fulginiti, A. (2013). health and employment services. coordination models may include Reducing Health Disparities for People At the system level, the self- illness self management programs, with Serious Mental Illness. Best Practices in Mental Health, 9(1), 62–82. determination approach in health care which train individuals on how to has informed systems in which Centers for Medicaid and Medicare Services. manage their symptoms and improve (no date). Self directed services. individuals with disabilities control the their functioning and quality of life. In Retrieved from: http:// services they receive. These systems are fact, the Improving Chronic Illness Care www.medicaid.gov/Medicaid-CHIP- known by a variety of names, (e.g., Initiative includes illness self- Program-Information/By-Topics/ person-centered funding, person- management as a core feature (Kelly et Delivery-Systems/Self-Directed- directed services, participant-directed al., 2014; McDonald et al., 2007; Services.html. services, cash and counseling) (Barczyk Woltmann et al., 2012). Illness self- Chinman, M., George, P., Dougherty, R.H., & Lincove, 2010; O’Brien et al., 2005; Daniels, A.S., Ghose, S.S., Swift, A., & management interventions can be Delphin-Rittmon, M.E. (2014). Peer Powers & Sowers, 2006; Robert Wood effective for people with mental illness Johnson Foundation, 2006). When the support services for individuals with dealing with general medical problems serious mental illnesses: assessing the system is designed for individuals with (Kelly et al., 2014) or mental illness (Roe evidence. Psychiatric Services, 65(4), serious mental illness, this type of et al., 2009). In addition, there is 429–441. service is frequently referred to as self- preliminary evidence that mental illness Cook, J. (2006). Employment barriers for directed care. It uses public funds to self-management may have positive persons with psychiatric disabilities: provide individuals with the cash value effects on employment outcomes Update of a report for the President’s of services and allows individuals to (Michon, 2011). Commission. Psychiatric Services, choose, organize, and purchase services However, coordinated care systems 57(10), 1391–1405. (Alakeson, 2008), thereby providing Cook, J.A., & Jonikas, J.A. (2002). Self- can be complex for consumers to Determination Among Mental Health both self-direction and a mechanism to negotiate. Therefore, many systems purchase services and goods Consumers/Survivors Using Lessons provide staff who serve as navigators to From the Past to Guide the Future. traditionally covered by different help guide clients through the barriers Journal of Disability Policy Studies, funding sources. Individuals may of complex health care systems and 13(2), 88–96. choose services and supports that are provide support for consumers in such Cook, J.A., Razzano, L.A., Burke-Miller, J.K., not traditionally provided in the mental self-directed activities as developing Blyler, C.R., Leff, H.S., Mueser, health system, such as wellness plans and making choices. Early K.T.,Gold, P.B., Goldberg, R.W., Shafer, services, transportation, medical or research indicates that provision of M.S., Onken, S.J., McFarlane, W.R., Donegan, K., Carey, M.A., Kauffmann, C., dental services, and tangible items that navigator services can improve health support community participation (Cook & Grey, D.D. (2007). Effects of co- outcomes and use of medical services occurring disorders on employment et al., 2008). Individuals are provided for individuals with mental illness with assistance to help them develop outcomes in a multisite randomized (Griswold et al., 2010; Kelly et al., study of supported employment for their own individual service plans and 2013). In addition, having peers serve people with severe mental illness. budgets. The mechanism involved can either as navigators or to deliver mental Journal of Rehabilitation Research and vary, (e.g., direct payments, individual or general healthcare interventions can Development, 44(6), 837. budgets, flexible funds). Early data on be effective for individuals with mental Cook, J., Russell, C., Grey, D., & Jonikas, J. the effectiveness of this approach for illness (Brekke et al., 2013; Chinman et (2008). Economic grand rounds: A self- individuals with mental illness suggest directed care model for mental health al., 2014; Kelly et al, 2014; Pitt et al., that self-directed care can yield positive recovery. Psychiatric Services, 59(6), 2013). results for a variety of outcomes, 600–602. Research on the use of self-directed Croft, B., & Parish, S.L. (2013). Care including employment, quality of life, services and supports, and self-directed and service use (Alakeson, 2008; Cook integration in the patient protection and care, for individuals with mental illness affordable care act: Implications for et al., 2008; O’Brien et al., 2005; Webber is in preliminary stages. There is a need behavioral health. Administration and et al., 2014). However, self-directed care for better understanding of the optimal Policy in Mental Health and Mental has been implemented in few States, use of self-directed strategies in the Health Services Research, 40(4), 258– and very little is known about the integration of general health care and 263. effectiveness of this approach for many mental health care, as well as the Drake, R.E., Bond, G. R., & Becker, D. R. recovery-oriented outcomes, such as (2012). Individual placement and optimal involvement of peer supports employment. support: An evidence-based approach to Other system-level approaches to for people with serious mental illness. supported employment. Oxford References: improving both access to health care University Press. and the health of individuals with Alakeson, V., (2008). Let patients control the Druss, B.G., Zhao, L., von Esenwein, S.A., mental illness have incorporated purse strings. British Medical Journal, Bona, J.R., Fricks, L., Jenkins-Tucker, S., Sterling, E., DiClemente, R., & Lorig, K. principles of care coordination to 336, 807–809. Banham, L., & Gilbody, S. (2010). Smoking (2010). The Health and Recovery Peer integrate mental health services with cessation in severe mental illness: What (HARP) Program: a peer-led intervention general medical services (Barry & works? Addiction, 105(7), 1176–1189. to improve medical self-management for Huskamp, 2014; Croft & Parish, 2012; Barczyk, A.N., & Lincove, J.A. (2010). Cash persons with serious mental illness. Druss et al., 2010; Kelly et al., 2014; and counseling: A model for self- Schizophrenia Research, 118(1), 264–

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270. Journal, 32(4), 285–291. interventions or policies. The results of Frey, W.D., Azrin, S.T., Goldman, H.H., Salzer, M., Kaplan, K., & Atay, J. (2006). State the exploration and discovery stage of Kalasunas, S., Salkever, D.S., Miller, psychiatric hospital census after the research may also be used to inform A.L., Bond, G.R., & Drake, R.E. (2008). 1999 Olmstead decision: Evidence of decisions or priorities. The mental health treatment study. decelerating deinstitutionalization. (b) Intervention Development means Psychiatric Rehabilitation Journal, 31(4), Psychiatric Services, 57(10), 1501–1504. 306. U.S. Department of Health and Human the stage of research that focuses on Griswold, K.S., Homish, G.G., Pastore, P.A., Services, Substance Abuse and Mental generating and testing interventions that & Leonard, K.E. (2010). A randomized Health Services Administration (2012a). have the potential to improve outcomes trial: Are care navigators effective in Results from the 2012 National Survey for individuals with disabilities. connecting patients to primary care after on Drug Use and Health: Mental Health Intervention development involves psychiatric crisis? Community Mental Findings. Retrieved from: http:// determining the active components of Health Journal, 46(4), 398–402. www.samhsa.gov/data/sites/default/ possible interventions, developing Kelly, E.L., Fenwick, K.M., Barr, N., Cohen, files/2k12MH_Findings/ measures that would be required to _ H., & Brekke, J.S. (2014). A Systematic 2k12MH Findings/ illustrate outcomes, specifying target Review of Self-Management Health Care NSDUHmhfr2012.htm#sec2-2. populations, conducting field tests, and Models for Individuals With Serious U.S. Department of Health and Human Mental Illnesses. Psychiatric Services, Services, Substance Abuse and Mental assessing the feasibility of conducting a 65(11), 1300–1310. Health Services Administration (2012b). well-designed interventions study. Kelly, E., Fulginiti, A., Pahwa, R., Tallen, L., SAMHSA’s Working Definition of Results from this stage of research may Duan, L., & Brekke, J.S. (2013). A pilot Recovery. Retrieved from: http:// be used to inform the design of a study test of a peer navigator intervention for store.samhsa.gov/shin/content//PEP12- to test the efficacy of an intervention. improving the health of individuals with RECDEF/PEP12-RECDEF.pdf. (c) Intervention Efficacy means the serious mental illness. Community Webber, M., Treacy, S., Carr, S., Clark, M., & stage of research during which a project Mental Health Journal, 50(4), 435–446. Parker, G. (2014). The effectiveness of evaluates and tests whether an Lerner, D., Adler, D., Hermann, R.C., Chang, personal budgets for people with mental intervention is feasible, practical, and H., Ludman, E.J., Greenhill, A., Perch, K., health problems: A systematic review. McPeck, W.C., & Rogers, W.H. (2012). has the potential to yield positive Journal of Mental Health, 23(3), 146–155. outcomes for individuals with Impact of a work-focused intervention on Woltmann, E., Grogan-Kaylor, A., Perron, B., the productivity and symptoms of Georges, H., Kilbourne, A.M., & Bauer, disabilities. Efficacy research may assess employees with depression. Journal of M.S. (2012). Comparative effectiveness of the strength of the relationships Occupational and Environmental collaborative chronic care models for between an intervention and outcomes, Medicine, 54(2), 128. mental health conditions across primary, and may identify factors or individual Mechanic, D. (2014). Seizing opportunities specialty, and behavioral health care characteristics that affect the under the Affordable Care Act for settings: Systematic review and meta- relationship between the intervention transforming the mental and behavioral analysis. American Journal of Psychiatry, and outcomes. Efficacy research can health system. Health Affairs, 31(2), 169(8), 790–804. inform decisions about whether there is 376–382. Workforce Innovation and Opportunity Act sufficient evidence to support ‘‘scaling- Michon, H.W., Van Weeghel, J., Kroon, H., & of 2014. Public Law 113–128. Schene, A.H. (2011). Illness self- up’’ an intervention to other sites and contexts. This stage of research can management assessment in psychiatric Definitions vocational rehabilitation. Psychiatric include assessing the training needed Rehabilitation Journal, 35(1), 21. The research that is proposed under for wide-scale implementation of the National Council on Disability (2008). this priority must be focused on one or intervention, and approaches to Inclusive livable communities for people more stages of research. If the RRTC is evaluation of the intervention in real with psychiatric disabilities. to conduct research that can be world applications. Washington, DC: National Council on categorized under more than one (d) Scale-Up Evaluation means the Disability. Retrieved from www.ncd.gov/ research stage, or research that stage of research during which a project publications/2008/03172008. progresses from one stage to another, O’Brien, D., Ford, L., & Malloy, J. M. (2005). analyzes whether an intervention is Person centered funding: Using vouchers those research stages must be clearly effective in producing improved and personal budgets to support recovery specified. For purposes of this priority, outcomes for individuals with and employment for people with the stages of research are from the notice disabilities when implemented in a real- psychiatric disabilities. Journal of of final priorities and definitions world setting. During this stage of Vocational Rehabilitation, 23, 71–79. published in the Federal Register on research, a project tests the outcomes of Pitt, V., Lowe, D., Hill, S., Prictor, M., June 7, 2013 (78 FR 34261). an evidence-based intervention in Hetrick, S.E., Ryan, R., & Berends, L. (a) Exploration and Discovery means different settings. It examines the (2013). Consumer-providers of care for the stage of research that generates challenges to successful replication of adult clients of statutory mental health hypotheses or theories by conducting the intervention, and the circumstances services. Cochrane Database Systematic new and refined analyses of data, Reviews, 3. and activities that contribute to Powers L.E., & Sowers, J. (2006). A cross- producing observational findings, and successful adoption of the intervention disability analysis of person-directed, creating other sources of research-based in real-world settings. This stage of long-term services. Journal of Disability information. This research stage may research may also include well-designed Policy Studies, 17, 66–76. include identifying or describing the studies of an intervention that has been Robert Wood Johnson Foundation (2006). barriers to and facilitators of improved widely adopted in practice, but that Choosing independence: An overview of outcomes of individuals with lacks a sufficient evidence-base to the cash and counseling model of self- disabilities, as well as identifying or demonstrate its effectiveness. directed personal assistance services. describing existing practices, programs, Princeton NJ: Robert Wood Johnson or policies that are associated with Proposed Priority Foundation. Roe, D., Hasson-Ohayon, I., Salyers, M.P., & important aspects of the lives of The Administrator of the Kravetz, S. (2009). A one year follow-up individuals with disabilities. Results Administration for Community Living of illness management and recovery: achieved under this stage of research proposes a priority for the Participants’ accounts of its impact and may inform the development of Rehabilitation Research and Training uniqueness. Psychiatric Rehabilitation interventions or lead to evaluations of Center (RRTC) Program administered by

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the National Institute on Disability, flexible funding of services that support or loan programs or the rights and Independent Living, and Rehabilitation mental health treatment and recovery, obligations of recipients thereof; or Research (NIDILRR). Specifically, this general health, and employment. These (4) Raise novel legal or policy issues notice proposes a priority on Self- services may include services and arising out of legal mandates, the Directed Care to Promote Recovery, supports not traditionally supplied by President’s priorities, or the principles Health, and Wellness for Individuals mental health or general medical stated in the Executive Order. with Serious Mental Illness. This RRTC systems. This proposed regulatory action is not will be jointly funded by NIDILRR and (3) Increased incorporation of a significant regulatory action subject to the Substance Abuse and Mental Health research findings related to SMI, self- review by OMB under section 3(f) of Services Administration. The RRTC will directed care, health management, and Executive Order 12866. conduct research to develop, adapt, and employment into practice or policy. We have also reviewed this regulatory enhance self-directed models of general (a) Developing, evaluating, or action under Executive Order 13563, medical, mental health, and nonmedical implementing strategies to increase which supplements and explicitly services that are designed to improve utilization of research findings related reaffirms the principles, structures, and health, recovery, and employment to SMI, co-occurring conditions, health definitions governing regulatory review outcomes for individuals with serious management, and employment. established in Executive Order 12866. mental illness. The RRTC must conduct (b) Conducting training, technical To the extent permitted by law, research, knowledge translation, assistance, and dissemination activities Executive Order 13563 requires that an training, dissemination, and technical to increase utilization of research agency— assistance within a framework of findings related to self-directed care of (1) Propose or adopt regulations only consumer-directed services and self- individuals living with SMI to promote upon a reasoned determination that management. Under this priority, the and co-occurring conditions, health their benefits justify their costs RRTC must contribute to the following management, and employment. (recognizing that some benefits and outcomes: Final Priority costs are difficult to quantify); (1) Increased knowledge that can be (2) Tailor its regulations to impose the used to enhance the health and well- We will announce the final priority in least burden on society, consistent with being of individuals with serious mental a notice in the Federal Register. We will obtaining regulatory objectives and illness and co-occurring conditions. The determine the final priority after taking into account—among other things RRTC must contribute to this outcome considering responses to this notice and and to the extent practicable—the costs by: other information available to the of cumulative regulations; (a) Conducting research to develop a Department. This notice does not better understanding of the barriers to (3) In choosing among alternative preclude us from proposing additional regulatory approaches, select those and facilitators of implementing models priorities, requirements, definitions, or that integrate general medical and approaches that maximize net benefits selection criteria, subject to meeting (including potential economic, mental health care for individuals with applicable rulemaking requirements. SMI. These models must incorporate environmental, public health and safety, self-management and self-direction Note: This notice does not solicit and other advantages; distributive applications. In any year in which we choose impacts; and equity); strategies. This research must to use this priority, we invite applications specifically examine models that (4) To the extent feasible, specify through a notice in the Federal Register or performance objectives, rather than the incorporate peer-provided services and in a Funding Opportunity Announcement supports along with research-based posted at www.grants.gov. behavior or manner of compliance a service integration strategies such as regulated entity must adopt; and health navigation and care coordination. Executive Orders 12866 and 13563 (5) Identify and assess available (b) Conducting research to identify or alternatives to direct regulation, develop and then test interventions that Regulatory Impact Analysis including economic incentives—such as use individual budgets or flexible funds Under Executive Order 12866, the user fees or marketable permits—to to increase consumer choice. The RRTC Secretary must determine whether this encourage the desired behavior, or must design this research to determine regulatory action is ‘‘significant’’ and, provide information that enables the the extent to which the consumer- therefore, subject to the requirements of public to make choices. choice intervention improves health the Executive Order and subject to Executive Order 13563 also requires outcomes and promotes recovery among review by the Office of Management and an agency ‘‘to use the best available individuals living with SMI. In carrying Budget (OMB). Section 3(f) of Executive techniques to quantify anticipated out this activity, the grantee must Order 12866 defines a ‘‘significant present and future benefits and costs as investigate the applicability of strategies regulatory action’’ as an action likely to accurately as possible.’’ The Office of that have proven successful with the result in a rule that may— Information and Regulatory Affairs of general population or other (1) Have an annual effect on the OMB has emphasized that these subpopulations to determine if they are economy of $100 million or more, or techniques may include ‘‘identifying effective with individuals with SMI and adversely affect a sector of the economy, changing future compliance costs that co-occurring conditions. productivity, competition, jobs, the might result from technological (2) Improved employment outcomes environment, public health or safety, or innovation or anticipated behavioral among individuals with SMI. The RRTC State, local, or tribal governments or changes.’’ must contribute to this outcome by: communities in a material way (also We are issuing this proposed priority (a) Conducting research to develop a referred to as an ‘‘economically only upon a reasoned determination better understanding of the barriers to significant’’ rule); that its benefits would justify its costs. and facilitators of implementing (2) Create serious inconsistency or In choosing among alternative vocational service and support models otherwise interfere with an action taken regulatory approaches, we selected that incorporate self management and or planned by another agency; those approaches that would maximize self-direction features. These features (3) Materially alter the budgetary net benefits. Based on the analysis that must include self-directed financing and impacts of entitlement grants, user fees, follows, the Department believes that

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this proposed priority is consistent with DEPARTMENT OF HEALTH AND commenters should be careful to the principles in Executive Order 13563. HUMAN SERVICES include in their comments only We also have determined that this information that they wish to make Administration for Community Living regulatory action would not unduly publicly available. interfere with State, local, and tribal [CFDA Number: 84.133B–3] FOR FURTHER INFORMATION CONTACT: governments in the exercise of their Patricia Barrett. Telephone: (202) 245– governmental functions. Proposed priority—National Institute 6211 or by email: on Disability, Independent Living, and [email protected]. In accordance with both Executive Rehabilitation Research— If you use a telecommunications Orders, the Department has assessed the Rehabilitation Research and Training device for the deaf (TDD) or a text potential costs and benefits, both Centers telephone (TTY), call the Federal Relay quantitative and qualitative, of this AGENCY: Administration for Community Service (FRS), toll free, at 1–800–877– regulatory action. The potential costs 8339. are those resulting from statutory Living, Department of Health and requirements and those we have Human Services. SUPPLEMENTARY INFORMATION: This determined as necessary for ACTION: Notice of proposed priority. notice of proposed priority is in concert administering the Department’s with NIDRR’s currently approved Long- SUMMARY: The Administrator of the programs and activities. Range Plan (Plan). The Plan, which was Administration for Community Living published in the Federal Register on The benefits of the Disability and proposes a priority for the April 4, 2013 (78 FR 20299), can be Rehabilitation Research Projects and Rehabilitation Research and Training accessed on the Internet at the following Centers Program have been well Center (RRTC) Program administered by site: www.ed.gov/about/offices/list/ established over the years. Projects the National Institute on Disability, osers/nidrr/policy.html. similar to one envisioned by the Independent Living, and Rehabilitation The Plan identifies a need for research proposed priority have been completed Research (NIDILRR). Specifically, this and training regarding employment of successfully, and the proposed priority notice proposes a priority for an RRTC individuals with disabilities. To address would generate new knowledge through on Employment Policy and this need, NIDILRR seeks to: (1) Improve research. The new RRTC would Measurement. We take this action to the quality and utility of disability and generate, disseminate, and promote the focus research attention on an area of rehabilitation research; (2) foster an use of new information that would national need. We intend this priority to exchange of research findings, expertise, improve recovery, health, and wellness contribute to improved employment and other information to advance outcomes for individuals with serious outcomes for individuals with knowledge and understanding of the mental illness (SMI) and co-occurring disabilities. needs of individuals with disabilities conditions. DATES: We must receive your comments and their family members, including Intergovernmental Review: This on or before March 27, 2015. those from among traditionally underserved populations; (3) determine program is not subject to Executive ADDRESSES: Submit your comments effective practices, programs, and Order 12372. through the Federal eRulemaking Portal or via postal mail or commercial policies to improve community living Electronic Access to This Document: delivery. We will not accept comments and participation, employment, and The official version of this document is submitted by fax or by email or those health and function outcomes for the document published in the Federal submitted after the comment period. To individuals with disabilities; (4) identify Register. Free Internet access to the ensure that we do not receive duplicate research gaps and areas for promising official edition of the Federal Register copies, please submit your comments research investments; (5) identify and and the Code of Federal Regulations is only once. In addition, please include promote effective mechanisms for available via the Federal Digital System the Docket ID at the top of your integrating research and practice; and at: www.gpo.gov/fdsys. At this site you comments. (6) disseminate research findings to all can view this document, as well as all • Federal eRulemaking Portal: Go to major stakeholder groups, including other documents of this Department www.regulations.gov to submit your individuals with disabilities and their published in the Federal Register, in comments electronically. Information family members in formats that are text or Adobe Portable Document on using Regulations.gov, including appropriate and meaningful to them. Format (PDF). To use PDF you must instructions for accessing agency This notice proposes one priority that have Adobe Acrobat Reader, which is documents, submitting comments, and NIDILRR intends to use for one or more available free at the site. viewing the docket, is available on the competitions in fiscal year (FY) 2015 site under ‘‘Are you new to the site?’’ and possibly later years. NIDILRR is You may also access documents of the • Postal Mail or Commercial Delivery: under no obligation to make an award Department published in the Federal If you mail or deliver your comments under this priority. The decision to Register by using the article search about these proposed regulations, make an award will be based on the feature at: www.federalregister.gov. address them to Patricia Barrett, U.S. quality of applications received and Specifically, through the advanced Department of Health and Human available funding. NIDILRR may publish search feature at this site, you can limit Services, 400 Maryland Avenue SW., additional priorities, as needed. your search to documents published by Room 5142, Potomac Center Plaza Invitation to Comment: We invite you the Department. (PCP), Washington, DC 20202–2700. to submit comments regarding this Dated: February 19, 2015. Privacy Note: The Department’s proposed priority. To ensure that your Kathy Greenlee, policy is to make all comments received comments have maximum effect in from members of the public available for developing the final priority, we urge Administrator. public viewing in their entirety on the you to identify clearly the specific topic [FR Doc. 2015–03880 Filed 2–24–15; 8:45 am] Federal eRulemaking Portal at within the priority that each comment BILLING CODE 4151–01–P www.regulations.gov. Therefore, addresses.

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We invite you to assist us in by NIDILRR. These activities are Prior RRTC–EPM work focused on complying with the specific designed to benefit rehabilitation examining and improving extant requirements of Executive Orders 12866 service providers, individuals with methods of measuring disability status, and 13563 and their overall requirement disabilities, family members, as well as measuring employment of reducing regulatory burden that policymakers and other research outcomes among people with might result from this proposed priority. stakeholders. Additional information on disabilities. For example, the RRTC Please let us know of any further ways the RRTC program can be found at: illustrated how self-reported disability we could reduce potential costs or http://www2.ed.gov/programs/rrtc/ status changes over time through an increase potential benefits while index.html#types. analysis of longitudinal data focusing on preserving the effective and efficient Program Authority: 29 U.S.C. 762(g) and youth (Mann and Honeycutt, 2014). administration of the program. 764(b)(2). These analyses indicated that the During and after the comment period, proportion of respondents with a Applicable Program Regulations: 34 you may inspect all public comments by disability doubled from 12 percent to CFR part 350. following the instructions found under nearly 25 percent over the course of 13 the ‘‘Are you new to the site?’’ portion Proposed Priority years. Multivariate analyses showed that of the Federal eRulemaking Portal at women were more likely than men to wwww.regulations.gov. Any comments This notice contains one proposed report changes in health condition or sent to NIDILRR via postal mail or priority. disability status, and those with mild commercial delivery can be viewed in RRTC on Employment Policy and disabilities were relatively less likely Room 5142, 550 12th Street SW., PCP, Measurement than those without or with severe Washington, DC, between the hours of disabilities to experience changes in 8:30 a.m. and 4:00 p.m., Washington, Background disability status. The RRTC also studied DC time, Monday through Friday of Since the 2007 recession, Social extant surveys and found that each week except Federal holidays. Security Disability Insurance (SSDI) commonly used measures overestimated Assistance to Individuals With applications and awards have increased employment and underestimated receipt Disabilities in Reviewing the rapidly. There are nearly 9 million of disability income assistance such as Rulemaking Record: On request we will beneficiaries currently receiving SSDI SSDI (Burkhauser, Houtenville and provide an appropriate accommodation payments, and this figure is expected to Tenant, 2014). Other researchers have or auxiliary aid to an individual with a grow as workers age and increase their recently explored similar issues related disability who needs assistance to likelihood of experiencing disability. to the reliability and stability of review the comments or other With this growth in program disability measures (Brault, 2013; documents in the public rulemaking participation, actuaries estimate that the Davies & Fisher, 2013; Sears & Rupp, record for this notice. If you want to SSDI trust fund will be depleted in late 2003). Knowledge gained through this schedule an appointment for this type of 2016 unless substantial changes occur work has highlighted a need to develop accommodation or auxiliary aid, please (Social Security Administration, 2014). improved methods of measuring both contact the person listed under FOR Given this scenario, developing disability and employment in ways that FURTHER INFORMATION CONTACT. generate more reliable and valid Purpose of Program: The purpose of informed employment policy options is essential. These options require sound research findings. Continued innovation the Disability and Rehabilitation is thus needed to develop measures and Research Projects and Centers Program research to inform policymakers metrics that accurately reflect the is to plan and conduct research, regarding the projected impacts of changing nature of disability across the demonstration projects, training, and policies that encourage employment life span as well as changes in the related activities, including among individuals with disabilities workforce over time. By doing so, international activities, to develop while ensuring an adequate safety net. research results may be more relevant methods, procedures, and rehabilitation Research is also needed to evaluate the for policy and program decisions aimed technology that maximize the full long-term impacts of policies and at improving employment outcomes for inclusion and integration into society, programs that aim to facilitate people with disabilities. employment, independent living, family employment and improve the quality of support, and economic and social self- life among people with disabilities. References The interactions between Social sufficiency of individuals with Brault, M. (2013). Reliability and stability of disabilities, especially individuals with Security disability programs and public the 6-question disability measure in the the most severe disabilities, and to health insurance programs have long Survey of Income and Program improve the effectiveness of services been considered a substantial barrier to Participation. Retrieved December 31, authorized under the Rehabilitation Act employment for people with disabilities 2014, from: http://www.census.gov/ _ of 1973, as amended (Rehabilitation (Loprest & Maag, 2001; National Council people/disability/files/sipp reliability- Act). on Disability, 2007). The 2010 jsm2013.pdf. enactment of the Patient Protection and Burkhauser, R., Houtenville, A., and Rehabilitation Research and Training Affordable Care Act (ACA) provided Tennant, J. (2014). Capturing the elusive Centers working-age population with disabilities: improved access to public and private Reconciling conflicting social success The purpose of the RRTCs, which are insurance for all Americans including estimates from the Current Population funded through the Disability and those with disabilities. For example, the Survey and American Community Rehabilitation Research Projects and ACA prevents health care coverage Survey. Journal of Disability Policy Centers Program, is to achieve the goals denials due to pre-existing conditions, Studies, 24(4) 195–205. of, and improve the effectiveness of, increases coverage requirements, and Davies, P., and Fisher, T.L. (2013). services authorized under the provides mental health parity for Measurement issues associated with using survey data matched with Rehabilitation Act through well- persons with psychiatric disabilities. administrative data from the Social designed research, training, technical The impact of the ACA on employment Security Administration. Retrieved assistance, and dissemination activities outcomes for people with disabilities is January 19, 2015, from: http://www.ssa. in important topical areas as specified an important research area. gov/policy/docs/ssb/v69n2/

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v69n2p1.html. the exploration and discovery stage of RRTC (RRTC–EPM) is to investigate the Loprest, P., and Maag, E. (2001). Barriers to research may also be used to inform impact of Federal and State policies and and Supports for Work Among Adults decisions or priorities. programs on employment of individuals with Disabilities: Results from the NHIS– (b) Intervention Development means with disabilities, paying particular D. Retrieved on December 31, 2014, from: http://aspe.hhs.gov/daltcp/reports/ the stage of research that focuses on attention to the effects of program barriers.htm. generating and testing interventions that interactions. The RRTC–EPM will also Mann, D. and Honeycutt, T. (2014). Changes have the potential to improve outcomes examine new ways of measuring in disability status and survey attrition: for individuals with disabilities. employment outcomes and facilitate the A longitudinal analysis. Retrieved Intervention development involves translation of research findings to guide January 9, 2015, from: http://www. determining the active components of policymaking and program researchondisability.org/docs/ possible interventions, developing administration. Applicants must publications/statsrrtc-r3-longitudinal- measures that would be required to identify targeted research questions in study-final-report-12-19-14.pdf?sfvrsn=2. National Council on Disability (2007). illustrate outcomes, specifying target response to the problems identified Empowerment for Americans with populations, conducting field tests, and below and propose rigorous research disabilities: Breaking barriers to careers assessing the feasibility of conducting a methodologies to answer these and full employment. Retrieved January well-designed interventions study. questions. Of particular interest is 19, 2015, from: http://www.ncd.gov/ Results from this stage of research may research that investigates the interaction publications/2007/Oct2007. be used to inform the design of a study between the Affordable Care Act (ACA), Patient Protection and Affordable Care Act, to test the efficacy of an intervention. Social Security Disability Insurance Public Law 111—148 (2010). Retrieved (c) Intervention Efficacy means the (SSDI), and employment. The desired December 31, 2014, from: http://www. stage of research during which a project gpo.gov/fdsys/pkg/PLAW-111publ148/ outcome of this investment is new content-detail.html. evaluates and tests whether an knowledge about the effect of new or Sears, J., Rupp, K. (2003). Exploring Social intervention is feasible, practical, and existing policies on employment-related Security payment history matched with has the potential to yield positive decision-making of individuals with the Survey of Income and Program outcomes for individuals with disabilities, and ultimately on rates and Participation. Retrieved December 31, disabilities. Efficacy research may assess quality of employment by these 2014, from: http://www.oecd.org/std/ the strength of the relationships individuals. 36232603.pdf. between an intervention and outcomes, Social Security Administration (2014). The The RRTC must contribute to and may identify factors or individual improving the employment outcomes of 2014 Annual Report of the Board of characteristics that affect the Trustees of the Federal Old-Age and individuals with disabilities by: Survivors Insurance and Federal relationship between the intervention (a) Generating new knowledge about Disability Insurance Trust Funds. and outcomes. Efficacy research can the effects of program interactions on Retrieved December 31, 2014, from: inform decisions about whether there is employment outcomes of individuals http://www.ssa.gov/oact/tr/2014/ sufficient evidence to support ‘‘scaling- with disabilities, including but not index.html. up’’ an intervention to other sites and necessarily limited to the interaction contexts. This stage of research can Definitions between Social Security disability include assessing the training needed benefit programs and the ACA. The research that is proposed under for wide-scale implementation of the Specifically, the RRTC must generate this priority must be focused on one or intervention, and approaches to new knowledge of the potential impacts more stages of research. If the RRTC is evaluation of the intervention in real of varied policy scenarios regarding the to conduct research that can be world applications. SSDI trust fund exhaustion on the categorized under more than one (d) Scale-Up Evaluation means the employment and economic outcomes of research stage, or research that stage of research during which a project individuals with disabilities. progresses from one stage to another, analyzes whether an intervention is (b) Developing reliable and valid those research stages must be clearly effective in producing improved methods of measuring employment specified. For purposes of this priority, outcomes for individuals with outcomes for people with disabilities; the stages of research are from the notice disabilities when implemented in a real- (c) Serving as a national resource of final priorities and definitions world setting. During this stage of center on policy issues that impact published in the Federal Register on research, a project tests the outcomes of employment outcomes of individuals June 7, 2013 (78 FR 34261). an evidence-based intervention in with disabilities, and (a) Exploration and Discovery means different settings. It examines the (d) Increasing incorporation of the stage of research that generates challenges to successful replication of research findings from the RRTC into hypotheses or theories by conducting the intervention, and the circumstances practice or policy by: new and refined analyses of data, and activities that contribute to (1) Collaborating with stakeholder producing observational findings, and successful adoption of the intervention groups to develop, evaluate, or creating other sources of research-based in real-world settings. This stage of implement strategies to increase information. This research stage may research may also include well-designed utilization of research findings; include identifying or describing the studies of an intervention that has been (2) Conducting training and barriers to and facilitators of improved widely adopted in practice, but that dissemination activities to facilitate the outcomes of individuals with lacks a sufficient evidence-base to utilization of research findings by disabilities, as well as identifying or demonstrate its effectiveness. policymakers, employers, and describing existing practices, programs, individuals with disabilities; or policies that are associated with Proposed Priority (3) Providing technical assistance to important aspects of the lives of The Administrator of the facilitate use of information produced individuals with disabilities. Results Administration for Community Living by the RRTC research; and achieved under this stage of research proposes a priority for an RRTC on (4) Collaborating and sharing may inform the development of Employment Policy and Measurement. information with other agencies across interventions or lead to evaluations of The purpose of the proposed RRTC on the Federal government. In addition, the interventions or policies. The results of Employment Policy and Measurement RRTC must collaborate with appropriate

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NIDILRR-funded grantees, including (1) Propose or adopt regulations only established over the years. Projects knowledge translation grantees and upon a reasoned determination that similar to one envisioned by the grantees involved with employment their benefits justify their costs proposed priority have been completed research. (recognizing that some benefits and successfully, and the proposed priority costs are difficult to quantify); would generate new knowledge through Final Priority (2) Tailor its regulations to impose the research. The new RRTC would We will announce the final priority in least burden on society, consistent with generate, disseminate, and promote the a notice in the Federal Register. We will obtaining regulatory objectives and use of new information that would determine the final priority after taking into account—among other things improve outcomes for individuals with considering responses to this notice and and to the extent practicable—the costs disabilities in the area of employment. other information available to the of cumulative regulations; Intergovernmental Review: This Department. This notice does not (3) In choosing among alternative program is not subject to Executive preclude us from proposing additional regulatory approaches, select those Order 12372. priorities, requirements, definitions, or approaches that maximize net benefits Electronic Access to This Document: selection criteria, subject to meeting (including potential economic, The official version of this document is applicable rulemaking requirements. environmental, public health and safety, the document published in the Federal Note: This notice does not solicit and other advantages; distributive Register. Free Internet access to the applications. In any year in which we choose impacts; and equity); official edition of the Federal Register to use this priority, we invite applications (4) To the extent feasible, specify and the Code of Federal Regulations is through a notice in the Federal Register or performance objectives, rather than the available via the Federal Digital System in a Funding Opportunity Announcement behavior or manner of compliance a at: www.gpo.gov/fdsys. At this site you posted at www.grants.gov. regulated entity must adopt; and can view this document, as well as all (5) Identify and assess available other documents of this Department Executive Orders 12866 and 13563 alternatives to direct regulation, published in the Federal Register, in including economic incentives—such as Regulatory Impact Analysis text or Adobe Portable Document user fees or marketable permits—to Under Executive Order 12866, the Format (PDF). To use PDF you must encourage the desired behavior, or have Adobe Acrobat Reader, which is Secretary must determine whether this provide information that enables the regulatory action is ‘‘significant’’ and, available free at the site. public to make choices. You may also access documents of the therefore, subject to the requirements of Executive Order 13563 also requires Department published in the Federal the Executive Order and subject to an agency ‘‘to use the best available Register by using the article search review by the Office of Management and techniques to quantify anticipated feature at: www.federalregister.gov. Budget (OMB). Section 3(f) of Executive present and future benefits and costs as Specifically, through the advanced Order 12866 defines a ‘‘significant accurately as possible.’’ The Office of search feature at this site, you can limit regulatory action’’ as an action likely to Information and Regulatory Affairs of your search to documents published by result in a rule that may— OMB has emphasized that these the Department. (1) Have an annual effect on the techniques may include ‘‘identifying economy of $100 million or more, or changing future compliance costs that Dated: February 19, 2015. adversely affect a sector of the economy, might result from technological Kathy Greenlee, productivity, competition, jobs, the innovation or anticipated behavioral Administrator. environment, public health or safety, or changes.’’ [FR Doc. 2015–03882 Filed 2–24–15; 8:45 am] State, local, or tribal governments or We are issuing this proposed priority BILLING CODE 4154–01–P communities in a material way (also only upon a reasoned determination referred to as an ‘‘economically that its benefits would justify its costs. significant’’ rule); In choosing among alternative DEPARTMENT OF HEALTH AND (2) Create serious inconsistency or regulatory approaches, we selected HUMAN SERVICES otherwise interfere with an action taken those approaches that would maximize or planned by another agency; net benefits. Based on the analysis that Administration for Community Living (3) Materially alter the budgetary follows, the Department believes that [CFDA Number: 84.133A–7] impacts of entitlement grants, user fees, this proposed priority is consistent with or loan programs or the rights and the principles in Executive Order 13563. Proposed Priority—National Institute obligations of recipients thereof; or We also have determined that this on Disability, Independent Living, and (4) Raise novel legal or policy issues regulatory action would not unduly Rehabilitation Research—Disability arising out of legal mandates, the interfere with State, local, and tribal and Rehabilitation Research Projects President’s priorities, or the principles governments in the exercise of their Program stated in the Executive Order. governmental functions. This proposed regulatory action is not In accordance with both Executive AGENCY: Administration for Community a significant regulatory action subject to Orders, the Department has assessed the Living, HHS. review by OMB under section 3(f) of potential costs and benefits, both ACTION: Notice of proposed priority. Executive Order 12866. quantitative and qualitative, of this We have also reviewed this regulatory regulatory action. The potential costs SUMMARY: The Administrator of the action under Executive Order 13563, are those resulting from statutory Administration for Community Living which supplements and explicitly requirements and those we have proposes a priority for the Disability and reaffirms the principles, structures, and determined as necessary for Rehabilitation Research Projects definitions governing regulatory review administering the Department’s (DRRPs) Program administered by the established in Executive Order 12866. programs and activities. National Institute on Disability, To the extent permitted by law, The benefits of the Disability and Independent Living, and Rehabilitation Executive Order 13563 requires that an Rehabilitation Research Projects and Research (NIDILRR). Specifically, this agency— Centers Program have been well notice proposes a priority for Promoting

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Universal Design in the Built and health and function of individuals Assistance to Individuals With Environment. We take this action to with disabilities. To address this need, Disabilities in Reviewing the focus research attention on an area of NIDILRR seeks to: (1) Improve the Rulemaking Record: On request we will national need. We intend this priority to quality and utility of disability and provide an appropriate accommodation contribute to improved access to the rehabilitation research; (2) foster an or auxiliary aid to an individual with a built environment by individuals with exchange of research findings, expertise, disability who needs assistance to disabilities. and other information to advance review the comments or other knowledge and understanding of the DATES: We must receive your comments documents in the public rulemaking needs of individuals with disabilities on or before March 27, 2015. record for this notice. If you want to and their family members, including schedule an appointment for this type of ADDRESSES: Submit your comments those from among traditionally accommodation or auxiliary aid, please through the Federal eRulemaking Portal underserved populations; (3) determine contact the person listed under FOR or via postal mail or commercial effective practices, programs, and FURTHER INFORMATION CONTACT. delivery. We will not accept comments policies to improve community living Purpose of Program: The purpose of submitted by fax or by email or those and participation, employment, and the Disability and Rehabilitation submitted after the comment period. To health and function outcomes for Research Projects and Centers Program ensure that we do not receive duplicate individuals with disabilities of all ages; is to plan and conduct research, copies, please submit your comments (4) identify research gaps and areas for demonstration projects, training, and only once. In addition, please include promising research investments; (5) related activities, including the Docket ID at the top of your identify and promote effective international activities, to develop comments. mechanisms for integrating research and • methods, procedures, and rehabilitation Federal eRulemaking Portal: Go to practice; and (6) disseminate research technology that maximize the full www.regulations.gov to submit your findings to all major stakeholder groups, inclusion and integration into society, comments electronically. Information including individuals with disabilities employment, independent living, family on using Regulations.gov, including and their family members in formats support, and economic and social self- instructions for accessing agency that are appropriate and meaningful to sufficiency of individuals with documents, submitting comments, and them. disabilities, especially individuals with viewing the docket, is available on the This notice proposes one priority that the most severe disabilities, and to site under ‘‘Are you new to the site?’’ NIDILRR intends to use for one or more • improve the effectiveness of services Postal Mail or Commercial Delivery: competitions in fiscal year (FY) 2015 authorized under the Rehabilitation Act If you mail or deliver your comments and possibly later years. NIDILRR is of 1973, as amended (Rehabilitation about these proposed regulations, under no obligation to make an award Act). address them to Patricia Barrett, U.S. under this priority. The decision to Department of Health and Human make an award will be based on the Disability and Rehabilitation Research Services, 400 Maryland Avenue SW., quality of applications received and Projects Room 5142, Potomac Center Plaza available funding. NIDILRR may publish The purpose of NIDILRR’s DRRPs, (PCP), Washington, DC 20202–2700. additional priorities, as needed. which are funded through the Disability Invitation to Comment: We invite you Privacy Note: The Department’s and Rehabilitation Research Projects to submit comments regarding this policy is to make all comments received and Centers Program, is to improve the proposed priority. To ensure that your from members of the public available for effectiveness of services authorized comments have maximum effect in public viewing in their entirety on the under the Rehabilitation Act by developing the final priority, we urge Federal eRulemaking Portal at developing methods, procedures, and you to identify clearly the specific topic www.regulations.gov. Therefore, rehabilitation technologies that advance within the priority that each comment commenters should be careful to a wide range of independent living and include in their comments only addresses. We invite you to assist us in employment outcomes for individuals information that they wish to make with disabilities, especially individuals publicly available. complying with the specific requirements of Executive Orders 12866 with the most significant disabilities. FOR FURTHER INFORMATION CONTACT: and 13563 and their overall requirement DRRPs carry out one or more of the Patricia Barrett. Telephone: (202) 245– of reducing regulatory burden that following types of activities, as specified 6211 or by email: patricia.barrett@ might result from this proposed priority. and defined in 34 CFR 350.13 through ed.gov. Please let us know of any further ways 350.19: research, training, If you use a telecommunications we could reduce potential costs or demonstration, development, device for the deaf (TDD) or a text increase potential benefits while utilization, dissemination, and technical telephone (TTY), call the Federal Relay preserving the effective and efficient assistance. Service (FRS), toll free, at 1–800–877– administration of the program. An applicant for assistance under this 8339. During and after the comment period, program must demonstrate in its SUPPLEMENTARY INFORMATION: This you may inspect all public comments by application how it will address, in notice of proposed priority is in concert following the instructions found under whole or in part, the needs of with NIDRR’s currently approved Long- the ‘‘Are you new to the site?’’ portion individuals with disabilities from Range Plan (Plan). The Plan, which was of the Federal eRulemaking Portal at minority backgrounds (34 CFR published in the Federal Register on www.regulations.gov. Any comments 350.40(a)). The approaches an applicant April 4, 2013 (78 FR 20299), can be sent to NIDILRR via postal mail or may take to meet this requirement are accessed on the Internet at the following commercial delivery can be viewed in found in 34 CFR 350.40(b). Additional site: www.ed.gov/about/offices/list/ Room 5142, 550 12th Street SW., PCP, information on the DRRP program can osers/nidrr/policy.html. Washington, DC, between the hours of be found at: www.ed.gov/rschstat/ The Plan identifies a need for research 8:30 a.m. and 4:00 p.m., Washington, research/pubs/res-program.html#DRRP. and training regarding employment, DC time, Monday through Friday of Program Authority: 29 U.S.C. 762(g) and community living and participation, each week except Federal holidays. 764(a).

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Applicable Program Regulations: 34 official reference for all architects Project on Promoting Universal Design CFR part 350. working in the city (Center for Inclusive in the Built Environment. The intended Proposed Priority: This notice Design and Universal Access, 2003). outcome of the DRRP on Universal contains one proposed priority. Despite these notable outcomes, Design is further adoption of universal application of UD principles to the built Promoting Universal Design (UD) in the design principles into mainstream environment has not become a Built Environment architecture and the development and mainstream practice (Ostroff, 2011; construction of built environments. The Background: Universal Design is Dong 2011). Practical demonstrations of DRRP must contribute to this outcome generally defined as the ‘‘design of UD applications for buildings, homes, by: products and environments that are and outdoor environments, as well as a (a) Conducting research activities usable by all people, to the greatest strengthened evidence-base for UD toward developing evidence-based extent possible, without the need for standards and strategies are yet needed. practices for UD implementation in adaptation or specialized design’’ These needs will only increase as the commercial and private facilities, (Mace, 1985; Ostroff, 2011). UD baby boom generation ages while outdoor environments, and housing. proponents seek to improve human seeking to live and thrive in their own (b) Creating measurable UD standards performance, health and wellness, and homes and communities (Federal and guidelines to facilitate the social participation for the entire Interagency Forum on Aging-Related implementation of UD principles in population including individuals with Statistics, 2012). Making research-based commercial and private facilities, disabilities (Steinfeld & Maisel, 2012). knowledge about UD accessible to outdoor environments, and housing. NIDILRR grantees have substantially designers, developers, architects, and (c) Developing and promoting contributed to the development, builders will help to advance UD curricula on UD for university-level refinement, and application of UD implementation and realize the goals of architecture, engineering, and design principles. In particular, the NIDILRR- improving human performance, health students. funded Center for Universal Design at and wellness, and social participation (d) Providing training and technical North Carolina State University (in for the entire population, including assistance to designers, architects, and collaboration with other researchers and individuals with disabilities. builders to incorporate UD principles practitioners) developed the seven Accordingly, NIDILRR aims to sponsor and features into their buildings, ‘‘Principles of Universal Design’’ (The a DRRP on Promoting UD in the Built projects, and communities. Principles of Universal Design, 1997). Environment to conduct research, (e) Providing training and technical These principles (equitable use, knowledge translation, technical assistance to NIDILRR’s engineering and flexibility in use, simple and intuitive assistance, and training activities aimed assistive technology grantees to use, perceptible information, tolerance at continued implementation of UD incorporate UD strategies and standards for error, low physical effort, and principles in the built environment. into development projects serving the appropriate size and space for approach needs of individuals with disabilities and use regardless of users’ body size, References and the broader population. posture, and mobility) have increasingly Center for Inclusive Design and Universal (f) Partnering with relevant guided designers, builders, developers, Access, 2003. Universal Design New stakeholders in carrying out all DRRP and other stakeholders in the provision York 2: The NYC Guidebook to activities. Stakeholders include but are of accessible housing and built Accessibility and Universal Design. not limited to: Individuals with environments. Examples of UD found in Buffalo New York: Idea Publications. disabilities, professional organizations the built environment include: curb Dong, H (2011). Global Perspectives and Reflections. In Trends in Universal that teach design principles, cuts, building ramps, automatic door researchers, engineers, planners, openers, fully accessible restrooms, Design. Tonsberg, Norway: The Delta Centre. designers, developers, architects, and moving walkways, and wayfinding Federal Interagency Forum on Aging-Related builders. systems that facilitate user access and Statistics, (2012). Older Americans 2012: Final Priority: We will announce the orientation. Key Indicators of Well-Being. final priority in a notice in the Federal All NIDILRR-funded Rehabilitation (Washington, DC: U.S. Government Register. We will determine the final Printing Office). Engineering Research Centers (RERCs) priority after considering responses to must incorporate UD principles in their Mace, R. (1985). Universal design, barrier free environments for everyone. Los Angeles: this notice and other information research and development activities. available to the Department. This notice Funded for the past 15 years, the RERC Designers West. Ostroff, E. (2011). Universal design: An does not preclude us from proposing on Universal Design and the Built evolving paradigm. In Preiser, W. & additional priorities, requirements, Environment is specifically charged Smith K. (Eds.). Universal Design definitions, or selection criteria, subject with advancing the implementation of Handbook. New York, McGraw Hill. to meeting applicable rulemaking UD principles in the built environment. The Principles of Universal Design (1997). requirements. Center outcomes include a tool set for Version 2.0—4/1/97. Compiled by UD research and practice, prototypes for advocates of universal design, listed in Note: This notice does not solicit built environments, and UD standards. alphabetical order: Bettye Rose Connell, applications. In any year in which we choose Mike Jones, Ron Mace, Jim Mueller, Abir NIDILRR funding has contributed to the to use this priority, we invite applications Mullick, Elaine Ostroff, Jon Sanford, Ed through a notice in the Federal Register or development of 35 state and local Steinfeld, Molly Story, and Gregg in a Funding Opportunity Announcement visitability ordinances and initiatives Vanderheiden. NC State University, The posted at www.grants.gov. across the U.S, which require or Center for Universal Design. encourage affordable and sustainable Steinfeld, E. & Maisel, J.L. (2012). Universal Executive Orders 12866 and 13563 integration of basic accessibility features Design: Creating Inclusive Environments. into all newly-built homes. NIDILRR Hoboken, NJ: Wiley and Sons, Inc. Regulatory Impact Analysis funding also supported the inclusion of Proposed Priority: The Administrator Under Executive Order 12866, the UD principles in a building manual of the Administration for Community Secretary must determine whether this which the New York City Department of Living proposes a priority for a regulatory action is ‘‘significant’’ and, Design and Construction adopted as the Disability and Rehabilitation Research therefore, subject to the requirements of

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the Executive Order and subject to Executive Order 13563 also requires You may also access documents of the review by the Office of Management and an agency ‘‘to use the best available Department published in the Federal Budget (OMB). Section 3(f) of Executive techniques to quantify anticipated Register by using the article search Order 12866 defines a ‘‘significant present and future benefits and costs as feature at: www.federalregister.gov. regulatory action’’ as an action likely to accurately as possible.’’ The Office of Specifically, through the advanced result in a rule that may— Information and Regulatory Affairs of search feature at this site, you can limit (1) Have an annual effect on the OMB has emphasized that these your search to documents published by economy of $100 million or more, or techniques may include ‘‘identifying the Department. adversely affect a sector of the economy, changing future compliance costs that Dated: February 19, 2015. might result from technological productivity, competition, jobs, the Kathy Greenlee, environment, public health or safety, or innovation or anticipated behavioral Administrator. State, local, or tribal governments or changes.’’ communities in a material way (also We are issuing this proposed priority [FR Doc. 2015–03888 Filed 2–24–15; 8:45 am] referred to as an ‘‘economically only upon a reasoned determination BILLING CODE 4154–01–P significant’’ rule); that its benefits would justify its costs. (2) Create serious inconsistency or In choosing among alternative DEPARTMENT OF HEALTH AND otherwise interfere with an action taken regulatory approaches, we selected HUMAN SERVICES or planned by another agency; those approaches that would maximize net benefits. Based on the analysis that (3) Materially alter the budgetary Food and Drug Administration impacts of entitlement grants, user fees, follows, the Department believes that or loan programs or the rights and this proposed priority is consistent with [Docket No. FDA–2011–N–0362] obligations of recipients thereof; or the principles in Executive Order 13563. (4) Raise novel legal or policy issues We also have determined that this regulatory action would not unduly Agency Information Collection arising out of legal mandates, the interfere with State, local, and tribal Activities; Submission for Office of President’s priorities, or the principles governments in the exercise of their Management and Budget Review; stated in the Executive Order. governmental functions. Comment Request; Current Good This proposed regulatory action is not In accordance with both Executive Manufacturing Practice Regulations for a significant regulatory action subject to Orders, the Department has assessed the Finished Pharmaceuticals review by OMB under section 3(f) of potential costs and benefits, both AGENCY: Food and Drug Administration, Executive Order 12866. quantitative and qualitative, of this HHS. We have also reviewed this regulatory regulatory action. The potential costs action under Executive Order 13563, are those resulting from statutory ACTION: Notice. which supplements and explicitly requirements and those we have SUMMARY: The Food and Drug reaffirms the principles, structures, and determined as necessary for Administration (FDA) is announcing definitions governing regulatory review administering the Department’s that a proposed collection of established in Executive Order 12866. programs and activities. To the extent permitted by law, The benefits of the Disability and information has been submitted to the Executive Order 13563 requires that an Rehabilitation Research Projects and Office of Management and Budget agency— Centers Program have been well (OMB) for review and clearance under (1) Propose or adopt regulations only established over the years. Projects the Paperwork Reduction Act of 1995. upon a reasoned determination that similar to one envisioned by the DATES: Fax written comments on the their benefits justify their costs proposed priority have been completed collection of information by March 27, (recognizing that some benefits and successfully, and the proposed priority 2015. costs are difficult to quantify); would generate new knowledge through ADDRESSES: To ensure that comments on (2) Tailor its regulations to impose the research. The new DRRP would the information collection are received, least burden on society, consistent with generate, disseminate, and promote the OMB recommends that written obtaining regulatory objectives and use of new information that would comments be faxed to the Office of taking into account—among other things improve accessibility of the built Information and Regulatory Affairs, and to the extent practicable—the costs environment for individuals with OMB, Attn: FDA Desk Officer, FAX: of cumulative regulations; disabilities. 202–395–7285, or emailed to oira_ (3) In choosing among alternative Intergovernmental Review: This [email protected]. All regulatory approaches, select those program is not subject to Executive comments should be identified with the approaches that maximize net benefits Order 12372. OMB control number 0910–0139. Also (including potential economic, Electronic Access to This Document: include the FDA docket number found environmental, public health and safety, The official version of this document is in brackets in the heading of this and other advantages; distributive the document published in the Federal document. impacts; and equity); Register. Free Internet access to the (4) To the extent feasible, specify official edition of the Federal Register FOR FURTHER INFORMATION CONTACT: FDA performance objectives, rather than the and the Code of Federal Regulations is PRA Staff, Office of Operations, Food behavior or manner of compliance a available via the Federal Digital System and Drug Administration, 8455 regulated entity must adopt; and at: www.gpo.gov/fdsys. At this site you Colesville Rd., COLE–14526, Silver (5) Identify and assess available can view this document, as well as all Spring, MD 20993–0002, PRAStaff@ alternatives to direct regulation, other documents of this Department fda.hhs.gov. including economic incentives—such as published in the Federal Register, in SUPPLEMENTARY INFORMATION: In user fees or marketable permits—to text or Adobe Portable Document compliance with 44 U.S.C. 3507, FDA encourage the desired behavior, or Format (PDF). To use PDF you must has submitted the following proposed provide information that enables the have Adobe Acrobat Reader, which is collection of information to OMB for public to make choices. available free at the site. review and clearance.

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Current Good Manufacturing Practice (§ 211.180(c)), and such records may be Section 211.72—Filters for liquid Regulations for Finished retained either as original records or as filtration used in the manufacture, Pharmaceuticals—21 CFR Parts 210 true copies (§ 211.180(d)). In addition, processing, or packing of injectable drug and 211 (OMB Control Number 0910– 21 CFR 11.2(a) provides that for records products intended for human use must 0139) required to be maintained but not not release fibers into such products. Section 211.80(d)—Each container or Under section 501(a)(2)(B) of the submitted to the Agency, persons may grouping of containers for components Federal Food, Drug, and Cosmetic Act use electronic records in lieu of paper or drug product containers or closures (the FD&C Act) (21 U.S.C. 351(a)(2)(B)), records or electronic signatures in lieu must be identified with a distinctive a drug is adulterated if the methods of traditional signatures, in whole or in code for each lot in each shipment used in, or the facilities or controls used part, provided that the requirements of received. This code must be used in for, its manufacture, processing, this part are met. To the extent this recording the disposition of each lot. packing, or holding do not conform to electronic option is used, the burden of maintaining paper records should be Each lot must be appropriately or are not operated or administered in identified as to its status. conformity with current good substantially reduced, as should any review of such records. Section 211.100(b)—Written manufacturing practices (CGMPs) to production and process control ensure that such drug meets the In order to facilitate improvements and corrective actions, records must be procedures must be followed in the requirements of the FD&C Act as to execution of the various production and safety, and has the identity and strength, maintained so that data can be used for evaluating, at least annually, the quality process control functions and must be and meets the quality and purity documented at the time of performance. characteristics, which it purports or is standards of each drug product to determine the need for changes in drug Any deviation from the written represented to possess. procedures must be recorded and The FDA has the authority under product specifications or manufacturing or control procedures (§ 211.180(e)). justified. section 701(a) of the FD&C Act (21 Section 211.105(b)—Major equipment Written procedures for these evaluations U.S.C. 371(a)) to issue regulations for must be identified by a distinctive are to be established and include the efficient enforcement of the FD&C identification number or code that must provisions for a review of a Act regarding CGMP procedures for be recorded in the batch production representative number of batches and, manufacturing, processing, and holding record to show the specific equipment where applicable, records associated drugs and drug products. The CGMP used in the manufacture of each batch with the batch; provisions for a review regulations help ensure that drug of a drug product. In cases where only of complaints, recalls, returned, or products meet the statutory one of a particular type of equipment salvaged drug products; and requirements for safety and have their exists in a manufacturing facility, the investigations conducted under purported or represented identity, name of the equipment may be used in § 211.192 for each drug product. strength, quality, and purity lieu of a distinctive identification The specific recordkeeping characteristics. The information number or code. collection requirements in the CGMP requirements provided in table 1 are as Section 211.122(c)—Records must be regulations provide FDA with the follows: maintained for each shipment received necessary information to perform its Section 211.34—Consultants advising of each different labeling and packaging duty to protect public health and safety. on the manufacture, processing, material indicating receipt, CGMP requirements establish packing, or holding of drug products examination, or testing. accountability in the manufacturing and must have sufficient education, training, Section 211.130(e)—Inspection of processing of drug products, provide for and experience to advise on the subject packaging and labeling facilities must be meaningful FDA inspections, and for which they are retained. Records made immediately before use to assure enable manufacturers to improve the must be maintained stating the name, that all drug products have been quality of drug products over time. The address, and qualifications of any removed from previous operations. CGMP recordkeeping requirements also consultants and the type of service they Inspection must also be made to assure serve preventive and remedial purposes provide. that packaging and labeling materials and provide crucial information if it is Section 211.67(c)—Records must be not suitable for subsequent operations necessary to recall a drug product. kept of maintenance, cleaning, have been removed. Results of The general requirements for sanitizing, and inspection as specified inspection must be documented in the recordkeeping under part 211 (21 CFR in §§ 211.180 and 211.182. batch production records. part 211) are set forth in § 211.180. Any Section 211.68—Appropriate controls Section 211.132(c)—Certain retail production, control, or distribution must be exercised over computer or packages of OTC drug products must record associated with a batch and related systems to assure that changes in bear a statement that is prominently required to be maintained in master production and control records placed so consumers are alerted to the compliance with part 211 must be or other records are instituted only by specific tamper-evident feature of the retained for at least 1 year after the authorized personnel. package. The labeling statement is expiration date of the batch and, for Section 211.68(a)—Records must be required to be so placed that it will be certain over-the-counter (OTC) drugs, 3 maintained of calibration checks, unaffected if the tamper-resistant feature years after distribution of the batch inspections, and computer or related of the package is breached or missing. (§ 211.180(a)). Records for all system programs for automatic, If the tamper-evident feature chosen is components, drug product containers, mechanical, and electronic equipment. one that uses an identifying closures, and labeling are required to be Section 211.68(b)—All appropriate characteristic, that characteristic is maintained for at least 1 year after the controls must be exercised over all required to be referred to in the labeling expiration date and 3 years for certain computers or related systems and statement. OTC products (§ 211.180(b)). control data systems to assure that Section 211.132(d)—A request for an All part 211 records must be readily changes in master production and exemption from packaging and labeling available for authorized inspections control records or other records are requirements by a manufacturer or during the retention period instituted only by authorized persons. packer is required to be submitted in the

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form of a citizen petition under 21 CFR manufacturing practices brought by rejection of components and drug 10.30. FDA. product containers or closures; Section 211.137—Requirements Section 211.182—Specifies Section 211.94(d)—Standards or regarding product expiration dating and requirements for equipment cleaning specifications, methods of testing, and compliance with 21 CFR 201.17. records and the use log. methods of cleaning, sterilizing, and Section 211.160(a)—The Section 211.184—Specifies processing to remove pyrogenic establishment of any specifications, requirements for component, drug properties for drug product containers standards, sampling plans, test product container, closure, and labeling and closures; procedures, or other laboratory control records. Section 211.100(a)—Production and mechanisms, including any change in Section 211.186—Specifies master process control; such specifications, standards, sampling production and control records Section 211.110(a)—Sampling and plans, test procedures, or other requirements. testing of in-process materials and drug laboratory control mechanisms, must be Section 211.188—Specifies batch products; drafted by the appropriate production and control records Section 211.113(a)—Prevention of organizational unit and reviewed and requirement. objectionable microorganisms in drug approved by the quality control unit. Section 211.192—Specifies the products not required to be sterile; These requirements must be followed information that must be maintained on Section 211.113(b)—Prevention of and documented at the time of the investigation of discrepancies found microbiological contamination of drug performance. Any deviation from the in the review of all drug product products purporting to be sterile, written specifications, standards, production and control records by the including validation of any sterilization sampling plans, test procedures, or quality control staff. process; other laboratory control mechanisms Section 211.194—Explains and Section 211.115(a)—System for must be recorded and justified. describes laboratory records that must reprocessing batches that do not Section 211.165(e)—The accuracy, be retained. conform to standards or specifications, sensitivity, specificity, and Section 211.196—Specifies the to insure that reprocessed batches reproducibility of test methods information that must be included in conform with all established standards, employed by a firm must be established records on the distribution of the drug. specifications, and characteristics; and documented. Such validation and Section 211.198—Specifies and Section 211.122(a)—Receipt, documentation may be accomplished in describes the handling of all complaint identification, storage, handling, accordance with § 211.194(a)(2). files received by the applicant. sampling, examination and/or testing of Section 211.166—Stability testing Section 211.204—Specifies that labeling and packaging materials; program for drug products. records be maintained of returned and Section 211.125(f)—Control Section 211.173—Animals used in salvaged drug products and describes procedures for the issuance of labeling; Section 211.130—Packaging and label testing components, in-process the procedures involved. materials, or drug products for Written procedures, referred to here operations, prevention of mixup and compliance with established as standard operating procedures cross contamination, identification and specifications must be maintained and (SOPs), are required for many part 211 handling of filed drug product controlled in a manner that assures their records. The current SOP requirements containers that are set aside and held in suitability for their intended use. They were initially provided in a final rule unlabeled condition, and identification must be identified, and adequate published in the Federal Register of of the drug product with a lot or control records must be maintained showing the September 29, 1978 (43 FR 45014), and number that permits determination of history of their use. are now an integral and familiar part of the history of the manufacture and Section 211.180(e)—Written records the drug manufacturing process. The control of the batch; Section 211.142—Warehousing; required by part 211 must be major information collection impact of maintained so that data can be used for Section 211.150—Distribution of drug SOPs results from their creation. products; evaluating, at least annually, the quality Thereafter, SOPs need to be periodically standards of each drug product to Section 211.160—Laboratory controls; updated. A combined estimate for Section 211.165(c)—Testing and determine the need for changes in drug routine maintenance of SOPs is release for distribution; product specifications or manufacturing provided in table 1. The 25 SOP Section 211.166(a)—Stability testing; or control procedures. Written provisions under part 211 in the Section 211.167—Special testing procedures must be established and combined maintenance estimate requirements; followed for such evaluations and must include: Section 211.180(f)—Notification of include provisions for a representative Section 211.22(d)—Responsibilities responsible officials of investigations, number of batches, whether approved or and procedures of the quality control recalls, reports of inspectional unapproved or rejected, and a review of unit; observations, and any regulatory actions complaints, recalls, returned, or Section 211.56(b)—Sanitation relating to good manufacturing practice; salvaged drug products, and procedures; Section 211.198(a)—Written and oral investigations conducted under Section 211.56(c)—Use of suitable complaint procedures, including quality § 211.192 for each drug product. rodenticides, insecticides, fungicides, control unit review of any complaint Section 211.180(f)—Procedures must fumigating agents, and cleaning and involving specifications failures, and be established to assure that the sanitizing agents; serious and unexpected adverse drug responsible officials of the firm, if they Section 211.67(b)—Cleaning and experiences; are not personally involved in or maintenance of equipment; Section 211.204—Holding, testing, immediately aware of such actions, are Section 211.68(a)—Proper and reprocessing of returned drug notified in writing of any investigations, performance of automatic, mechanical, products; and conducted under § 211.198, 211.204, or and electronic equipment; Section 211.208—Drug product 211.208, any recalls, reports of Section 211.80(a)—Receipt, salvaging. inspectional observations issued, or any identification, storage, handling, In addition, the following regulations regulatory actions relating to good sampling, testing, and approval or in parts 610 and 680 (21 CFR parts 610

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and 680) reference certain CGMP were created many years ago, there will recordkeeper to create 25 new SOPs for regulations in part 211: §§ 610.12(g), be some existing firms expanding into a total of 50,000 hours. 610.13(a)(2), 610.18(d), 680.2(f), and new manufacturing areas and startup In the Federal Register of November 680.3(f). In table 1, the burden firms that will need to create SOPs. As 10, 2014 (79 FR 66724), FDA published associated with the information provided in table 1, FDA is assuming a 60-day notice requesting public collection requirements in these that approximately 100 firms will have comment on the proposed collection of regulations is included in the burden to create up to 25 SOPs for a total of information. No comments were estimates under §§ 211.165, 211.167, 2,500 records, and the Agency estimates received. 211.188, and 211.194, as appropriate. that it will take 20 hours per Although most of the CGMP FDA estimates the burden of this provisions covered in this document collection of information as follows:

TABLE 1—ESTIMATED ANNUAL RECORDKEEPING BURDEN 1

Number of Number of records Total annual Average burden per 21 CFR Section recordkeepers per recordkeeper records recordkeeping Total hours

SOP Maintenance ...... 4,360 1 4,360 25 ...... 109,000 New startup SOPs ...... 100 25 2500 20 ...... 50,000 211.34—Consultants ...... 4,360 .25 1,090 .5 (30 minutes) ...... 545 211.67(c)—Equipment cleaning 4,360 50 218,000 .25 (15 minutes) ...... 54,500 and maintenance. 211.68—Changes in master 4,360 2 8,720 1...... 8,720 production and control records or other records. 211.68(a)—Automatic, me- 4,360 10 43,600 .5 (30 minutes) ...... 21,800 chanical, and electronic equipment. 211.68(b)—Computer or re- 4,360 5 21,800 .25 (15 minutes) ...... 5,450 lated systems. 211.72—Filters ...... 4,360 .25 1,090 1 ...... 1,090 211.80(d)—Components and 4,360 .25 1,090 .10 (6 minutes) ...... 109 drug product containers or closures. 211.100(b)—Production and 4,360 3 13,080 2...... 26,160 process controls. 211.105(b)—Equipment identi- 4,360 .25 1,090 .25 (15 minutes) ...... 273 fication. 211.122(c)—Labeling and 4,360 50 218,000 .25 (15 minutes) ...... 54,500 packaging material. 211.130(e)—Labeling and 4,360 50 218,000 .25 (15 minutes) ...... 54,500 packaging facilities. 211.132(c)—Tamper-evident 1,769 20 35,380 .5 (30 minutes) ...... 17,690 packaging. 211.132(d)—Tamper-evident 1,769 .2 354 .5 (30 minutes) ...... 177 packaging. 211.137—Expiration dating ...... 4,360 5 21,800 .5 (30 minutes) ...... 10,900 211.160(a)—Laboratory con- 4,360 2 8,720 1...... 8,720 trols. 211.165(e)—Test methodology 4,360 1 4,360 1 ...... 4,360 211.166—Stability testing ...... 4,360 2 8,720 .5 (30 minutes) ...... 4,360 211.173—Laboratory animals .. 1,077 1 1,077 .25 (15 minutes) ...... 269 211.180(e)—Production, con- 4,360 .2 872 .25 (15 minutes) ...... 218 trol, and distribution records. 211.180(f)—Procedures for no- 4,360 .2 872 1...... 872 tification of regulatory actions. 211.182—Equipment cleaning 4,360 2 8,720 .25 (15 minutes) ...... 2,180 and use log. 211.184—Component, drug 4,360 3 13,080 .5 (30 minutes) ...... 6,540 product container, closure, and labeling records. 211.186—Master production 4,360 10 43,600 2...... 87,200 and control records. 211.188—Batch production 4,360 25 109,000 2...... 218,000 and control records. 211.192—Discrepancies in 4,360 2 8,720 1...... 8,720 drug product production and control records. 211.194—Laboratory records .. 4,360 25 109,000 .5 (30 minutes) ...... 54,500 211.196—Distribution records 4,360 25 109,000 .25 (15 minutes) ...... 27,250 211.198—Compliant files ...... 4,360 5 21,800 1 ...... 21,800 211.204—Returned drug prod- 4,360 10 43,600 .5 (30 minutes) ...... 21,800 ucts.

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TABLE 1—ESTIMATED ANNUAL RECORDKEEPING BURDEN 1—Continued

Number of Number of records Total annual Average burden per 21 CFR Section recordkeepers per recordkeeper records recordkeeping Total hours

Total ...... 882,203 1 There are no capital costs or operating and maintenance costs associated with this collection of information.

Dated: February 19, 2015. Premarket Notification for a New ingredients and products that are Leslie Kux, Dietary Ingredient—21 CFR 190.6 potentially unsafe. Associate Commissioner for Policy. (OMB Control Number 0910–0330)— We are developing an electronic [FR Doc. 2015–03881 Filed 2–24–15; 8:45 am] Extension portal that interested persons will be able to use to electronically submit their BILLING CODE 4164–01–P Section 413(a) of the Federal Food, notifications to ONLDS via FDA Unified Drug, and Cosmetic Act (the FD&C Act) Registration and Listing System DEPARTMENT OF HEALTH AND (21 U.S.C. 350b(a)) provides that at least (FURLS). Firms that prefer to submit a HUMAN SERVICES 75 days before the introduction or paper notification in a format of their delivery for introduction into interstate own choosing will still have the option Food and Drug Administration commerce of a dietary supplement that to do so, however. Form FDA 3880 contains a new dietary ingredient, the prompts a submitter to input the [Docket No. FDA–2013–N–0878] manufacturer or distributor of the elements of a new dietary ingredient Agency Information Collection dietary supplement or of the new notification (NDIN) in a standard format Activities; Submission for Office of dietary ingredient is to submit to us (as and helps the submitter organize its Management and Budget Review; delegate for the Secretary of Health and NDIN to focus on the information Comment Request; Premarket Human Services) information upon needed for our safety review. Safety Notification for a New Dietary which the manufacturer or distributor information will be submitted via a Ingredient has based its conclusion that a dietary supplemental form entitled ‘‘New supplement containing the new dietary Dietary Ingredient (NDI) Safety AGENCY: Food and Drug Administration, ingredient will reasonably be expected Information.’’ This form provides a HHS. to be safe. FDA’s implementing standard format to describe the history ACTION: Notice. regulation, 21 CFR 190.6, requires this of use or other evidence of safety on information to be submitted to the which the manufacturer or distributor SUMMARY: The Food and Drug Office of Nutrition, Labeling, and bases its conclusion that the new dietary Administration (FDA or we) is Dietary Supplements (ONLDS) in the ingredient will be reasonably expected announcing that a proposed collection form of a notification. Under § 190.6(b), to be safe under the conditions of use of information has been submitted to the the notification must include the recommended or suggested in the Office of Management and Budget following: (1) The name and complete labeling of the dietary supplement, as (OMB) for review and clearance under address of the manufacturer or well as related identity information that the Paperwork Reduction Act of 1995 distributor, (2) the name of the new is necessary to demonstrate safety by (the PRA). dietary ingredient, (3) a description of showing that the new dietary ingredient DATES: Fax written comments on the the dietary supplement(s) that contain and dietary supplement(s) that are the collection of information by March 27, the new dietary ingredient, including subject of the notification are the same 2015. the level of the new dietary ingredient or similar to the ingredients and ADDRESSES: To ensure that comments on in the dietary supplement and the products for which safety data and the information collection are received, dietary supplement’s conditions of use, information have been provided. Draft screenshots of Form FDA 3880 and the OMB recommends that written (4) the history of use or other evidence supplemental safety information form comments be faxed to the Office of of safety establishing that the new are available for comment at http:// Information and Regulatory Affairs, dietary ingredient will reasonably be www.fda.gov/Food/Dietary OMB, Attn: FDA Desk Officer, FAX: expected to be safe when used under the _ Supplements/NewDietaryIngredients 202–395–7285, or emailed to oira conditions recommended or suggested [email protected]. All NotificationProcess/ucm356620.htm. in the labeling of the dietary Description of Respondents: The comments should be identified with the supplement, and (5) the signature of a OMB control number 0910–0330. Also respondents to this collection of responsible person designated by the information are manufacturers and include the FDA docket number found manufacturer or distributor. in brackets in the heading of this distributors in the dietary supplement document. These premarket notification industry; specifically, firms that requirements are designed to enable us manufacture or distribute new dietary FOR FURTHER INFORMATION CONTACT: FDA to monitor the introduction into the ingredients or dietary supplements that PRA Staff, Office of Operations, Food marketplace of new dietary ingredients contain a new dietary ingredient. and Drug Administration, 8455 and dietary supplements that contain In the Federal Register of November Colesville Rd., COLE—14526, Silver new dietary ingredients, in order to 14, 2014 (79 FR 68275), we published a Spring, MD 20993–0002, PRAStaff@ protect consumers from ingredients and 60-day notice requesting public fda.hhs.gov. products whose safety is unknown. We comment on the proposed extension of SUPPLEMENTARY INFORMATION: In use the information collected in new this collection of information. We compliance with 44 U.S.C. 3507, FDA dietary ingredient notifications to received three comments in response to has submitted the following proposed evaluate the safety of new dietary the notice. Two of the comments were collection of information to OMB for ingredients in dietary supplements and unrelated to the PRA, and therefore we review and clearance. to support regulatory action against did not consider them.

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The third comment asserted that we Although we agree with the PRA proceeding is to seek comment on underestimated the reporting burden of commenter that information collection and obtain OMB approval for the NDIN the NDIN procedures under § 190.6 by recommendations in guidance are collections of information in effect failing to take into account the subject to the PRA, we intend to meet during this interim period, which are recommendations in the draft guidance our PRA obligations in that regard those found in the FDA’s NDIN entitled ‘‘Dietary Supplements: New separately at a later time. The 2011 draft regulations at § 190.6 and in the Dietary Ingredient Notifications and guidance was published solely for the electronic NDIN submission forms that Related Issues’’ (the 2011 draft purpose of seeking comment, and it has we have made available for comment. guidance) (available at http:// not been made final. Moreover, FDA After publishing a revised draft www.fda.gov/Food/Guidance intends to publish a revised draft guidance on NDINs and related issues, Regulation/GuidanceDocuments guidance for comment later this year, we intend to publish a 60-day notice RegulatoryInformation/ and the revised draft guidance will inviting comment on the proposed supersede the 2011 draft guidance. collections of information associated DietarySupplements/ucm257563.htm). Although we expect the revised draft with that document. At that time, we FDA announced the availability of the guidance to be followed by a final will carefully evaluate all comments we 2011 draft guidance for comment in a guidance, there will be an interim receive. notice published in the Federal Register period where no guidance on NDINs is We estimate the burden of this of , 2011 (76 FR 39111). in effect. The purpose of the current collection of information as follows:

TABLE 1—ESTIMATED ANNUAL REPORTING BURDEN 1

Number of Number of Total annual Average 21 CFR section responses per burden per Total hours respondents respondent responses response

190.6 ...... 55 1 55 20 1,100 1 There are no operating and maintenance costs associated with this collection of information.

We believe that the burden of the manufacturer or distributor to extract DEPARTMENT OF HEALTH AND premarket notification requirement on and summarize information that should HUMAN SERVICES industry is limited and reasonable have already been developed to meet because we are requesting only safety the safety requirement in section Food and Drug Administration and identity information that the 413(a)(2) of the FD&C Act. We estimate [Docket No. FDA–2015–D–0230] manufacturer or distributor should that extracting and summarizing the already have developed to satisfy itself relevant information from what exists in Technical Performance Assessment of that a dietary supplement containing a the company’s files and presenting it in Digital Pathology Whole Slide Imaging new dietary ingredient is in compliance a format that meets the requirements of Devices; Draft Guidance for Industry with the FD&C Act. In the past, § 190.6 will take approximately 20 and Food and Drug Administration commenters have argued that our hours of work per notification. Staff; Availability burden estimate is too low. We carefully However, we seek comments on this considered the issue and believe that AGENCY: Food and Drug Administration, estimate. We encourage comments burden estimates of greater than 20 HHS. hours per notification likely include the offering alternative burden estimates to ACTION: Notice. burden associated with researching and include documentation to support the generating safety data for a new dietary alternative estimate. SUMMARY: The Food and Drug ingredient. Under section 413(a)(2) of We further estimate that 55 Administration (FDA) is announcing the the FD&C Act, a dietary supplement that respondents will submit 1 premarket availability of a draft guidance entitled contains a new dietary ingredient is notification each. We base our estimate ‘‘Technical Performance Assessment of deemed to be adulterated unless there is of the number of respondents on Digital Pathology Whole Slide Imaging Devices.’’ This draft guidance provides a history of use or other evidence of notifications received over the past 3 industry and Agency staff with safety establishing that the new dietary years, which averaged about 55 recommendations regarding the ingredient will reasonably be expected notifications per year. to be safe under the conditions of use technical performance assessment data recommended or suggested in the Dated: February 19, 2015. that should be provided for regulatory labeling of the dietary supplement. This Leslie Kux, evaluation of a digital whole slide requirement is separate from and Associate Commissioner for Policy. imaging (WSI) system. This draft guidance is not final nor is it in effect additional to the requirement to submit [FR Doc. 2015–03833 Filed 2–24–15; 8:45 am] at this time. a premarket notification for the new BILLING CODE 4164–01–P dietary ingredient. FDA’s regulation on DATES: Although you can comment on NDINs, § 190.6(a), requires the any guidance at any time (see 21 CFR manufacturer or distributor of the 10.115(g)(5)), to ensure that the Agency dietary supplement, or of the new considers your comment of this draft dietary ingredient, to submit to FDA the guidance before it begins work on the information that forms the basis for its final version of the guidance, submit conclusion that a dietary supplement either electronic or written comments containing the new dietary ingredient on the draft guidance by , 2015. will reasonably be expected to be safe. ADDRESSES: An electronic copy of the Thus, § 190.6 only requires the guidance document is available for

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download from the Internet. See the guidance provides our suggestions on or written comments to the Division of SUPPLEMENTARY INFORMATION section for how to best characterize the technical Dockets Management (see ADDRESSES). It information on electronic access to the aspects that are relevant to WSI is only necessary to send one set of guidance. Submit written requests for a performance for their intended use and comments. Identify comments with the single hard copy of the draft guidance determine any possible limitations that docket number found in brackets in the document entitled ‘‘Technical might affect their safety and heading of this document. Received Performance Assessment of Digital effectiveness. comments may be seen in the Division Pathology Whole Slide Imaging of Dockets Management between 9 a.m. II. Significance of Guidance Devices’’ to the Office of the Center and 4 p.m., Monday through Friday, and Director, Guidance and Policy This draft guidance is being issued will be posted to the docket at http:// Development, Center for Devices and consistent with FDA’s good guidance www.regulations.gov. practices regulation (21 CFR 10.115). Radiological Health, Food and Drug Dated: February 19, 2015. The draft guidance, when finalized, will Administration, 10903 New Hampshire Leslie Kux, Ave., Bldg. 66, Rm. 5431, Silver Spring, represent the Agency’s current thinking Associate Commissioner for Policy. MD 20993–0002. Send one self- on technical performance assessment of addressed adhesive label to assist that digital pathology WSI devices. It does [FR Doc. 2015–03843 Filed 2–24–15; 8:45 am] office in processing your request. not create or confer any rights for or on BILLING CODE 4164–01–P Submit electronic comments on the any person and does not operate to bind draft guidance to http:// FDA or the public. An alternative DEPARTMENT OF HEALTH AND www.regulations.gov. Submit written approach may be used if such approach HUMAN SERVICES comments to the Division of Dockets satisfies the requirements of the applicable statute and regulations. Management (HFA–305), Food and Drug Food and Drug Administration Administration, 5630 Fishers Lane, Rm. III. Electronic Access 1061, Rockville, MD 20852. Identify [Docket No. FDA–2015–N–0001] comments with the docket number Persons interested in obtaining a copy found in brackets in the heading of this of the draft guidance may do so by Pediatric Ethics Subcommittee of the document. downloading an electronic copy from Pediatric Advisory Committee; Notice the Internet. A search capability for all of Meeting FOR FURTHER INFORMATION CONTACT: Center for Devices and Radiological Nicholas Anderson, Center for Devices Health guidance documents is available AGENCY: Food and Drug Administration, and Radiological Health, Food and Drug at http://www.fda.gov/MedicalDevices/ HHS. Administration, 10903 New Hampshire DeviceRegulationandGuidance/ ACTION: Notice. Ave., Bldg. 66, Rm. 5570, Silver Spring, GuidanceDocuments/default.htm. MD 20993–0002, 301–796–4310; or Guidance documents are also available This notice announces a forthcoming Aldo Badano, Center for Devices and at http://www.regulations.gov. Persons meeting of a public advisory committee Radiological Health, Food and Drug unable to download an electronic copy of the Food and Drug Administration Administration, 10903 New Hampshire of ‘‘Technical Performance Assessment (FDA). The meeting will be open to the Ave., Bldg. 62, Rm. 3116, Silver Spring, of Digital Pathology Whole Slide public. MD 20993–0002, 301–796–2534. Imaging Devices’’ may send an email Name of Committee: Pediatric Ethics SUPPLEMENTARY INFORMATION: request to [email protected] Subcommittee of the Pediatric Advisory Committee. I. Background to receive an electronic copy of the document. Please use the document General Function of the Committee: Recent technological advances in number 1400053 to identify the To provide advice and digital microscopy, in particular the guidance you are requesting. recommendations to the Agency development of whole slide scanning regarding ethical protections for systems, have accelerated the adoption IV. Paperwork Reduction Act of 1995 children in FDA-regulated clinical of digital imaging in pathology, similar This draft guidance refers to trials. to the digital transformation that previously approved collections of Date and Time: The meeting will be radiology departments have experienced information found in FDA regulations. held on Monday, March 23, 2015 from over the last decade. FDA regulates WSI These collections of information are 8:30 a.m. to 4:30 p.m. systems manufacturers to ensure that subject to review by the Office of Location: Doubletree by Hilton Hotel, the images produced for clinical Management and Budget (OMB) under 8727 Colesville Rd., Silver Spring, MD intended uses are safe and effective for the Paperwork Reduction Act of 1995 20910. Answers to commonly asked such purposes. Essential to the (the PRA) (44 U.S.C. 3501–3520). The questions, including information regulation of these systems is the collections of information in 21 CFR regarding special accommodations due understanding of the technical part 807, subpart E have been approved to a disability, visitor parking, and performance of the components in the under OMB control number 0910–0120, transportation, may be accessed at: imaging chain, from image acquisition the collections of information in 21 CFR http://www.fda.gov/ to image display and their effect on part 814 have been approved under AdvisoryCommittees/ pathologist’s diagnostic performance OMB control number 0910–0231, and AboutAdvisoryCommittees/ and workflow. the collections of information in 21 CFR ucm408555.htm. This draft guidance provides industry part 801 and 21 CFR 809.10 have been Contact Person: Walter Ellenberg, and Agency staff with recommendations approved under OMB control number Office of the Commissioner, Food and regarding the technical performance 0910–0485. Drug Administration, 10903 New assessment data that should be included Hampshire Ave., Bldg. 32, rm. 5154, for regulatory evaluation of a WSI. This V. Comments Silver Spring, MD 20993, 301–796– document does not cover the clinical Interested persons may submit either 0885, email walter.ellenberg@ submission data that may be necessary electronic comments regarding this fda.hhs.gov, or FDA Advisory to support approval or clearance. The document to http://www.regulations.gov Committee Information Line, 1–800–

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741–8138 (301–443–0572 in the scheduled open public hearing session, devices. Comments and suggestions Washington, DC area). A notice in the FDA may conduct a lottery to determine generated through this workshop will Federal Register about last minute the speakers for the scheduled open facilitate further development of modifications that impact a previously public hearing session. The contact regulatory science for RAS technologies. announced advisory committee meeting person will notify interested persons Dates and Times: The public cannot always be published quickly regarding their request to speak by workshop will be held on and enough to provide timely notice. , 2015. , 2015, from 8 a.m. to 5 p.m. Therefore, you should always check the Persons attending FDA’s advisory Location: The public workshop will Agency’s Web site at http:// committee meetings are advised that the be held at FDA’s White Oak Campus, www.fda.gov/AdvisoryCommittees/ Agency is not responsible for providing 10903 New Hampshire Ave., Bldg. 31 default.htm and scroll down to the access to electrical outlets. Conference Center, the Great Room (Rm. appropriate advisory committee meeting FDA welcomes the attendance of the 1503A), Silver Spring, MD 20993. link, or call the advisory committee public at its advisory committee Entrance for the public meeting information line to learn about possible meetings and will make every effort to participants (non-FDA employees) is modifications before coming to the accommodate persons with physical through Building 1 where routine meeting. disabilities or special needs. If you security check procedures will be Agenda: The Pediatric Ethics require special accommodations due to performed. For parking and security Subcommittee of the Pediatric Advisory a disability, please contact Walter information, please refer to http:// Committee will meet to discuss the Ellenberg at least 7 days in advance of www.fda.gov/AboutFDA/ general topic of how procedural the meeting. WorkingatFDA/BuildingsandFacilities/ sedation for nontherapeutic (research) FDA is committed to the orderly WhiteOakCampusInformation/ interventions or procedures in the conduct of its advisory committee ucm241740.htm. pediatric population should be meetings. Please visit our Web site at Contact Person: Mark Trumbore, considered under the Additional http://www.fda.gov/ Center for Devices and Radiological Safeguards for Children in Clinical AdvisoryCommittees/ Health, Food and Drug Administration, Investigations at 21 CFR 50 subpart D. AboutAdvisoryCommittees/ 10903 New Hampshire Ave., Bldg. 66, A brief summary of the subcommittee’s ucm111462.htm for procedures on Rm. 5402, Silver Spring, MD 20993, discussion will then be presented to the public conduct during advisory 301–796–5436, Mark.Trumbore@ FDA Pediatric Advisory Committee on committee meetings. fda.hhs.gov. Tuesday, , 2015. Notice of this meeting is given under FDA intends to make background Registration: Registration is free and the Federal Advisory Committee Act (5 available on a first-come, first-served material available to the public no later U.S.C. app. 2). than 2 business days before the meeting. basis. Persons interested in attending If FDA is unable to post the background Dated: February 20, 2015. this public workshop must register material on its Web site prior to the Leslie Kux, online by July 17, 2015, at 4 p.m. Early meeting, the background material will Associate Commissioner for Policy. registration is recommended because facilities are limited and, therefore, FDA be made publicly available at the [FR Doc. 2015–03900 Filed 2–24–15; 8:45 am] may limit the number of participants location of the advisory committee BILLING CODE 4164–01–P meeting, and the background material from each organization. If time and will be posted on FDA’s Web site after space permits, onsite registration on the the meeting. Background material is DEPARTMENT OF HEALTH AND day of the meeting/public workshop available at http://www.fda.gov/ HUMAN SERVICES will be provided beginning at 7 a.m. AdvisoryCommittees/Calendar/ If you need special accommodations default.htm. Scroll down to the Food and Drug Administration due to a disability, please contact Susan Monahan, Center for Devices and appropriate advisory committee meeting [Docket No. FDA–2015–N–0303] link. Radiological Health, Food and Drug Administration, 10903 New Hampshire Procedure: Interested persons may Robotically-Assisted Surgical Devices: Ave., Bldg. 66, Rm. 4321, Silver Spring, present data, information, or views, Challenges and Opportunities; Public MD 20993–0002, 301–796–5661, email: orally or in writing, on issues pending Workshop; Request for Comments before the committee. Written [email protected] no later submissions may be made to the contact AGENCY: Food and Drug Administration, than , 2015. person on or before March 9, 2014. Oral HHS. To register for the public workshop, presentations from the public will be ACTION: Notice of public workshop; please visit FDA’s Medical Devices scheduled between 11:30 a.m. and 12:30 request for comments. News & Events—Workshops & p.m. on March 23, 2015. Those Conferences calendar at http:// individuals interested in making formal The Food and Drug Administration www.fda.gov/MedicalDevices/ oral presentations should notify the (FDA) is announcing the public NewsEvents/WorkshopsConferences/ contact person and submit a brief workshop entitled ‘‘Robotically-Assisted default.htm. (Select this meeting/public statement of the general nature of the Surgical (RAS) Devices: Challenges and workshop from the posted events list.) evidence or arguments they wish to Opportunities.’’ FDA is holding this Please provide complete contact present, the names and addresses of public workshop to obtain information information for each attendee, including proposed participants, and an on the current challenges and name, title, affiliation, address, email, indication of the approximate time opportunities related to robotically- and telephone number. Those without requested to make their presentation on assisted surgical medical devices, which Internet access should contact Mark or before February 26, 2015. Time are classified as Class II medical Trumbore to register (see Contact allotted for each presentation may be devices. The purpose of this workshop Person). Registrants will receive limited. If the number of registrants is to obtain public feedback on confirmation after they have been requesting to speak is greater than can scientific, clinical, and regulatory accepted. You will be notified if you are be reasonably accommodated during the considerations associated with RAS on a waiting list.

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Streaming Webcast of the Public Rockville, MD 20857. A link to the 3. Unique benefits of RAS devices Workshop: This public workshop will transcripts will also be available versus traditional surgical procedures. also be Webcast. Persons interested in approximately 45 days after the public 4. Scientific and technical viewing the Webcast must register workshop on the Internet at http:// considerations for third-party online by Friday, July 17, 2015. Early www.fda.gov/MedicalDevices/ manufacturers seeking to claim that registration is recommended because NewsEvents/WorkshopsConferences/ their surgical instruments can be used Webcast connections are limited. default.htm. (Select this public with legally marketed RAS devices. Organizations are requested to register workshop from the posted events list). 5. Design, administration, and all participants, but to view using one SUPPLEMENTARY INFORMATION: certification of training programs and connection per location. Webcast FDA’s role in this process. participants will be sent technical I. Background 6. The future landscape of RAS and system requirements after registration RAS devices, also known as robotic surgery devices. and will be sent connection access computer-assisted surgical devices, are 7. Considerations regarding information after , 2015. If you used by trained physicians in an appropriate selection of preclinical have never attended a Connect Pro operating room environment for (bench and animal) test methods and event before, test your connection at laparoscopic surgical procedures in patient-centered outcome metrics in https://collaboration.fda.gov/common/ clinical use for different stages of device _ general surgery, cardiac, colorectal, help/en/support/meeting test.htm. To gynecologic, head and neck, thoracic, development. get a quick overview of the Connect Pro and urologic surgical procedures. These These topics will be presented by program, visit http://www.adobe.com/ experts in the associated area, followed _ medical devices enable the surgeon to go/connectpro overview. (FDA has use computer, software, and robotic by more in-depth discussions and Q&A verified the Web site addresses in this technologies to control and move from all participants. document, but FDA is not responsible surgical instruments through the mouth Dated: February 19, 2015. for any subsequent changes to the Web or through one or more small incisions Leslie Kux, sites after this document publishes in in the patient’s body for a variety of Associate Commissioner for Policy. the Federal Register.) surgical procedures. Some common Comments: FDA is holding this public [FR Doc. 2015–03769 Filed 2–24–15; 8:45 am] procedures that may involve RAS workshop to obtain information on the BILLING CODE 4164–01–P devices include gallbladder, uterus, or specific topics outlined in section II. In prostate removal. order to permit the widest possible opportunity to obtain public comment, As discussed further in section II, DEPARTMENT OF HEALTH AND FDA is soliciting either electronic or there are several clinical and scientific HUMAN SERVICES written comment on all aspects of the challenges associated with regulation of Food and Drug Administration public workshop topics. The deadline RAS devices, such as appropriate for submitting comments related to this nonclinical and clinical evaluation of [Docket No. FDA–2012–N–0359] public workshop is , 2015. RAS devices, use of third-party surgical Regardless of attendance at the public instruments with legally marketed RAS National Medical Device Postmarket workshop, interested persons may devices, and clinical training programs. Surveillance System Planning Board submit either electronic comments to This workshop seeks to involve industry Report; Availability, Web Site Location http://www.regulations.gov or written and academia in addressing these and Request for Comments comments to the Division of Dockets challenges in the development of RAS AGENCY: Food and Drug Administration, Management (HFA–305), Food and Drug devices to ensure that there is a Administration, 5630 Fishers Lane, Rm. reasonable assurance of safety and HHS. 1061, Rockville, MD 20852. It is only effectiveness for RAS devices while ACTION: Notice; request for comments. necessary to send one set of comments. promoting innovation in a rapidly- SUMMARY: The Food and Drug Please identify comment with the developing field. By bringing together Administration (FDA) is announcing the docket number found in brackets in the relevant stakeholders including availability of the report and Web site heading of this document. In addition, scientists, patient advocates, clinicians, location where the Agency has posted when responding to specific topics as researchers, industry representatives, the report entitled ‘‘Strengthening outlined in section II, please identify the and regulators, we hope to facilitate the Patient Care: Building an Effective topic(s) you are addressing. Received improvement of this evolving product National Medical Device Surveillance comments may be seen in the Division area. System,’’ developed by the National of Dockets Management between 9 a.m. II. Topics for Discussion at the Public Medical Device Postmarket Surveillance and 4 p.m., Monday through Friday, and Workshop System Planning Board. In addition, will be posted to the docket at http:// FDA has established a docket where www.regulations.gov. Topics to be discussed at the public Transcripts: Please be advised that as workshop include, but are not limited stakeholders may provide comments. soon as a transcript is available, it will to, the following: DATES: Submit either electronic or be accessible at http:// 1. The current landscape of RAS written comments by April 27, 2015. www.regulations.gov. It may be viewed devices and the respective Offices, ADDRESSES: Submit electronic at the Division of Dockets Management Divisions, and Branches within FDA comments on this document to http:// (see Comments). A transcript will also involved in the review of pre- and www.regulations.gov. Submit written be available in either hardcopy or on postmarket data associated with these comments to the Division of Dockets CD–ROM, after submission of a devices. Management (HFA–305), Food and Drug Freedom of Information request. Written 2. Challenges, needs, and benefit/risk Administration, 5630 Fishers Lane, rm. requests are to be sent to the Division profiles for indications in various 1061, Rockville, MD 20852. Identify of Freedom of Information (ELEM– surgical areas; e.g. cardio/thoracic, comments with the docket number 1029), Food and Drug Administration, gynecological, otolaryngological, found in brackets in the heading of this 12420 Parklawn Dr., Element Bldg., urological, general. document.

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FOR FURTHER INFORMATION CONTACT: financing and stability, mechanisms to DEPARTMENT OF HEALTH AND Thomas P. Gross, Center for Devices and support the appropriate use of data, and HUMAN SERVICES Radiological Health, Food and Drug policies to ensure system transparency. Administration, 10903 New Hampshire The Planning Board was also asked to Food and Drug Administration Ave., Bldg. 66, Rm. 2316, Silver Spring, provide recommendations about how to [Docket No. FDA–2014–N–2295] MD 20993–0002, 301–796–5700, email: leverage the system to meet the needs of [email protected]. other medical device stakeholders and Request for Information on Specific SUPPLEMENTARY INFORMATION: groups seeking to develop better Areas of Public Health Concern Related to Racial/Ethnic Demographic I. Background evidence (http://www.brookings.edu/ about/centers/health/call-for- Subgroups for Additional Research by FDA’s Center for Devices and the Office of Minority Health Radiological Health is responsible for nominations and https://dcri.org/ protecting the public health by assuring events/past-meetings/MDEpiNet- AGENCY: Food and Drug Administration, the safety and effectiveness of medical nominations). HHS. devices. A key part of this mission is to This notice announces the availability ACTION: Notice; request for information. monitor medical devices for continued and Web site location of the Planning SUMMARY: The Food and Drug safety and effectiveness after they are in Board’s report entitled ‘‘Strengthening Administration (FDA or the Agency) is use and to help the public get the Patient Care: Building an Effective opening a docket to obtain information accurate, science-based information National Medical Device Surveillance and comments on specific areas of they need to improve their health. System.’’ FDA invites interested persons In September 2012, the FDA public health concern for racial/ethnic to submit comments on this report. We demographic subgroup populations, published a report, ‘‘Strengthening Our have established a docket where National System for Medical Device focusing on certain disease areas where comments may be submitted (see Postmarket Surveillance,’’ that proposed significant outcome differences may be ADDRESSES). We believe this docket is a strategy for improving the current anticipated. The Agency is seeking system for monitoring medical device an important tool for receiving feedback public input on identifying areas that safety and effectiveness. In April 2013, on this report from interested parties can be addressed through regulatory the FDA issued an update to the and for sharing this information with science research. September 2012 report that incorporated the public. The report ‘‘Strengthening DATES: Submit either electronic or public input received and described the Patient Care: Building an Effective written comments or information by next steps towards fulfilling the vision National Medical Device Surveillance April 27, 2015. for building a national postmarket System’’ can be found at FDA’s Web site ADDRESSES: You may submit comments surveillance system. These reports can http://www.fda.gov/AboutFDA/ by any of the following methods: be found at FDA’s Web site http:// CentersOffices/ Electronic Submissions: Submit www.fda.gov/AboutFDA/CentersOffices/ OfficeofMedicalProductsandTobacco/ electronic comments in the following OfficeofMedicalProductsandTobacco/ CDRH/CDRHReports/ucm301912.htm. way: CDRH/CDRHReports/ucm301912.htm. • Federal eRulemaking Portal: http:// One of these next steps consisted of II. Request for Comments www.regulations.gov. Follow the establishing a multistakeholder instructions for submitting comments. Interested persons may submit either planning board to identify the Written Submissions: Submit written electronic comments regarding this governance structure, practices, submissions in the following ways: policies, procedures, methodological document to http://www.regulations.gov • Mail/Hand delivery/Courier (for approaches, and business model(s) or written comments to the Division of paper submissions): Division of Dockets necessary to facilitate the creation of a Dockets Management (see ADDRESSES). It Management (HFA–305), Food and Drug sustainable, integrated medical device is only necessary to send one set of Administration, 5630 Fishers Lane, Rm. postmarket surveillance system that comments. Identify comments with the 1061, Rockville, MD 20852. leverages and complements existing and docket number found in brackets in the Instructions: All submissions received ongoing efforts. Under a cooperative heading of this document. Received must include the Docket No. FDA– agreement with the FDA, the Engelberg comments may be seen in the Division 2014–N–2295 for this rulemaking. All Center for Health Care Reform at the of Dockets Management between 9 a.m. comments received may be posted Brookings Institution convened the and 4 p.m., Monday through Friday, and without change to http:// National Medical Device Postmarket will be posted to the docket at http:// www.regulations.gov, including any Surveillance Planning Board (the www.regulations.gov. personal information provided. For Planning Board) in 2014. The Planning additional information on submitting Dated: February 20, 2015. Board membership included comments, see the ‘‘Comments’’ heading representatives from a broad array of Leslie Kux, of the SUPPLEMENTARY INFORMATION stakeholder groups and areas of Associate Commissioner for Policy. section of this document. expertise including patients, provider [FR Doc. 2015–03886 Filed 2–24–15; 8:45 am] Docket: For access to the docket to organizations, hospitals, health plans, BILLING CODE 4164–01–P read background documents or industry, and government agencies, as comments received, go to http:// well as methodologists and academic www.regulations.gov and insert the researchers. docket number(s), found in brackets in The Planning Board was tasked with the heading of this document, into the developing a set of long-term principles ‘‘Search’’ box and follow the prompts and priorities for a National Postmarket and/or go to the Division of Dockets Surveillance System. The task included Management, 5630 Fishers Lane, Rm. identifying potential governance and 1061, Rockville, MD 20852. business models that address legal and FOR FURTHER INFORMATION CONTACT: privacy considerations, system Christine Merenda, Food and Drug

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Administration, Office of Minority ethnic demographic subgroups, to III. Comments Health, 10903 New Hampshire Ave., inform healthcare decisions by Interested persons may submit either Bldg. 32, Rm. 2382, Silver Spring, MD providers and patients. electronic comments regarding this 20993, 301–796–8453, FAX: 301–847– II. Request for Comments and document to http://www.regulations.gov 8601, email: Christine.merenda@ Information or written comments to the Division of fda.hhs.gov. Dockets Management (see ADDRESSES). It OMH seeks comments and is only necessary to send one set of SUPPLEMENTARY INFORMATION: information to identify specific areas of comments. Identify comments with the public health concern involving racial/ I. Background docket number found in brackets in the ethnic demographic subgroups that can FDA’s Office of Minority Health heading of this document. Received be addressed through regulatory science (OMH) was established in 2010, as comments may be seen in the Division research, including new or emerging mandated by the Patient Protection and of Dockets Management between 9 a.m. areas of concern. We encourage Affordable Care Act (Pub. L. 111–148). and 4 p.m., Monday through Friday, and comments to include supporting will be posted to the docket at http:// OMH serves as the principal advisor to information regarding the topic www.regulations.gov. the Commissioner on minority health addressed, such as previously published and health disparities. OMH provides peer-reviewed literature or new research Dated: February 19, 2015. leadership and direction in identifying findings. These comments and Leslie Kux, Agency actions that can help reduce information will support OMH in its Associate Commissioner for Policy. health disparities, including the development of a research agenda that [FR Doc. 2015–03846 Filed 2–24–15; 8:45 am] coordination of efforts across the will inform funding decisions for the BILLING CODE 4164–01–P Agency. next fiscal year. (This notice is not a OMH advances FDA’s regulatory request for specific research or grant mission in addressing the reduction of proposals from outside entities.) In DEPARTMENT OF HEALTH AND racial and ethnic health disparities and addition to input on improving clinical HUMAN SERVICES in achieving the highest standard of trial inclusion and outcome analysis, health for all. To achieve this mission, requested comments and information National Institutes of Health OMH has committed to identifying gaps identifying disease areas with outcome in existing knowledge to shape further Submission for OMB Review; 30-Day differences for further study may research projects intended to lead to Comment Request Division of Cancer include, but are not limited to, the better understanding of medical product Epidemiology and Genetics (DCEG) following: Fellowship Program and Summer clinical outcomes in racial/ethnic • An area of study that could lead to Student Applications (NCI) demographic subgroups. A guiding a diagnostic or screening test based on principle for FDA in meeting the health the development and evaluation of SUMMARY: Under the provisions of needs of patients across the biomarkers for a disease or condition Section 3507(a)(1)(D) of the Paperwork demographic spectrum is the that disproportionately impacts racial/ Reduction Act of 1995, the National importance of encouraging diversity in ethnic demographic subgroups. Institutes of Health (NIH), has submitted clinical trials. Thus, FDA is also • An area of study that could lead to to the Office of Management and Budget interested in gaining input for changes in labeled indications, or (OMB) a request for review and improving clinical trials in therapeutic dosages, for a single or class of drug(s) approval of the information collection areas impacted by low rates of inclusion or biologic(s) used to treat a disease or listed below. This proposed information of racial/ethnic demographic subgroup condition that disproportionately collection was previously published in populations, ranging from issues impacts racial/ethnic demographic the Federal Register on April 9, 2014 surrounding recruitment and subgroups. (Vol. 79, P. 19632) and allowed 60-days participation in clinical trials to clinical • An area of study that could lead to for public comment. No public outcome analysis of demographic changes in the design or use of a device comments were received. The purpose subgroup populations. Of particular to treat a disease or condition that of this notice is to allow an additional note in this regard is FDA’s ‘‘Action disproportionately impacts racial/ethnic 30 days for public comment. The Plan to Enhance the Collection and demographic subgroups. National Cancer Institute (NCI), Availability of Demographic Subgroup • Research to identify effective ways National Institutes of Health, may not Data’’ at http://www.fda.gov/downloads/ to communicate with patients and conduct or sponsor, and the respondent RegulatoryInformation/Legislation/ consumers from racial/ethnic is not required to respond to, an FederalFoodDrugand subgroups, including those with low information collection that has been CosmeticActFDCAct/Significant health literacy and limited English extended, revised, or implemented on or AmendmentstotheFDCAct/FDASIA/ proficiency, so they are informed about after , 1995, unless it displays UCM410474.pdf. FDA actions (new approvals, warnings, a currently valid OMB control number. Research in regulatory science is recalls, etc.) that impact their health. Direct Comments to OMB: Written distinctive for developing new tools, • Research evaluating methods to comments and/or suggestions regarding standards, and approaches for assessing accommodate cultural and language the item(s) contained in this notice, the safety, efficacy, quality, and differences that can improve health especially regarding the estimated performance of all FDA-regulated communications to racial/ethnic public burden and associated response products. The results can help to subgroups, and assess the cost of these time, should be directed to the: Office transform the way medical products are methods to the Government. of Management and Budget, Office of developed, evaluated, and • Research evaluating the impact of Regulatory Affairs, OIRA_submission@ manufactured. Health disparities different formats and amounts of omb.eop.gov or by fax to 202–395–6974, research with a regulatory focus seeks to numerical information in FDA Attention: NIH Desk Officer. expand and strengthen knowledge of, communications for patients, health Comment Due Date: Comments and the availability of data on, medical care providers, health educators, and regarding this information collection are product clinical outcomes in racial/ informal caregivers. best assured of having their full effect if

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received within 30-days of the date of Need and Use of Information applications are essential to the this publication. Collection: The Division of Cancer administration of these training FOR FURTHER INFORMATION CONTACT: To Epidemiology and Genetics (DCEG) programs as they enable OE to obtain a copy of the data collection Office of Education (OE) administers a determine the eligibility and quality of plans and instruments or request more variety of programs and initiatives to potential awardees; to assess their information on the proposed project recruit pre-college through post-doctoral potential as future scientists; to contact: Jackie Lavigne, Office of educational level individuals into the determine where mutual research Education, Division of Cancer Intramural Research Program to interests exist; and to make decisions Epidemiology and Genetics, 9609 facilitate their development into future regarding which applicants will be Medical Center Drive, MSC 9776, biomedical scientists. DCEG trains post- proposed and approved for traineeship Bethesda, MD 20892–9776 or call non- doctoral, doctoral candidates, graduate awards. In each case, completing the toll-free number 240–376–7237 or Email and baccalaureate students, through full application is voluntary, but in order to your request, including your address to: time fellowships, summer fellowships, receive due consideration, the [email protected]. Formal requests and internships in preparation for prospective trainee is encouraged to for additional plans and instruments research careers in cancer epidemiology complete all relevant fields. The must be requested in writing. and genetics. The proposed information information is for internal use to make Proposed Collection: Division of collection involves brief online decisions about prospective fellows and Cancer Epidemiology and Genetics applications completed by applicants to students that could benefit from the (DCEG) Fellowship Program and the full time and the summer fellowship DCEG program. Summer Student Applications (NCI), programs. Full-time fellowships OMB approval is requested for 3 Existing Collection in Use without OMB include: Full-time Equivalents (FTE) years. There are no costs to respondents Control Number, National Cancer and non-FTE fellowships for US other than their time. The total Institute (NCI), National Institutes of citizens, permanent residents and estimated annualized burden hours are Health (NIH). international fellows. These 175.

ESTIMATED ANNUALIZED BURDEN HOURS

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

Fellowship Program Application ...... Full-time Fellows ...... 150 1 30/60 75 Summer Program Application ...... Summer Students ...... 300 1 20/60 100

Dated: February 19, 2015. The National Cancer Institute (NCI), [email protected]. Formal requests Karla Bailey, National Institutes of Health, may not for additional plans and instruments NCI Project Clearance Liaison, National conduct or sponsor, and the respondent must be requested in writing. Institutes of Health. is not required to respond to, an Proposed Collection: Assessment of [FR Doc. 2015–03789 Filed 2–24–15; 8:45 am] information collection that has been Oncology Nursing Education and BILLING CODE 4140–01–P extended, revised, or implemented on or Training in Low and Middle Income after October 1, 1995, unless it displays Countries, 0925–NEW, National Cancer a currently valid OMB control number. Institute (NCI), National Institutes of DEPARTMENT OF HEALTH AND Direct Comments to OMB: Written Health (NIH). HUMAN SERVICES comments and/or suggestions regarding Need and Use of Information the item(s) contained in this notice, Collection: This submission is a request National Institutes of Health especially regarding the estimated for OMB to approve the Assessment of public burden and associated response Submission for OMB Review; 30-Day Oncology Nursing Education and time, should be directed to the: Office Training in Low and Middle Income Comment Request; Assessment of of Management and Budget, Office of Oncology Nursing Education and Countries (LMICs). NCI-Designated Regulatory Affairs, OIRA_submission@ Cancer Centers have a range of Training in Low and Middle Income omb.eop.gov or by fax to 202–395–6974, Countries (NCI) international activities, some of which Attention: NIH Desk Officer. are funded by NCI, but many of which SUMMARY: Under the provisions of Comment Due Date: Comments are not. These international activities Section 3507(a)(1)(D) of the Paperwork regarding this information collection are may include oncology nursing Reduction Act of 1995, the National best assured of having their full effect if education and training in LMICs, but Institutes of Health (NIH), has submitted received within 30-days of the date of the extent of these activities across to the Office of Management and Budget this publication. cancer centers is unknown. The (OMB) a request for review and FOR FURTHER INFORMATION CONTACT: To proposed assessment requests approval of the information collection obtain a copy of the data collection information about oncology nursing listed below. This proposed information plans and instruments or request more education and training projects collection was previously published in information on the proposed project, including: descriptions of projects, the Federal Register on July 8, 2014, contact: Annette Galassi, Center for partner organizations, types of activities, Vol. 79, page 38542 and allowed 60- Global Health, National Cancer Institute, cost, and impact. The information will days for public comment. One public 9609 Medical Center Dr., Rm. 3W250, be collected annually. NCI’s Center for comment was received on , 2014. Rockville, MD 20850 or call non-toll- Global Health (CGH) is in the process of The purpose of this notice is to allow an free number 240–276–6632 or Email developing its strategic plan for additional 30 days for public comment. your request, including your address to: oncology nursing education in LMICs.

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This information will help inform this allow external organizations, such as than one response if they have up to strategic planning process and provide cancer centers, to explore what projects three projects. evidence to inform decisions on are being done in which countries, OMB approval is requested for 3 potential investments in grants for which will facilitate collaborations and years. There are no costs to respondents oncology nursing education in LMICs. minimize duplication. The frequency of other than their time. The total Additionally, this information will be the data collection will be once per year estimated annualized burden hours are used in an online, interactive map that although respondents may have more 51. is being developed by CGH which will

ESTIMATED ANNUALIZED BURDEN HOURS

Average bur- Number of Number of den per re- Total annual Type of respondents respondents/ responses per sponse burden hours year respondent (in hours)

Directors of Nursing ...... 68 3 15/60 51

Dated: February 19, 2015. disorders marked by the disruption in • Therapeutic increases in patient Karla Bailey, the pathways responsible for carrying HbF expression at lower viral titers than NCI Project Clearance Liaison, National oxygen to red blood cells. Symptoms current direct transduction methods. Institutes of Health. associated with these disorders include • Improved safety and reduced [FR Doc. 2015–03788 Filed 2–24–15; 8:45 am] anemia, jaundice, and severe pain. It has toxicity as a result of erythroid-specific BILLING CODE 4140–01–P been shown that mutations during the expression. development of fetal to adult Development Stage: hemoglobin can contribute to a delay in • Early-stage DEPARTMENT OF HEALTH AND red blood cell maturity underlying • In vitro data available HUMAN SERVICES sickle cell disease. As a result, there has • In vivo data available (animal) been an increased focus on treatments Inventors: Jeffery L. Miller, Yuanwei National Institutes of Health that promote the induction of fetal T. Lee, Jaira F. de Vasconcellos, Colleen hemoglobin (HbF) to improve clinical K. Byrnes (all of NIDDK) Government-Owned Inventions; symptoms and ameliorate the severity of Intellectual Property: HHS Reference Availability for Licensing the diseases. Researchers at the National No. E–249–2014/0—US Provisional AGENCY: National Institutes of Health, Institute of Diabetes and Digestive and Application No. 62/046,247 filed HHS. Kidney Diseases have identified , 2014 ACTION: Notice. methods of increasing fetal hemoglobin Related Technology: HHS Reference by increasing the expression of Lin28 or No. E–456–2013/2—PCT Application SUMMARY: The inventions listed below decreased expression of let-7 micro- No. PCT/US2013/067811 filed October are owned by an agency of the U.S. RNAs. The lead inventor and colleagues 31, 2013, which published as WO 2014/ Government and are available for have developed novel lentiviral 200557 on December 18, 2014 licensing in the U.S. in accordance with expression vectors containing Licensing Contact: Vince Contreras, 35 U.S.C. 209 and 37 CFR part 404 to hemoglobin regulators under the control Ph.D.; 301–435–4711; contrerasv@ achieve expeditious commercialization of erythroid-specific promoters that can mail.nih.gov of results of federally-funded research be used to increase Hbf expression Collaborative Research Opportunity: and development. Foreign patent without affecting the maturity of red The National Institute of Diabetes and applications are filed on selected blood cells. In addition, they have Digestive and Kidney Diseases is inventions to extend market coverage found, through the use of tough decoy seeking statements of capability or for companies and may also be available inhibition of Let-7 micro-RNAs, a interest from parties interested in for licensing. selection of Let-7 genes with greater collaborative research to further FOR FURTHER INFORMATION CONTACT: involvement in HbF expression. This develop, evaluate or commercialize this Licensing information and copies of the technology could lead to development technology. For collaboration U.S. patent applications listed below of novel HbF induction therapies that opportunities, please contact Marguerite may be obtained by writing to the reactivate and reduce the aberrant J. Miller at [email protected] or indicated licensing contact at the Office pathologies associated with human 301–496–9003. of Technology Transfer, National sickle-cell anemia and beta thalassemia. T Cell-Based Adoptive Transfer Institutes of Health, 6011 Executive Potential Commercial Applications: Immunotherapy for Polyomavirus- Boulevard, Suite 325, Rockville, • Ex vivo and in vivo therapeutics for Associated Pathologies Maryland 20852–3804; telephone: 301– treatment of sickle-cell anemia and beta Description of Technology: Available 496–7057; fax: 301–402–0220. A signed thalassemias. Confidential Disclosure Agreement will for licensing are methods to generate T • Potential use in combination with be required to receive copies of the cells responsive to multiple other transduction methods for unique patent applications. polyomaviruses. The resulting T cell therapeutic strategies. SUPPLEMENTARY INFORMATION: populations could be useful in treating Competitive Advantages: Technology descriptions follow. immunosuppressed individuals with • Reduced production of symptom- polyomavirus infections or HbF Induction Therapy for Sickle Cell associated adult hemoglobin. polyomavirus-associated pathologies Disease and Thalassemias • Lin28 overexpression at defined such as Merkel cell carcinoma (MCC), Description of Technology: Sickle cell stage of hematopoietic cell polyomavirus-associated nephropathy disease and thalassemia are hereditary development. (PVAN), hemorrhagic cystitis,

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progressive multifocal cell division. 89Zr-oxine labeled cells The meetings will be closed to the leukoencephalopathy (PML), and can also be easily cross labeled (for public in accordance with the trichodysplasia spinulosa (TS). The example, optically or magnetically) for provisions set forth in sections methods could also be used to restore multi-modality imaging and analysis. 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., polyomavirus-specific immunity in Labeled cell migration and kinetics can as amended. The grant applications and immunocompromised individuals. be analyzed and quantified in vivo over the discussions could disclose Potential Commercial Applications: a week, improving research strategies confidential trade secrets or commercial Immunotherapy for immunosuppressed and ability to develop and improve cell property such as patentable material, individuals with polyomavirus- therapies and diagnostics. and personal information concerning associated pathologies. Potential Commercial Applications: individuals associated with the grant Competitive Advantages: Methods Cell therapies and diagnostics. applications, the disclosure of which allow development of polyomavirus Competitive Advantages: Simple would constitute a clearly unwarranted antigen-specific T cells. preparation, broadly applicable cell invasion of personal privacy. Development Stage: label, high resolution imaging and Name of Committee: Center for Scientific • Early-stage monitoring over period of a week, low • Review Special Emphasis Panel; Member In vitro data available toxicity, easily combined with labeling Conflict: Autoimmunity Transplantation Inventors: John A. Barrett (NHLBI), technologies and cell therapies. Intolerance. Dhanalakshmi Chinnasamy (NHLBI), Development Stage: In vivo data Date: March 11, 2015. Pawel J. Muranski (NHLBI), Christopher available (animal). Time: 3:00 p.m. to 7:00 p.m. B. Buck (NCI) Inventors: Noriko Sato (NCI), Haitao Agenda: To review and evaluate grant Intellectual Property: HHS Reference Wu (NHLBI), Gary L. Griffiths (NCI), applications. No. E–166–2014/0—US Application No. Peter L. Choyke (NCI) Place: National Institutes of Health, 6701 62/075,726 filed , 2014 Publications: Rockledge Drive, Bethesda, MD 20892, Related Technologies: 1. Sato N, et al. Generation and use of (Telephone Conference Call). • HHS Reference No. E–168–2011 long-lasting cell labeling agent for Contact Person: Betty Hayden, Ph.D., • HHS Reference No. E–549–2013 positron emission tomography (PET) Scientific Review Officer, Center for Licensing Contact: Patrick McCue, imaging. J Nucl Med. May 2014; 55 Scientific Review, National Institutes of (Supplement 1):273. Health, 6701 Rockledge Drive, Room 4206, Ph.D.; 301–435–5560; mccuepat@ MSC 7812, Bethesda, MD 20892, 301–435– 2. Sato N, et al. 89Zr-oxine complex od.nih.gov 1223, [email protected]. Collaborative Research Opportunity: positron emission tomography (PET) cell imaging for monitoring cell-based Name of Committee: Center for Scientific The National Heart, Lung, and Blood Review Special Emphasis Panel; Topics in Institute is seeking statements of therapies. Radiology, 2015, In press. Drug Discovery and Mechanisms of capability or interest from parties Intellectual Property: HHS Reference Antimicrobial Resistance. interested in collaborative research to No. E–080–2014/0—US Patent Date: March 13, 2015. further develop, evaluate or Application No. 61/973,706 filed April Time: 8:00 a.m. to 6:00 p.m. commercialize methods to generate T 1, 2014 Agenda: To review and evaluate grant cells responsive to multiple Licensing Contact: Edward (Tedd) applications polyomaviruses. For collaboration Fenn; 424–297–0336; Tedd.fenn@ Place: Residence Inn Bethesda, 7335 opportunities, please contact Dr. nih.gov Wisconsin Avenue, Bethesda, MD 20814. Contact Person: Guangyong Ji, Ph.D., Vincent Kolesnitchenko at kolesniv@ Collaborative Research Opportunity: Scientific Review Officer, Center for nhlbi.nih.gov. The National Cancer Institute is seeking statements of capability or interest from Scientific Review, National Institutes of 89Zr-Oxine Complex for In Vivo PET parties interested in collaborative Health, 6701 Rockledge Drive, Room 3211, Imaging of Labelled Cells and research to further develop, evaluate or MSC 7808, Bethesda, MD 20892, 301–435– Associated Methods commercialize cell labeling, cell 1146, [email protected]. Name of Committee: Center for Scientific Description of Technology: This tracking, cell trafficking, cell-based therapy, PET imaging. For collaboration Review Special Emphasis Panel; Skeletal technology relates to a Zirconium-89 Muscle related SBIR/STTR. opportunities, please contact John D. (89Zr)-oxine complex for cell labeling, Date: March 17, 2015. tracking of labeled cells by whole-body Hewes, Ph.D. at [email protected] or Time: 1:00 p.m. to 4:00 p.m. positron emission tomography/ 240–276–5515. Agenda: To review and evaluate grant computed tomography (PET/CT) Dated: February 18, 2015. applications. imaging, and associated methods. A Richard U. Rodriguez, Place: National Institutes of Health, 6701 Rockledge Drive, Bethesda, MD 20892, long half-life of 89Zr (78.4 hours), high Acting Director, Office of Technology (Telephone Conference Call). Transfer, National Institutes of Health. sensitivity of PET and absence of Contact Person: Richard Ingraham, Ph.D., background signal in the recipient [FR Doc. 2015–03779 Filed 2–24–15; 8:45 am] Scientific Review Officer, Center for enable tracking cells over a week using BILLING CODE 4140–01–P Scientific Review, National Institutes of low levels of labeling radioactivity, Health, 6701 Rockledge Drive, Room 4116, without causing cellular toxicity. The MSC 7814, Bethesda, MD 20892, 301–496– 89Zr-oxine complex is synthesized DEPARTMENT OF HEALTH AND 8551, [email protected]. quickly by mixing components at room HUMAN SERVICES Name of Committee: Center for Scientific temperature and produces high yields. Review Special Emphasis Panel; Program Cell labeling is achieved by a short, National Institutes of Health Project: Regulation of Cell Survival and 89 Death Pathways by Fe-S Proteins. room temperature incubation. The Zr- Center for Scientific Review; Notice of oxine complex is capable of labeling a Date: March 19–20, 2015. Closed Meetings Time: 11:00 a.m. to 5:00 p.m. wide range of cell types of therapeutic Agenda: To review and evaluate grant or pathogenic relevance (natural, Pursuant to section 10(d) of the applications. disease, engineered cells), independent Federal Advisory Committee Act, as Place: National Institutes of Health, 6701 of factors such as cell cycle or receptor amended (5 U.S.C. App.), notice is Rockledge Drive, Bethesda, MD 20892, expression. The label is retained during hereby given of the following meetings. (Virtual Meeting).

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Contact Person: William A. Greenberg, in this notice, Policy Letter 01–14 On , 2014, the Coast Guard Ph.D., Scientific Review Officer, Center for became Policy Letter 01–15 and Policy published two draft policy letters (CG– Scientific Review, National Institutes of Letter 02–14 became Policy Letter 02– OES 01–14 and CG–OES 02–14), Health, 6701 Rockledge Drive, Room 4168, 15. requesting comments, that MSC 7806, Bethesda, MD 20892, (301) 435– 1726, [email protected]. FOR FURTHER INFORMATION CONTACT: If recommended the transfer procedures you have questions on this notice, call and other operating guidelines for (Catalogue of Federal Domestic Assistance vessels and waterfront facilities Program Nos. 93.306, Comparative Medicine; or email Ken Smith, Vessel and Facility 93.333, Clinical Research, 93.306, 93.333, Operating Standards Division (CG– providing LNG to vessels for use as fuel 93.337, 93.393–93.396, 93.837–93.844, OES–2), U.S. Coast Guard; telephone and for vessels operating in U.S. waters 93.846–93.878, 93.892, 93.893, National 202–372–1413, email Ken.A.Smith@ that will be fueled with natural gas that Institutes of Health, HHS) uscg.mil. If you have questions on will be stored onboard as LNG. The viewing or submitting material to the Coast Guard has revised these policy Dated: February 19, 2015. letters based on comments received and Carolyn Baum, docket, call Cheryl Collins, Program Manager, Docket Operations, telephone now makes the final policy letters Program Analyst, Office of Federal Advisory 202–366–9826. available to the public. Committee Policy. The policy letters and voluntary SUPPLEMENTARY INFORMATION: [FR Doc. 2015–03778 Filed 2–24–15; 8:45 am] guidance do not apply to vessels Viewing material in the docket: To BILLING CODE 4140–01–P regulated as LNG carriers that utilize view the policy letters and related their boil-off gas as fuel. They also do material, go to http:// not provide guidance on vessel design www.regulations.gov, type the docket criteria for natural gas fuel systems or DEPARTMENT OF HOMELAND number (USCG–2013–1084) in the design of vessels providing LNG for use SECURITY ‘‘SEARCH’’ box and click ‘‘SEARCH.’’ as fuel. If you have questions about the Click on ‘‘Open Docket Folder’’ on the Coast Guard design of these systems, please contact line associated with this notice. If you the Coast Guard’s Office of Design and [Docket No. USCG–2013–1084] do not have access to the Internet, you Engineering Standards (CG–ENG, may view the docket online by visiting formerly CG–521). See FOR FURTHER Policy Letters: Guidance for the Use of the Docket Management facility in INFORMATION CONTACT section for contact Liquefied Natural Gas as a Marine Fuel Room W12–140 on the ground floor of information. AGENCY: Coast Guard, DHS. the Department of Transportation West Building, 1200 New Jersey Avenue SE., Discussion ACTION: Notice of availability. Washington, DC 20590, between 9 a.m. The Coast Guard received 27 letters SUMMARY: On February 7, 2014, the and 5 p.m., Monday through Friday, from the public containing a combined Coast Guard announced the availability, except Federal holidays. We have an total of 185 individual comments which in the docket, of two draft policy letters agreement with the Department of are discussed below. We discuss more for which it sought public comment. Transportation to use the Docket fully the changes we made to the policy This notice announces the availability Management Facility. letters in response to comments. of the finalized Coast Guard policy Privacy Act: Anyone can search the All letters received were generally letters, including explanations of electronic form of comments received supportive of the Coast Guard’s effort to changes made to the policy letters and into any of our dockets by the name of provide guidance on the use and enclosures based on the public the individual submitting the comment transfer of LNG as a marine fuel and the comments received. The first policy (or signing the comment, if submitted Coast Guard appreciates this important letter provides voluntary guidance for on behalf of an association, business, feedback. liquefied natural gas (LNG) fuel transfer labor union, etc.). You may review a We also received various comments operations on vessels using natural gas Privacy Act, system of records notice recommending changes that cannot be as fuel in U.S. waters, and training of regarding our public dockets in the made in a policy document because the personnel on those vessels. It , 2008, issue of the Federal Coast Guard would need to undergo recommends transfer and personnel Register (73 FR 3316). rulemaking to make these recommended training measures that we believe will Background and Purpose changes enforceable. For example, one achieve a level of safety that is at least submitter suggested that we provide The shipping industry is exploring equivalent to that provided for specific details concerning the conversion from oil-based fuel to traditional fueled vessels. It applies to cleaner burning natural gas, because the information that risk assessments vessels equipped to receive LNG for use use of natural gas as fuel would should contain. Another submitter as fuel, but not to vessels regulated as substantially reduce carbon emissions, suggested that we provide common LNG carriers that utilize boil-off gas as sulfur emissions, and nitrogen oxide checklists for industry to follow when fuel. The second policy letter discusses emissions. This natural gas fuel would conducting bunkering operations. The voluntary guidance and existing be stored on and transferred to vessels Coast Guard will consider these regulations applicable to vessels and in the form of liquefied natural gas comments and determine whether any waterfront facilities conducting LNG (LNG). Existing regulations cover further action is necessary. marine fuel transfer (bunkering) design, equipment, operations, and Additionally, the Coast Guard received operations. The second policy letter training of personnel on vessels that comments on matters unrelated to the provides voluntary guidance on safety, carry LNG as cargo and at waterfront two policy letters discussed in this security, and risk assessment measures facilities that handle LNG in bulk. They notice. Those comments have been we believe will enhance safe LNG also cover conventional oil fuel transfer reviewed but did not effect any changes bunkering operations. Both policy operations, but do not address LNG to these policy letters. Examples of some letters are available on the public transferred as fuel.1 of the comments we received pertaining docket. They have been updated to to design were related to venting reflect publication numbers of the 1 33 CFR parts 127, 155 and 156; 46 CFR parts 10– arrangements, LNG tank design, and gas current year. Accordingly, as discussed 15, 30–39, and 154. detection.

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Vessel design issues relating to the comments requested clarification on the ensure greater consistency from port to technical aspects and problems inherent Coast Guard’s definition of the term port. The Coast Guard recognizes the in vessel design are not discussed in ‘‘bulk.’’ In response to these requests, need and desire for consistency from Policy Letters 01–15 and 02–15. We do the Coast Guard clarifies in Policy Letter port to port and throughout the Coast not intend to include vessel design 01–15, Enclosure (1) that ‘‘bulk’’ has the Guard. To help COTPs understand recommendations or equivalencies in meaning defined in the Marine Safety alternatives which may be considered either policy letter and thus comments Manual as a material that is transported for the requirements in 33 CFR Part 127, requesting design related revisions on board a vessel without mark or count we have added a new enclosure. cannot be incorporated. Information and which is directly loaded into a hold Enclosure (4) to Policy letter 02–15 has concerning design criteria for natural or tank on a vessel without containers been added to provide COTPs with gas fuel systems can be found in CG– or wrappers. guidance as to alternatives which may 521 Policy Letter 01–12, ‘‘Equivalency Six comments were received on LNG be considered in lieu of the Determination—Design Criteria For tank truck operations. Three spoke to requirements of 33 CFR Part 127 for Natural Gas Fuel Systems,’’ which can matters involving the driving and LNG fuel facilities. Through publication be viewed at the following location: transfer of LNG from tank trucks of these policy letters and continued http://www.uscg.mil/hq/cg5/cg521/ directly on a vessel, and one wanted to work within the Coast Guard, we hope docs/CG-521.PolicyLetter.01-12.pdf. know why the Coast Guard doesn’t to provide consistent application of The Coast Guard also identified discuss the activity. The Coast Guard regulations and policies for LNG certain non-substantive does not discuss this type of operation operations throughout the country. recommendations in comments. Many because the operation is not considered Ten comments were received on the of these are useful and have been as safe as other forms of transfer topic of conducting Risk Assessments. incorporated where appropriate. operations available. Driving LNG tank One of the submitters recommended we Six comments were submitted trucks aboard a vessel and conducting add more wording concerning recommending that Compressed Natural LNG transfer operations while aboard is identification of hazards (HAZID’s), Gas (CNG) and other alternative fuels be considered to be a transfer involving a operational hazards (HAZOP’s) and addressed in our policy letters. The greater risk than other forms of LNG quantitaive risk assessments (QRA’s). Coast Guard believes it is better at this transfers because vessels and LNG tank The Coast Guard agrees and added time to evaluate other alternative fuels trucks cannot remove themselves from additional guidance and information on a case-by-case basis and will the area in the event of an emergency. concerning the need to conduct risk continue to gather information on how The Coast Guard does not wish to assessments. We have revised Enclosure these alternative fuels are used to promote the operation in general, but 1 of Policy Letter 01–15 and Enclosures determine whether guidance is remains open to evaluating requests on 1 and 2 of Policy Letter 02–15 to include necessary and appropriate. One a case-by-case basis. One submitter more information on recommendations submitter suggested that it would be requested to know if all of 33 CFR Part for risk assessments established by useful if we added language indicating 127 would apply to LNG tank truck and recognized industry organizations. how LNG differs from other rail car transfers. As discussed in Finally, one submitter stated that there ‘‘conventional’’ liquid hydrocarbon Enclosure 1 of Policy Letter 02–15, is no clearly defined or broadly fuels. The Coast Guard agrees and added existing regulatory standards may not be accepted standard for evaluating risk additional information in Policy Letter appropriate for small scale (e.g., LNG assessments and noted that NFPA 01–15, Enclosure (1). fuel transfer) operations and the Coast standard 551 has some guidance which Five comments were submitted on the Guard Captain of the Port (COTP) may should be considered. For the purpose topic of hot work. Based on the consider alternatives under 33 CFR of harmonizing with the international comments received, the Coast Guard 127.017. community, we recommend and revised its discussion on hot work in Five comments were received reference in the policy letters the Policy Letter 01–15, Enclosure (1) to concerning ISO type tanks. One publications of the classification society further clarify that hot work must be submitter noted that ISO tanks need to Det Norske Veritas—Germanischer conducted in accordance with the be properly approved and designed and Lloyd (DNV–GL) and the International existing regulations to which vessels are are not as robust as type ‘‘C’’ tanks. The Organization for Standardization (ISO) inspected. Where no regulations are Coast Guard notes that LNG in portable as guides which should be used to specified, we recommend that the tanks must meet specifications outlined conduct risk assessments. regulations in 46 CFR 91.50–1 be by the Department of Transportation for The Coast Guard received twelve followed. transport and carriage of hazardous comments on training and drills. One Six comments were received on the materials in accordance with the submitter indicated that the Coast Guard Coast Guard’s use of the term ‘‘in bulk.’’ Hazardous Material Regulations should establish and specify definite Three comments asked whether LNG contained in Title 49 of the U.S. Code training intervals in order to avoid packaged in ISO tanktainers, and loaded of Federal Regulations. The Coast Guard differing interpretations. The Coast on a vessel, is not ‘‘in bulk’’ and Office of Design and Engineering (CG– Guard agrees that guidance on therefore not subject to 33 CFR Part 127. ENG) and/or the Marine Safety Center appropriate intervals would be helpful The Coast Guard confirms that LNG in will evaluate as part of their plan review and suggests as an example that the packaged form such as LNG in ISO and approval process the design and drills be conducted quarterly. One tanktainers is not considered an ‘‘in construction of tanks used to store LNG submitter indicated that they strongly bulk’’ shipment and the facility where as fuel on board U.S. vessels. support having defined training those packages are loaded does not need Four comments were received requirements and believe this will to comply with 33 CFR Part 127. The concerning guidance to the COTP for significantly contribute to a safer Coast Guard further clarifies that LNG in considering alternatives to the industry. The Coast Guard agrees. The ISO tanktainers is a hazardous material requirements in 33 CFR Part 127. Of amendments to this policy include in packaged form and as such must be those comments received, two recommended training provisions. This loaded from a facility that complies comments also recommended Coast guidance identifies a two-tier system— with 33 CFR Part 126. Three additional Guard Headquarters oversight so as to basic and advanced training that

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companies may use to structure their are in place. However, the Coast Guard using gases and low flashpoint fuels training. In addition, the company is is endeavoring to provide within CG– should be differentiated from full also responsible for the vessel OES Policy Letter 01–15, interim tankerman. As a result, familiarization of the crew members guidance that can be used by maritime recommendations specific to their which is ship and fuel specific and training providers, maritime companies training have been provided in tailored to each mariner’s onboard and mariners to develop training Enclosure (3) accordingly. duties. The recommendations are courses and will review courses The Coast Guard received three consistent with the proposed submitted on a voluntary basis that are comments concerning PICs. One International Maritime Organization designed to meet the training guidance submitter indicated that the Coast Guard (IMO) ‘‘Interim guidance on training for outlined in Enclosure (3). The Coast needs to clarify the meaning of the word seafarers on board ships using gases or Guard will issue a letter to maritime ‘‘enough’’ where it is stated that, ‘‘. . . other low-flashpoint fuels’’, STCW.7/ training providers attesting to the Coast there must be enough Tankerman-PICs Circ.23, the draft amendments to the Guard’s review and conformance of on duty . . .’’ noting that the word STCW Convention, and the MERPAC these courses with the training ‘‘enough’’ is too vague. The Coast Guard recommendations on this issue. The recommended in this guidance. One notes the submitters concern, and Coast Guard has added a new Enclosure submitter additionally noted that the understands that the term may be (3) to Policy Letter 01–15 which is based various means of transfer would require ambiguous. However, the term is carried upon ‘‘Interim guidance on training for various levels of qualification and forth from the existing regulations for seafarers on board ships using gases or training specific to transfers. The Coast cargo handling operations in 46 CFR other low-flashpoint fuels’’, STCW.7/ Guard agrees that training guidelines 35.35–1 allowing flexibilty to owners, Circ.23. STCW.7/Circ.23 is the final would be helpful to companies involved managing operators, masters, and PICs version of HTW 1/WP.3, Annex 5 that in transfers. The Coast Guard has in determining the number of qualified is referenced by the submitters. Another expanded the training guidelines in line personnel needed to safely transfer submitter also indicated they believed with work currently ongoing at IMO and liquid cargo based on the details of a the Coast Guard should ensure the MERPAC recommendations. MERPAC specific transfer operation. Enclosure 2 transitional provisions are followed as provided recommendations on the of Policy Letter 02–15, pertaining to an interim measure until relevant STCW content of the training, transitional tank vessels transfering LNG, remains requirements come into force to allow provisions, and the proof of training. unchanged in this regard and points to for initial personnel training for the new Their recommendations are included in the regulations in 46 CFR 35.35–1 and technology. The Coast Guard agrees and the revised policy letter. As for mariners 154.1831 outlining the qualifications for is recommending interim steps as part holding tankerman PIC (LG), tankerman- personnel involved in liquid cargo of this policy letter to help ensure an engineer (LG) and tankerman assistant transfer. However, aboard the receiving orderly transition to future mandatory (LG) endorsements, transition vessel that uses gases or low flashpoint requirements. One submitter suggested requirements have also been addressed. fuels, the Coast Guard recommends in that Enclosure (2) of Policy Letter 01–14 One submitter presumed that the Enclosure (1) of Policy Letter 01–15, be deleted in its entirety because the Coast Guard will not require a special that the Master of a vessel using LNG as guidelines contained in Resolution endorsement on a license or Merchant fuel should ensure that all personnel MSC.285(86) are expected to be Mariner Document (MMD) for mariners involved with LNG fuel use, transfer, or superseded by new interim guidance serving aboard an LNG powered vessel emergency response meet the standards recommended in HTW 1/WP.3, Annex 5 other than the PIC, who must hold a of competence or advanced standards of once the guidance is adopted by MSC. proper endorsement in order to conduct competence outlined in Enclosure (3) of The Coast Guard agrees in part. the transfer operation. The submitter Policy Letter 01–15 for the duties to Enclosure 2 repeats Chapter 8 of IMO also stated that the policy letter was which they are assigned. One submitter Resolution MSC.285(86), ‘‘Interim silent as to the level of competency that noted that both the receiving vessel and guidelines on safety for natural gas- each company must provide for other supplier of LNG have PICs but our fuelled engine installations in ships,’’ shipboard personnel involved in LNG policy letters did not discuss an overall which contains both training and bunkering operations. In response, the PIC, and requested to know who the operational components. We’ve retained Coast Guard has expanded the training overall PIC is. The Coast Guard does not the operational components from section of the policy letter to include discuss designatation of an overall PIC, Enclosure 2 and replaced the training recommended training for members of because the Coast Guard does not components with the product from the vessel’s crew who have safety believe an overall PIC is necessary. STCW.7/Circ.23, ‘‘Interim guidance on responsibilities in regard to the gases or Similar to conventional fuel transfer training for seafarers on board ships low flashpoint fuels being used and that operations, no one individual is using gases or other low-flashpoint documentary evidence such as course designated as having overall control and fuels’’ as Enclosure (3). STCW.7/Circ.23 completion certificates, company letters, responsibility for the transfer. Each PIC is the current IMO circular which is etc., should be issued indicating that the is responsible for their part of the based upon the HTW 1/WP.3, Annex 5 holder has successfully completed the transfer operation (supplier and that is being referenced by the basic or advanced training, as receiver) and each side of the transfer submitters. One submitter appropriate—See Enclosure 3 of Policy should have a means to stop the transfer recommended that the Coast Guard Letter 01–15. One submitter indicated in the event of an emergency (See 33 work towards approving training that care should be taken to assure that CFR 127.205 and 155.780). Both courses that meet the proposed training for personnel on board vessels supplier and receiver must have a requirements of part A (Annex 4) of using gas fuels are differentiated from a means for dedicated voice HTW 1/WP.3 and look to begin issuing full tankerman (LG endorsement) as communication with each other in order endorsements as quickly as possible. appropriate and that referencing the to maintain oversight and control of The Coast Guard agrees in principle but parts of 46 CFR that are for Tankerman LNG tanks and transfer lines (See 33 is unable to approve courses or issue should be eliminated. The Coast Guard CFR 127.111 and 155.785). Given that endorsements until enabling regulations agrees that vessel personnel on vessels personnel on either side of the transfer

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may not be familiar or experienced with include a more definitive statement valuable. We have provided a hyperlink equipment on the other side, it would concerning the need for considering in our policy letters recommending that be improper to assign one entity as simultaneous operations and identifies owners and operators involved in LNG being in charge overall. For this reason, recommended industry standards which transfer operations consider using the transfer operation should be an may be used by facility owners to checklists in order to help globally event highly coordinated by both PICs. conduct risk assessments. The Coast standardize LNG transfer operations. One submitter suggested the Coast Guard does not wish to specify what Five comments were submitted Guard add three additional points operations may or may not be concerning hazard zones, safety covering PIC responsibilities— conducted simultaneously while LNG distances, and transfer areas. One ‘‘Establishment of safety zone transfer operations are in progress and submitter questioned whether or not the encompassing both supplier and the COTP will evaluate each proposal transfer area is considered to be a receiving vessel,’’ ‘‘Emergency response on a case-by-case basis based on the hazardous area and asserted that no personnel defined and readiness,’’ and specific hazards involved. ignition sources should exist in the ‘‘Monitoring of climatic conditions prior Three comments were submitted on transfer area. The Coast Guard agrees to and during transfer operations.’’ The emergency shutdown devices (ESD). and confirms that the transfer area is Coast Guard agrees in part and has One submitter said all ESD components considered to be a hazardous area. modified the section in Enclosure (1) of are to be tested no more than 24 hours Details concerning removal of ignition Policy Letter 01–15 discussing PIC before commencement of the actual sources associated with LNG supply are responsibilities to include checking for bunkering operation and that the tests addressed in Policy Letter 02–15 which should be documented in accordance climatic conditions and setting safety focuses on vessels and facilities with the bunkering procedure. The and security areas around the LNG providing LNG as fuel. One submitter Coast Guard agrees. In accordance with transfer area. Information related to noted that we refer to transfer area and 33 CFR 127.315(i), and 156.120(r), the emergency response is covered in item hazardous area, but believed that ESD system is currently required to be 2 of the same section. consideration on ‘Determination of Two comments were submitted on tested by the PIC prior to transfer which safety and security zones’ should be portable gas detectors. Both expressed a should be well within the 24 hour given. They also pointed out a key belief that it was unnecessary for all period suggested. One submitter aspect with regard to the responsibility personnel involved in an LNG transfer suggested that there could be an of the PIC is to establish the exchange to have a portable gas detector and exemption for testing bunker tanker ESD suggested that the policy letter align equipment, provided evidence of of sufficient information to allow with existing regulations (See 33 CFR regular testing is available or alternative completion of a Declaration of Security 127.203 and 46 CFR 154.1345) which requirements are deemed as an (if required), agreement on how and require at least 2 portable gas detectors acceptable equivalence. The Coast between whom, communications in the marine transfer area. The Coast Guard disagrees. As noted previously, regarding security that are to be made Guard agrees and has modified the testing of the ESD system must be and actions to be taken in the event of policy letters to align with existing conducted by the PIC prior to the a breach of security. Another submitter regulations. transfer as required by existing commented that there should be a Eight comments were received regulations 33 CFR 127.315(i), and discussion about hazardous areas and concerning simultaneous operations. All 156.120(r). One submitter suggested that safety and security areas around the but one supported the need to conduct automatic activation of the ESD system LNG transfer area. The Coast Guard simultaneous operations. The one due to a gas detection alarm should be agrees and has added a new paragraph comment submitted against reconsidered noting that gas detection discussing the items in Enclosure (1) of simultaneous operations stated that systems have been prone to false alarms, Policy Letter 01–15. One additional simultaneous operations create a particularly if located in humid areas, submitter stated that advice needs to be significant risk factor, dramatically and repeated shutdowns due to given regarding safety distances at increasing the likelihood of a casualty erroneous alarms could create an different transfer rates, due to increasing while fueling. The Coast Guard agrees unanticipated hazard. The Coast Guard ‘‘largest credible spills’’ and that that simultaneous operations may is unaware of this being a widespread dispersion analysis needs to be introduce increased risk, but believes problem attributed to the performance included. The Coast Guard agrees with that performance of a risk analysis and of all gas detection systems available on the need to provide additional incorporation of risk mitigation the market. However, we have amended information concerning safety and measures can be useful toward Policy Letter 01–15, Enclosure (1) such security areas and has added decreasing the likelihood of a casualty that gas detection is one of eight items information in Policy Letter 01–15, occurring while fueling. One comment that can be considered as a means to Enclosure (1) indicating they should be stated that simultaneous operations activate the ESD system. established in accordance with industry should not be treated any differently Two comments were received on standards established by the than current fueling operations. One checklists. One commenter indicated International Organization for comment indicated that simultaneous that compatibility between the LNG Standardization (ISO) which is a operations should only be allowed after supplier and the vessel receiving LNG recognized organization that has a detailed risk analysis and dispersion must be ensured in terms of LNG published information related to analysis are completed. Two comments transfer system design, operational determining the size of safety and indicated the need to have a definitive manuals, emergency response security areas around LNG transfer statement that the Coast Guard procedures and a common checklist for points. The Coast Guard doesn’t agree recognizes the need to allow the LNG transfer operation. Another with the need to require a declaration of simultaneous operations. The Coast comment requested that we consider security at this time, and notes that Guard agrees with the majority of adopting a professional industry existing regulations concerning the commenters and has modified the organization’s bunker checklists into declaration of inspection (33 CFR discussion of simultaneous operations our policy letters. The Coast Guard 127.317, and 33 CFR 156.150) require in Policy Letter 01–15, Enclosure (1) to agrees that the use of checklists is PICs to conduct a series of checks before

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transfer operations, including ensuring complicate the siting, permitting and submitter stated a need to consider that communications are operable operation of such facilities. The emergency procedures for handling of between PICs involved in the transfer. submitter noted that Part 127 and Part passengers in the event of an incident The Coast Guard agrees that breaches in 193 contain differing requirements in during bunkering. The Coast Guard safety and security areas should be terms of the location of LNG loading agrees and has modified Policy Letter evaluated and has included a flanges in relation to nearby bridges. 01–15, Enclosure (1) to include a recommendation that a contingency The Coast Guard understands the provision in the emergency manual for plan be developed concerning how to concerns, but notes that any correction removing or relocating passengers in the handle and respond to them. One to these regulations would need to go event of an LNG incident during submitter stated that consideration through the Department of bunkering. One commenter suggested should be given to include the scope for Transporation or USCG rulemaking that the LNG bunkering and emergency interaction of a vessel’s hazardous areas, process. Therefore, the noted response procedures take into account emergency response equipment discrepancies cannot be rectified the LNG bunkering system in place and (firefighting, mechanical ventilation, through these policy letters. that the results of the risk assessment etc.) emergency response procedures We received one comment concerning studies are adequately managed. The and linked ESD systems. The Coast transfer hoses. The submitter referenced Coast Guard agrees and has included Guard agrees. These items should be an early draft version of our policy letter reference to recognized standards for considered as part of the compatability suggesting that the transfer hose should conducting risk assessments which are assessment we recommend to be include provisions to prevent electrical identified in Enclosure 1 of Policy Letter conducted between suppliers and flow during connection or 01–15 and Enclosures 1 and 2 of Policy receivers of LNG. We also recommend disconnection of the transfer hose string Letter 02–15. The risk assessment we that emergency response manuals be through the hose string or loading arm. recommend should be based on specific developed and provide a list of The insertion of one short length of non- details of the operation intended and recommended information they should conducting hose without internal identify associated risks and hazards contain. bonding in each hose string, or and the means to mitigate those risks. Four comments were submitted installation of an insulating flange, The risk assessment is expected to be concerning pipelines. One comment should be addressed. In addition, the used as a guide to assist owners and suggested that we delete references to submitter suggested that each transfer operators in developing their bunkering bonding of pipelines in Policy Letter hose string should contain only one and emergency response procedures. 01–14, Enclosure (1) in the section electrically discontinuous length of hose One commenter asked for guidance on discussing detailed diagrams of the or insulating flange, to prevent what security requirements, if any, will transfer area. The submitter indicated it electrostatic build-up in the hose string. be required for the vessel arriving at the was not clear how this would be shown The Coast Guard agrees and has facility to receive LNG for fuel. If on a diagram. The Coast Guard agrees amended Policy Letter 02–15, Enclosure applicable, the security requirements for and has removed the item as suggested. (2) to include these recommendations. vessels may be based on the One comment was received on One submitter addressed the discussion requirements of 33 CFR part 104— lighting whereby the submitter on, ‘‘Conduct before a LNG Fuel Maritime Security: Vessels. suggested that the intensity levels Transfer’’ under Regulations and Additionally, a safety or security zone should not be specified. The Coast Recommendations for Vessels may be established around a vessel by Bunkering LNG, of Enclosure (2) to CG– Guard disagrees as the lighting intensity the COTP if it is determined necessary OES Policy Letter No. 02–14. The levels specified in the policy letters based on the results of a risk submitter noted the policy letter states simply mirror existing federal assessment. that before transferring LNG to a vessel regulations already imposed for transfer for use of gas as fuel, the PIC for operations. See 33 CFR 127.109 and Six comments were received transferring LNG should inspect the 155.790. concerning the topic of LNG bunkering. accessible portions of the transfer piping One comment was submitted One commenter suggested that LNG system and equipment to be used during concerning operations manuals whereby bunkering procedures should ensure the transfer and ensure that any worn or the submitter said there should be a that unauthorized and non-essential inoperable parts are replaced and any provision to demonstrate that all personnel cannot enter the bunkering leaks are identified. The Coast Guard relevant personnel are familiar with the area. The Coast Guard agrees and has agrees and has added an item operations manual. The Coast Guard amended Policy Letter 01–15, Enclosure recommending that the transfer piping agrees and has modified the opening (1) to include a recommendation that be tested for leaks prior to the transfer paragraph discussing operation, procedures be established for setting, of LNG. Finally, one comment was emergency, and maintenance manuals securing, and clearing safety and received concerning Policy Letter 02– in policy letter 01–15, Enclosure (1) security areas around the LNG transfer 14, Enclosure (2) section discussing, indicating that the master of a vessel point. Two commenters recommended ‘‘Conduct after a LNG Fuel Transfer.’’ using LNG as fuel should ensure that all that the operator define the operational The submitter requested adding a personnel involved with LNG fuel use, envelope under which transfer can take requirement to ensure that transfer transfer, or emergency response are place noting that this should be hoses, manifolds, and associated piping familiar with the contents of the LNG indicated as a ‘‘permissible range of are purged so that natural gas levels are fuel transfer system operations manual. motion where transfer operations can below the lower flammability level. The We received three comments proceed (to be defined for the operation Coast Guard has amended the section to concerning emergency procedures. One as well as the transfer equipment)’’, and recommend these types of safety commenter stated that simultaneous be included in the Operations manual. measures. operations imposes the need for more The Coast Guard agrees and has We received one comment on loading requirements, especially where amended Policy Letter 01–15, Enclosure flanges. The submitter indicated the passengers, public or non-qualified/ (1) recommending that the operations existing regulations contain seemingly briefed personnel are in proximity of the manual define the operating envelope contradictory provisions which could bunkering operation. At a minimum, the for which safe transfer operations can

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and cannot occur. One submitter of International Maritime Organization the industry in absence of other sources suggested that paragraph 5b. of Policy (IMO) standards and guidelines. Policy or in explaining existing regulatory Letter No. 01–14 be modified to impose letter 01–15 outlines these operational requirements. These policy letters a mutual obligation on both the items in great detail but we have added provide clarification to industry of transferring vessel operator and the a recommendation to better align with existing requirements and how to apply receiving vessel operator to ensure that IMO guidance noting that procedures them in this quickly changing both parties have the personnel and for confined space entry should be environment. These policy letters do not equipment to safely conduct LNG included in the operations manual. One impose legally binding requirements bunkering operations. The Coast Guard submitter provided a list of industry and a company can choose not to adopt agrees and has added recommended standards and guides which the Coast the recommendations in the policy information related to the declaration of Guard should consider recognizing. The letter if it desires. There is no inspection which must be signed and Coast Guard has provided a hyperlink to enforcement action associated with completed by both persons in charge of a free publication provided by the LNG these recommendations and thus no the transfer in accordance with 33 CFR Ship Fuel Advisory Group, titled, appeal process is necessary. However, it 156.150 signifying a mutal obligation on ‘‘Standards and Guidelines for Natural is important to note that anyone affected the part of both parties. One commenter Gas Fuelled Ship Projects’’ which by a direct decision of an OCMI/COTP stated that it is critical to have a identifies many of these standards and can appeal that decision to the District common set of regulatory procedures for recommends that owners and operators Commander as provided for in 46 CFR all LNG bunkering operations in all become familiar with its contents. This 1.03–20 and 33 CFR 127.015. Finally, ports in the United States (as exists change can be found in Policy Letter the Coast Guard received one comment today under 33 CFR part 127 and 01–15, Enclosure (1), and Policy Letter requesting clarification on the statement elsewhere) which companies could 02–15, Enclosures (1) and (2) under the in Policy Letter 01–14 indicating that it incorporate into their operational plans section labeled Job Aides. is the responsibility of the operator of and crew training. The Coast Guard One submitter suggested Policy Letter the facility and/or the transferring vessel agrees that standardized procedures 01–14, Enclosure (1) not recommend to ensure that the receiving vessel has help ensure safe transfer operations and installation of firefighting equipment on the necessary personnel and equipment believes the policy letters will help unmanned barges because potential to safely and securely participate in the establish guidelines for standardized operating scenarios of a barge may conduct of an LNG transfer operation. industry procedures. include operations away from the LNG While the regulations in 33 CFR Part facility and firefighting capabilities of a 127, Subpart B, indicate the primary Eight comments were submitted towing vessel during vessel-to-vessel responsibility for ensuring appropriate concerning referenced standards. The operations could be difficult to ensure. LNG transfer protocols are followed lies Coast Guard received one comment The Coast Guard disagrees and believes with the facility operator, the receiving pointing out that the reference to operators should consider all vessel is required by 33 CFR 156.120 SIGTTO’s LNG Ship to Ship Transfer firefighting equipment available in the and 156.150 to identify a PIC of transfer Guidelines, 1st Edition, 2011, was vicinity of an LNG transfer operation operations on the vessel who will assist outdated and should be replaced with whether the transfer is off port or at the PIC of shoreside transfer operations SIGTTO’s ‘‘Ship to Ship Transfer shore. When conducting a safety in conducting the preliminary transfer Guide—Petroleum, Chemicals, & assessment for a particular operation, all inspection required and completing the Liquefied Gases,’’ 1st Edition, 2013, available firefighting equipment and declaration of inspections required by whenever referenced. The Coast Guard emergency response equipment should 33 CFR 127.317 and 156.150. The agrees and has modified the policy be considered. qualifications set forth at 33 CFR letters as suggested to reflect the One comment suggested that due to 127.301 and 33 CFR 155.710 updated industry standard. One the cryogenic properties of LNG, (Qualifications of person in charge) are comment requested referencing NFPA personal protective equipment should good guidance for assigning a PIC. 59A, the ‘‘Standard for the Production, be listed with more specificity, Addtionally, this policy sets forth Storage, and Handling of Liquefied including such items as leather working recommended personnel training Natural Gas’’ and SIGTTO’s ‘‘Liquid Gas boots (no canvas sneakers should be guidelines for those personnel who will Fire Hazard Management’’ in our worn during fueling or transfer participate in the transfer operation. discussion of firefighting equipment in operations), loose fitting fire resistant We received one comment asking for Policy Letter 02–14, Enclosure (2). The gloves, full face shields, and fit-for guidance on the topic of roll over. As a Coast Guard agrees in part and has purpose multi-layer clothing. The Coast result of this comment, the Coast Guard added a reference to the SIGTTO Guard agrees and has modified the added roll over to the list of items in publication, but does not reference sections in Policy Letter 01–15, Policy Letter 01–15, Enclosure (1) for NFPA 59A because the standard refers Enclosure (1) and Policy Letter 02–15, which emergency actions and response to shore based LNG storage and Enclosure (2) discussing recommended measures should be described in the production facilities and Enclosure (2) personal protective equipment. emergency manual. of Policy Letter 02–15 is focused on The Coast Guard received comments One comment suggested that the vessels providing LNG as fuel. We about how the policy letters will be word, ‘‘if used’’ be deleted in enclosure received a comment suggesting that we enforced. One commenter raised (1) to CG–OES Policy Letter No. 01–14, add a reference to SIGTTO 2009 concerns regarding the notice and on page 2, under the heading, publication, ‘‘ESD Arrangements & comment process of the Administrative ‘‘Operations, Emergency, and Linked Ship/Shore Systems for Procedure Act (APA), 5 U.S.C. 551, et Maintenance Manuals,’’ noting that Liquefied Gas Carriers’’ in the seq., with regard to the guidance inert gas must be used to prevent discussion of emergency shutdown document process and Due Process potentially explosive conditions. The devices in Enclosure (1) of Policy Letter concerns of appealing a Coast Guard Coast Guard agrees and has amended 01–14. The Coast Guard agrees and has decision. The Coast Guard notes that the policy letter as suggested. modified the section as requested. Two guidance documents are by their nature Finally, one comment was submitted comments suggested full incorporation non-binding as they are created to assist requesting that the Coast Guard

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elaborate what is meant by the boundary reduce the risk of marine casualties and any personal information you have of a facility conducting bunkering. In increase the efficiency of vessel traffic provided. response, the Coast Guard provides that in the region. The recommendations of Privacy Act the boundaries of an LNG facility the study may lead to future rulemaking handling LNG should be based on the action or appropriate international Anyone can search the electronic requirements for design and spacing in agreements. form of comments received into any of NFPA 59A as outlined in 33 CFR Part our dockets by the name of the DATES: The first meeting will be held in 127 and any risk or fire safety Juneau, Alaska on March 9, 2015 from individual submitting the comment (or assessments that may be prepared for 2 p.m. to 7 p.m. The second meeting signing the comment, if submitted on the specific operation. The boundary of will be held in Anchorage, Alaska on behalf of an association, business, labor each facility conducting bunkering March 30, 2015 from 12 p.m. to 6 p.m. union, etc.). You may review a Privacy should be based on details of the The third and final meeting will be held Act notice regarding our public dockets specific bunkering operation. in Nome, Alaska on , 2015 from in the January 17, 2008, issue of the Voluntary Policy 3 p.m. to 6 p.m. Federal Register (73 FR 3316). The Coast Guard’s intent in issuing ADDRESSES: Meeting Locations: Juneau Requirement for Port Access Route these policy letters is to assist the Meeting: Elizabeth Peratrovich Event Studies industry, public, Coast Guard, and other Center located at 320 W. Wiloughby Under the Ports and Waterways Safety Federal and State regulators in applying Ave, Juneau, AK 99801; Anchorage Act (PWSA) (33 U.S.C. 1223(c)), the existing statutory and regulatory Meeting: Hotel Captain Cook located at Commandant of the Coast Guard may requirements. Following the policy and 939 West 5th Ave., Anchorage, AK designate necessary fairways and traffic guidance recommended in these policy 99501; Nome Meeting: City Of Nome separation schemes (TSSs) to provide letters is voluntary. The policy letters Council Chambers located at 102 safe access routes for vessels proceeding are not a substitute for applicable legal Division St, Nome, AK 99762. to and from U.S. ports. requirements nor are they regulations Comment submission: You may Schematic of proposed vessel routing themselves. The policy letters, however, submit comments associated with system: A chart showing the Coast do contain references to existing docket number USCG–2014–0941 using Guard’s proposed two-way route can be requlations which may require certain any one of the following methods: downloaded from http:// action where applicable. The Coast (1) Federal eRulemaking Portal: www.regulations.gov, type ‘‘USCG– Guard notes those instances where it http://www.regulations.gov. 2014–0941’’ into the search bar and discusses requirements under existing (2) Fax: 202–493–2251. click search, next to the displayed regulations instead of policy or (3) Mail: Docket Management Facility search results click ‘‘Open Docket guidance. Nothing in the policy letters (M–30), U.S. Department of Folder’’, which will display all and guidance they contain are meant to Transportation, West Building Ground comments and documents associated override or subvert the discretion of the Floor, Room W12–140, 1200 New Jersey with this docket. COTP when addressing the unique Avenue SE., Washington, DC 20590– safety and security concerns of an LNG 0001. Information on Service for Individuals operation. (4) Hand delivery: Same as mail With Disabilities This notice is issued under authority address above, between 9 a.m. and 5 of 5 U.S.C. 552(a). For information on facilities or p.m., Monday through Friday, except services for individuals with disabilities Dated: February 19, 2015. Federal holidays. The telephone number or to request special assistance at the J.G. Lantz, is 202–366–9329. public meeting, contact LT Kody Stitz at Director of Commercial Regulations and To avoid duplication, please use only the telephone number or email address Standards, U.S. Coast Guard. one of these four methods. provided under the FOR FURTHER [FR Doc. 2015–03852 Filed 2–24–15; 8:45 am] FOR FURTHER INFORMATION CONTACT: If INFORMATION CONTACT section of this BILLING CODE 9110–04–P you have questions on this notice of document. study or any of the meetings, call or email LT Kody Stitz, Seventeenth Coast Meeting Details DEPARTMENT OF HOMELAND Guard District (dpw); telephone (907) All meetings are open to the public. SECURITY 463–2270; email [email protected] The purpose of the meetings is to or Mr. David Seris, Seventeenth Coast increase awareness of the PARS and to Coast Guard Guard District (dpw); telephone (907) receive feedback and comments from [USCG–2014–0941] 463–2267; email David.M.Seris@ the public regarding the PARS. Each uscg.mil. If you have questions on meeting will begin with the Coast Guard Port Access Route Study: In the viewing or submitting material to the meeting facilitator presenting an Chukchi Sea, Bering Strait and Bering docket, call Cheryl F. Collins, Program explanation of and the purpose for the Sea Manager, Docket Operations, telephone PARS along with an overview of the AGENCY: Coast Guard, DHS. 202–366–9826. Coast Guard’s proposed two-way route ACTION: Notice of public meeting. SUPPLEMENTARY INFORMATION: through the region. Public participants will then be able to provide comments Public Participation and Request for SUMMARY: The Coast Guard announces and feedback to the meeting facilitator. three public meetings to receive Comments Public participants are not required to comments on a port access route study We encourage you to participate in stay for the entire meeting duration as (PARS) published in the Federal this study by submitting comments and the process of the meeting facilitator Register on , 2014, under the related materials as well as attending a presenting the PARS information title ‘‘Port Access Route Study: In the public meeting. All comments received followed by a public comment period Chukchi Sea, Bering Strait and Bering will be posted without change to http:// will be repeated hourly throughout the Sea.’’ The goal of this study is to help www.regulations.gov and will include allotted meeting time.

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Copies of the PARS announced in the to the Office of Information and to collect and analyze fire incident data Federal Register on December 5, 2014 Regulatory Affairs, Office of at the Federal, State, and local levels as well as the schematic showing the Management and Budget. Comments with a myriad of life and property two-way route will be available at the should be addressed to the Desk Officer saving uses and benefits. public meeting. The meeting facilitator for the Department of Homeland Affected Public: State, Local or Tribal, will accept written comments from Security, Federal Emergency and Federal Governments. participants who wish to comment in Management Agency, and sent via Estimated Number of Respondents: writing. All written comments received electronic mail to oira.submission@ 23,856. The number of respondents has by the meeting facilitator will be omb.eop.gov or faxed to (202) 395–5806. increased by 856 since FEMA published uploaded to the PARS docket (USCG– FOR FURTHER INFORMATION CONTACT: the 60 day Federal Register notice on 2014–0941) without change. Comments Requests for additional information or , 2014 because of a clerical made verbally will be summarized by copies of the information collection error. the meeting facilitator and incorporated should be made to Director, Records Estimated Total Annual Burden into the study. The public comment Management Division, 500 C Street SW., Hours: 13,500,230. The annual burden period closes on , 2015 and Room 7NE, Washington, DC 20472, hours decreased by 204,670 hours from comments may be submitted up until facsimile number (202) 212–4701, or the previous inventory due to that time using one of the methods email address FEMA-Information- discontinuation of use of NFIRS paper detailed under the COMMENT [email protected]. forms and a small decrease in the number of students receiving the NFIRS SUBMISSION section of this document. SUPPLEMENTARY INFORMATION: On The Coast Guard will not make any Program Management Training and , 2014, FEMA published in Orientation. decisions at the meetings and will only the Federal Register at 79 FR 64610 a begin analyzing the comments and Estimated Cost: The estimated annual 60 day Federal Register notice operations and maintenance costs to information received after the public requesting comment on FEMA’s comment period closes on June 3, 2015. respondents or record keepers resulting proposed revision to the National Fire from the collection of information is D.B. Abel, Incident Reporting System (NFIRS) v5.0 $13,915,000. The estimated annual cost Rear Admiral, U.S. Coast Guard, Commander, informaton collection. FEMA to the Federal Government is Seventeenth Coast Guard District. subsquently received 8 comments $2,416,255. providing positive and constructive [FR Doc. 2015–03859 Filed 2–24–15; 8:45 am] Dated: February 5, 2015. BILLING CODE 9110–04–P feedback regarding the information collected by NFIRS. The cost and hour Charlene D. Myrthil, burden of the NFIRS to users was not Director, Records Management Division, DEPARTMENT OF HOMELAND addressed directly in any of the Mission Support, Federal Emergency comments received. All comments Management Agency, Department of SECURITY Homeland Security. received regarding the content of Federal Emergency Management information collected, the suggested [FR Doc. 2015–03838 Filed 2–24–15; 8:45 am] Agency combination of the NFIRS with other BILLING CODE 9111–76–P [Docket ID: FEMA–2014–0031; OMB No. data collection systems, the suggested enhancements to the user interface 1660–0069] DEPARTMENT OF HOMELAND experience of some specific systems SECURITY Agency Information Collection (which would impact average time Activities: Submission for OMB burden in reporting), the suggested Federal Emergency Management Review; Comment Request; National ‘‘mandatory reporting’’ by all fire Agency Fire Incident Reporting System agencies (including Wildland), and the (NFIRS) v5.0 capability for fire departments to review [Docket ID FEMA–2015–0001] other fire department and regional fire AGENCY: Federal Emergency incident data were provided to the Final Flood Hazard Determinations Management Agency, DHS. program office for their consideration AGENCY: Federal Emergency ACTION: Notice. when updating or modifiying the Management Agency, DHS. NFIRS. SUMMARY: The Federal Emergency ACTION: Final notice. Collection of Information Management Agency (FEMA) will SUMMARY: Flood hazard determinations, submit the information collection Title: National Fire Incident Reporting which may include additions or abstracted below to the Office of System (NFIRS) v5.0. modifications of Base Flood Elevations Management and Budget for review and Type of information collection: (BFEs), base flood depths, Special Flood clearance in accordance with the Revision of a currently approved Hazard Area (SFHA) boundaries or zone requirements of the Paperwork information collection. designations, or regulatory floodways on Reduction Act of 1995. The submission Form Titles and Numbers: FEMA the Flood Insurance Rate Maps (FIRMs) will describe the nature of the Form The National Fire Incident and where applicable, in the supporting information collection, the categories of Reporting System (NFIRS) v5.0. Flood Insurance Study (FIS) reports respondents, the estimated burden (i.e., Abstract: NFIRS was established in have been made final for the the time, effort and resources used by 1975 by the USFA as a cooperative communities listed in the table below. respondents to respond) and cost, and effort of local, State, and Federal The FIRM and FIS report are the basis the actual data collection instruments authorities to improve uniformity in fire of the floodplain management measures FEMA will use. incident reporting and to ensure that that a community is required either to DATES: Comments must be submitted on data are useable for fire protection adopt or to show evidence of having in or before March 27, 2015. planning and management. The program effect in order to qualify or remain ADDRESSES: Submit written comments provides a well-established mechanism, qualified for participation in the Federal on the proposed information collection using standardized reporting methods, Emergency Management Agency’s

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(FEMA’s) National Flood Insurance Management Branch, Federal Insurance 42 U.S.C. 4104, and 44 CFR part 67. Program (NFIP). In addition, the FIRM and Mitigation Administration, FEMA, FEMA has developed criteria for and FIS report are used by insurance 500 C Street SW., Washington, DC floodplain management in floodprone agents and others to calculate 20472, (202) 646–4064, or (email) areas in accordance with 44 CFR part appropriate flood insurance premium [email protected]; or visit 60. rates for buildings and the contents of the FEMA Map Information eXchange Interested lessees and owners of real those buildings. (FMIX) online at property are encouraged to review the DATES: The effective date of March 2, www.floodmaps.fema.gov/fhm/fmx_ new or revised FIRM and FIS report 2015 which has been established for the main.html. FIRM and, where applicable, the available at the address cited below for SUPPLEMENTARY INFORMATION: The each community or online through the supporting FIS report showing the new Federal Emergency Management Agency or modified flood hazard information FEMA Map Service Center at (FEMA) makes the final determinations www.msc.fema.gov. The flood hazard for each community. listed below for the new or modified determinations are made final in the ADDRESSES: The FIRM, and if flood hazard information for each watersheds and/or communities listed applicable, the FIS report containing the community listed. Notification of these final flood hazard information for each changes has been published in in the table below. community is available for inspection at newspapers of local circulation and 90 (Catalog of Federal Domestic Assistance No. the respective Community Map days have elapsed since that 97.022, ‘‘Flood Insurance’’) Repository address listed in the tables publication. The Deputy Associate Dated:February 11, 2015. below and will be available online Administrator for Mitigation has Roy E. Wright, through the FEMA Map Service Center resolved any appeals resulting from this at www.msc.fema.gov by the effective notification. Deputy Associate Administrator for date indicated above. This final notice is issued in Mitigation, Department of Homeland FOR FURTHER INFORMATION CONTACT: Luis accordance with section 110 of the Security, Federal Emergency Management Rodriguez, Chief, Engineering Flood Disaster Protection Act of 1973, Agency.

Community Community map repository address

Yavapai County, Arizona, and Incorporated Areas Docket No.: FEMA–B–1351

Unincorporated Areas of Yavapai County ...... Yavapai County Flood Control, District Office, 1120 Commerce Drive, Prescott, AZ 86305.

Henry County, Indiana, and Incorporated Areas Docket No.: FEMA–B–1348

City of New Castle ...... City Hall, 227 North Main Street, New Castle, IN 47362. Town of Dunreith ...... Henry County Planning Commission, 101 South Main Street, New Cas- tle, IN 47362. Town of Greensboro ...... Henry County Planning Commission, 101 South Main Street, New Cas- tle, IN 47362. Town of Kennard ...... Kennard Town Hall, 100 North Main Street, Kennard, IN 47351. Town of Lewisville ...... Henry County Planning Commission, 101 South Main Street, New Cas- tle, IN 47362. Town of Middletown ...... Henry County Planning Commission, 101 South Main Street, New Cas- tle, IN 47362. Town of Mooreland ...... Henry County Planning Commission, 101 South Main Street, New Cas- tle, IN 47362. Unincorporated Areas of Henry County ...... Henry County Planning Commission, 101 South Main Street, New Cas- tle, IN 47362.

Noble County, Indiana, and Incorporated Areas Docket No.: FEMA–B–1348

City of Kendallville ...... City Hall, 234 South Main Street, Kendallville, IN 46755. City of Ligonier ...... City Hall, 301 South Cavin Street, Suite 2, Ligonier, IN 46767. Town of Albion ...... Municipal Building, 211 East Park Drive, Albion, IN 4670. Town of Avilla ...... Town Hall, 108 South Main Street, Avilla, IN 46710. Town of Rome City ...... Town Hall, 402 Kelly Street, Rome City, IN 46784. Unincorporated Areas of Noble County ...... Noble County South Complex, 2090 North State Road 9, Suite A, Albion, IN 46701.

Woodbury County, Iowa, and Incorporated Areas Docket No.: FEMA–B–1342

City of Sioux City ...... City Hall, 405 6th Street, Sioux City, Iowa 51102. Unincorporated Areas of Woodbury County ...... Woodbury County Courthouse, Office of Planning and Zoning, 620 Douglas Street, Sioux City, Iowa 51101.

Northampton County, Virginia, and Incorporated Areas Docket No.: FEMA–B–1359

Town of Cape Charles ...... Town Hall, 2 Plum Street, Cape Charles, VA 23310. Town of Cheriton ...... Northampton County Department of Planning and Zoning, 16404 Courthouse Road, Eastville, VA 23347. Unincorporated Areas of Northampton County...... Northampton County Department of Planning and Zoning, 16404 Courthouse Road, Eastville, VA 23347.

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[FR Doc. 2015–03836 Filed 2–24–15; 8:45 am] and FIS report are used by insurance flood hazard information for each BILLING CODE 9110–12–P agents and others to calculate community listed. Notification of these appropriate flood insurance premium changes has been published in rates for buildings and the contents of newspapers of local circulation and 90 DEPARTMENT OF HOMELAND those buildings. days have elapsed since that SECURITY DATES: The effective date of March 16, publication. The Deputy Associate 2015 which has been established for the Administrator for Mitigation has Federal Emergency Management FIRM and, where applicable, the resolved any appeals resulting from this Agency supporting FIS report showing the new notification. This final notice is issued in [Docket ID FEMA–2014–0002] or modified flood hazard information for each community. accordance with section 110 of the Final Flood Hazard Determinations ADDRESSES: The FIRM, and if Flood Disaster Protection Act of 1973, applicable, the FIS report containing the 42 U.S.C. 4104, and 44 CFR part 67. AGENCY: Federal Emergency final flood hazard information for each FEMA has developed criteria for Management Agency, DHS. community is available for inspection at floodplain management in floodprone ACTION: Final notice. the respective Community Map areas in accordance with 44 CFR part Repository address listed in the tables 60. SUMMARY: Flood hazard determinations, below and will be available online Interested lessees and owners of real which may include additions or through the FEMA Map Service Center property are encouraged to review the modifications of Base Flood Elevations at www.msc.fema.gov by the effective new or revised FIRM and FIS report (BFEs), base flood depths, Special Flood date indicated above. available at the address cited below for Hazard Area (SFHA) boundaries or zone each community or online through the FOR FURTHER INFORMATION CONTACT: Luis designations, or regulatory floodways on FEMA Map Service Center at the Flood Insurance Rate Maps (FIRMs) Rodriguez, Chief, Engineering Management Branch, Federal Insurance www.msc.fema.gov. The flood hazard and where applicable, in the supporting determinations are made final in the Flood Insurance Study (FIS) reports and Mitigation Administration, FEMA, 500 C Street SW., Washington, DC watersheds and/or communities listed have been made final for the in the table below. communities listed in the table below. 20472, (202) 646–4064, or (email) [email protected]; or visit (Catalog of Federal Domestic Assistance No. The FIRM and FIS report are the basis 97.022, ‘‘Flood Insurance’’) of the floodplain management measures the FEMA Map Information eXchange (FMIX) online at Dated: February 11, 2015. that a community is required either to _ adopt or to show evidence of having in www.floodmaps.fema.gov/fhm/fmx Roy E. Wright, effect in order to qualify or remain main.html. Deputy Associate Administrator for qualified for participation in the Federal SUPPLEMENTARY INFORMATION: The Mitigation, Department of Homeland Emergency Management Agency’s Federal Emergency Management Agency Security, Federal Emergency Management (FEMA’s) National Flood Insurance (FEMA) makes the final determinations Agency. Program (NFIP). In addition, the FIRM listed below for the new or modified I. Watershed-based studies:

UPPER CUMBERLAND WATERSHED

Community Community map repository address

Bell County, Kentucky, and Incorporated Areas Docket No.: FEMA–B–1351

City of Middlesboro ...... County Clerk’s Office, 121 North 21st Street, Middlesboro, KY 40965. City of Pineville ...... City Hall, 300 Virginia Avenue, Pineville, KY 40977. Unincorporated Areas of Bell County ...... Bell County Courthouse, 1 Courthouse Square, Pineville, KY 40977.

Harlan County, Kentucky, and Incorporated Areas Docket No.: FEMA–B–1351

City of Benham ...... City Hall, 230 Main Street, Benham, KY 40807. City of Cumberland ...... City Clerk’s Office, 402 West Main Street, Cumberland, KY 40823. City of Evarts ...... City Office, 101 Harlan Street, Evarts, KY 40828. City of Harlan ...... City Clerk’s Office, 218 South Main Street, Harlan, KY 40831. City of Loyall ...... Mayor’s Office, 306 Carter Avenue, Loyall, KY 40854. City of Lynch ...... City Office, 6 East Main Street, Lynch, KY 40855. City of Wallins Creek ...... City Hall, 3280 Main Street, Wallins Creek, KY 40873. Unincorporated Areas of Harlan County ...... Judge Executives Office, 210 East Central Street, Suite 111, Harlan, KY 40831.

Knox County, Kentucky, and Incorporated Areas Docket No.: FEMA–B–1351

. City of Barbourville ...... City Government of Barbourville, 196 Daniel Boone Drive, Barbourville, KY 40906. Unincorporated Areas of Knox County ...... Knox County PVA Office, 401 Court Square, Suite 101, Barbourville, KY 40906.

Laurel County, Kentucky, and Incorporated Areas Docket No.: FEMA–B–1351

City of London ...... City Hall, 501 South Main Street, London, KY 40741.

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UPPER CUMBERLAND WATERSHED—Continued

Community Community map repository address

Unincorporated Areas of Laurel County ...... Laurel County Courthouse, 101 South Main Street, Room 320, London, KY 40741.

Letcher County, Kentucky, and Incorporated Areas Docket No.: FEMA–B–1351

City of Blackey ...... Public Library, 95 Main Street, Blackey, KY 41804. City of Fleming-Neon ...... City Hall, 955 KY Highway 317, Fleming-Neon, KY 41840. City of Jenkins ...... City Hall, 853 Lakeside Drive, Jenkins, KY 41537. City of Whitesburg ...... City Hall, 38 East Main Street, Whitesburg, KY 41858. Unincorporated Areas of Letcher County ...... Letcher County Courthouse, 156 Main Street, Suite 107, Whitesburg, KY 41858.

McCreary County, Kentucky, and Incorporated Areas Docket No.: FEMA–B–1351

Unincorporated Areas of Mccreary County ...... McCreary County Courthouse, 1 North Main Street, Whitley City, KY 42653.

Whitley County, Kentucky, and Incorporated Areas Docket No.: FEMA–B–1351

City of Corbin ...... City Hall, 805 South Main Street, Corbin, KY 40701. City of Williamsburg ...... City Hall, 423 Main Street, Williamsburg, KY 40769. Unincorporated Areas of Whitley County ...... Whitley County Health Department, 368 Penny Lane, Williamsburg, KY 40769.

Claiborne County, Tennessee, and Incorporated Areas Docket No.: FEMA–B–1351

Unincorporated Areas of Claiborne County ...... Claiborne County Courthouse, 1740 Main Street, Tazewell, TN 37879.

II. Non-watershed-based studies:

Community Community map repository address

Martin County, Florida, and Incorporated Areas Docket No.: FEMA–B–1351

City of Stuart ...... Development Department, 121 Southwest Flagler Avenue, Stuart, FL 34994. Town of Jupiter Island ...... Town Hall, 2 Southeast Bridge Road, Hobe Sound, FL 33455. Town of Ocean Breeze ...... Town Hall, 7 Northeast 3rd Avenue, Jensen Beach, FL 34957. Town of Sewalls Point ...... Town Hall, 1 South Sewall’s Point Road, Sewall’s Point, FL 34996. Unincorporated Areas of Martin County ...... Martin County Administration Center, 2401 Southeast Monterey Road, 2nd Floor, Stuart, FL 34996.

Effingham County, Georgia, and Incorporated Areas Docket No.: FEMA–B–1310

City of Rincon ...... City Hall, 302 South Columbia Avenue, Rincon, GA 31326. City of Springfield ...... City Hall, 130 South Laurel Street, Springfield, GA 31329. Town of Guyton ...... City Hall, 310 Central Boulevard, Guyton, GA 31312. Unincorporated Areas of Effingham County ...... Effingham County Administrative Complex, 601 North Laurel Street, Springfield, GA 31329.

Stephenson County, Illinois, and Incorporated Areas Docket No.: FEMA–B–1356

City of Freeport ...... Freeport City Hall, 524 West Stephenson Street, Freeport, IL 61032. Unincorporated Areas of Stephenson County ...... Stephenson County Planning and Zoning Department, 295 West Lamm Road, Freeport, IL 61032. Village of Ridott ...... Ridott Village Hall, 200 East 3rd Street, Ridott, IL 61067. Village of Winslow ...... Winslow Village Hall, 501 School Street, Winslow, IL 61089.

Pottawatomie County, Kansas, and Incorporated Areas Docket No.: FEMA–B–1340

City of St. George ...... City Hall, 220 First Street, St. George, KS 66535. Unincorporated Areas of Pottawatomie County ...... County Office Building, 207 North First Street, Westmoreland, KS 66549.

Riley County, Kansas, and Incorporated Areas Docket No.: FEMA–B–1336

City of Manhattan ...... City Hall, 1101 Poyntz Avenue, Manhattan, KS 66502. City of Ogden ...... City Hall, 222 Riley Avenue, Ogden, KS 66517. City of Riley ...... City Hall, 902 West Walnut Street, Riley, KS 66531. Unincorporated Areas of Riley County ...... County Office Building, 110 Courthouse Plaza, Manhattan, KS 66502.

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Community Community map repository address

Dorchester County, Maryland, and Incorporated Areas Docket No.: FEMA–B–1359

City of Cambridge ...... Department of Public Works, 1025 Washington Street, Cambridge, MD 21613. Town of Brookview ...... Brookview Town Council Office, 5649 Indian Town Road, Rhodesdale, MD 21659. Town of Church Creek ...... Fire Hall, 1902 Church Creek Road, Church Creek, MD 21622. Town of Eldorado ...... Eldorado Town Commission Office, 5808 Eldorado Road, Rhodesdale, MD 21659. Town of Galestown ...... Town Hall, 5538 Old Schoolhouse Road, Galestown, MD 19973. Town of Hurlock ...... Town Council Office, 311 Charles Street, Hurlock, MD 21643. Town of Secretary ...... Town Commission Office, 122 Main Street, Secretary, MD 21664. Town of Vienna ...... Town Hall, 214 Market Street, Vienna, MD 21869. Unincorporated Areas of Dorchester County ...... Dorchester County Office Building, 501 Court Lane, Cambridge, MD 21613.

Arenac County, Michigan (All Jurisdictions) Docket No.: FEMA–B–1342

City of Au Gres ...... City Hall, 124 West Huron Road, Au Gres, MI 48703. City of Omer ...... City Hall, 201 East Center Street, Omer, MI 48749. City of Standish ...... City Hall, 399 East Beaver Street, Standish, MI 48658. Township of Arenac ...... Township Office, 2596 State Road, Standish, MI 48658. Township of Au Gres ...... Township Office, 1865 Swenson Road, Au Gres, MI 48703. Township of Clayton ...... Township Office, 1057 Dobler Road, Sterling, MI 48659. Township of Deep River ...... Township Office, 525 East State Street, Sterling, MI 48659. Township of Lincoln ...... Township Office, 5173 Johnsfield Road, Standish, MI 48658. Township of Mason ...... Township Office, 1225 West Maple Ridge Road, Twining, MI 48766. Township of Moffatt ...... Township Office, 7842 Newberry Street, Alger, MI 48610. Township of Sims ...... Township Office, 4489 East Huron Road, Au Gres, MI 48703. Township of Standish ...... Township Hall, 4997 Arenac State Road, Standish, MI 48658. Township of Turner ...... Township Office, 110 Park Street, Twining, MI 48766. Township of Whitney ...... Township Office, 1515 North Huron Road, Tawas City, MI 48763. Village of Turner ...... Town Hall, 109 West Main Street, Turner, MI 48765.

Forrest County, , and Incorporated Areas Docket No.: FEMA–B–1351

City of Hattiesburg ...... Building and Inspections Department, City Hall, 200 Forrest Street, Hattiesburg, MS 39401. Unincorporated Areas of Forrest County ...... Forrest County Board of Supervisor’s Office, County Courthouse, 629 Main Street, Hattiesburg, MS 39401.

Albany County, New York (All Jurisdictions) Docket No.: FEMA–B–1272

City of Albany ...... City Hall, 24 Eagle Street, Albany, NY 12207. City of Cohoes ...... City Hall, 97 Mohawk Street, Cohoes, NY 12047. City of Watervliet ...... City Hall, 2 15th Street, Watervliet, NY 12189. Town of Berne ...... Town Hall, 1615 Helderberg Trail, Berne, NY 12023. Town of Bethlehem ...... Bethlehem Town Hall, 445 Delaware Avenue, Delmar, NY 12054. Town of Coeymans ...... Coeymans Town Hall, 18 Russell Avenue, Ravena, NY 12143. Town of Colonie ...... Colonie Town Hall, 534 Loudon Road, Newtonville, NY 12128. Town of Guilderland ...... Guilderland Town Hall, 5209 Western Turnpike, Altamont, NY 12009. Town of New Scotland ...... New Scotland Town Hall, 2029 New Scotland Road, Slingerlands, NY 12159. Town of Rensselaerville ...... Rensselaerville Town Hall, 87 Barger Road, Medusa, NY 12120. Town of Westerlo ...... Town Hall, 671 County Route 401, Westerlo, NY 12193. Township of Knox ...... Town Hall, 2192 Berne-Altamont Road, Knox, NY 12107. Village of Altamont ...... Village Hall, 115 Main Street, Altamont, NY 12009. Village of Green Island ...... Village Hall, 20 Clinton Street, Green Island, NY 12183. Village of Menands ...... Village Hall, 250 Broadway, Menands, NY 12204. Village of Ravena ...... Village Hall, 15 Mountain Road, Ravena, NY 12143. Village of Voorheesville ...... Village Hall, 29 Voorheesville Avenue, Voorheesville, NY 12186.

Licking County, Ohio, and Incorporated Areas Docket No.: FEMA–B–1356

City of Heath ...... Municipal Building, 1287 Hebron Road, Heath, OH 43056. City of Newark ...... City Hall, 40 West Main Street, Newark, OH 43055. City of Pataskala ...... City Hall, 621 West Broad Street, Pataskala, OH 43062. City of Reynoldsburg ...... City Hall, 7232 East Main Street, Reynoldsburg, OH 43068. Unincorporated Areas of Licking County ...... The Donald D. Hill County Administration Building, 20 South Second Street, Newark, OH 43055. Village of Alexandria ...... Village Office, 4 West Main Street, Alexandria, OH 43001. Village of Granville ...... Village Office, 141 East Broadway, Granville, OH 43023. Village of Hanover ...... Village Office, 200 New Home Drive NE, Newark, OH 43055. Village of Hartford ...... Hartford Village Town Hall, 2 North High Street, Croton, OH 43013. Village of Hebron ...... Village Office, 934 West Main Street, Hebron, OH 43025.

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Community Community map repository address

Village of Johnstown ...... Village Office, 599 South Main Street, Johnstown, OH 43031. Village of Kirkersville ...... Kirkersville Mayor’s Office, 135 North Fourth Street, Kirkersville, OH 43033. Village of Utica ...... Village Office, 39 Spring Street, Utica, OH 43080.

Bucks County, Pennsylvania (All Jurisdictions) Docket No.: FEMA–B–1293

Borough of Bristol ...... Borough Municipal Building, 250 Pond Street, Bristol, PA 19007. Borough of Chalfont ...... Borough Hall, 40 North Main Street, Chalfont, PA 18914. Borough of Doylestown ...... Borough Hall, 57 West Court Street, Doylestown, PA 18901. Borough of Hulmeville ...... Borough Hall, 321 Main Street, Hulmeville, PA 19047. Borough of Langhorne ...... Borough Office, 114 East Maple Avenue, Langhorne, PA 19047. Borough of Langhorne Manor ...... Langhorne Manor Borough Municipal Building, 618 Hulmeville Avenue, Langhorne, PA 19047. Borough of Morrisville ...... Borough Hall, 35 Union Street, Morrisville, PA 19067. Borough of New Britain ...... Borough Hall, 45 Keeley Avenue, New Britain, PA 18901. Borough of New Hope ...... Borough Hall, 123 New Street, New Hope, PA 18938. Borough of Newtown ...... Pickering, Corts, & Summerson, 642 Newtown-Yardley Road, Suite 300, Newtown, PA 18940. Borough of Penndel ...... Borough Hall, 300 Bellevue Avenue, Penndel, PA 19047. Borough of Perkasie ...... Borough Municipal Building, 620 West Chestnut Street, Perkasie, PA 18944. Borough of Quakertown ...... Borough Hall, 35 North 3rd Street, Quakertown, PA 18951. Borough of Riegelsville ...... Borough Municipal Building, 615 Easton Road, Riegelsville, PA 18077. Borough of Sellersville ...... Borough Municipal Building, 140 East Church Street, Sellersville, PA 18960. Borough of Silverdale ...... Borough Hall, 100 West Park Avenue, Silverdale, PA 18962. Borough of Trumbauersville ...... Borough Hall, 1 Evergreen Drive, Trumbauersville, PA 18970. Borough of Tullytown ...... Borough Municipal Building, 500 Main Street, Tullytown, PA 19007. Borough of Yardley ...... Borough Hall, 56 South Main Street, Yardley, PA 19067. Township of Bedminster ...... Township of Bedminster, Land and Municipal Office, 432 Elephant Road, Perkasie, PA 18944. Township of Bensalem ...... Township Building, 2400 Byberry Road, Bensalem, PA 19020. Township of Bridgeton ...... Bridgeton Township Office, 1370 Bridgeton Hill Road, Upper Black Eddy, PA 18972. Township of Bristol ...... Township Hall, 2501 Bath Road, Bristol, PA 19007. Township of Buckingham ...... Township Office, 4613 Hughesian Drive, Buckingham, PA 18912. Township of Doylestown ...... Township Administration Building, 425 Wells Road, Doylestown, PA 18901. Township of Durham ...... Township Municipal Building, 215 Old Furnace Road, Durham, PA 18039. Township of East Rockhill ...... East Rockhill Township Hall, 1622 North Ridge Road, Perkasie, PA 18944. Township of Falls ...... Falls Township Building, 188 Lincoln Highway, Suite 100, Fairless Hills, PA 19030. Township of Haycock ...... Haycock Township Municipal Building, 640 Harrisburg School Road, Quakertown, PA 18951. Township of Hilltown ...... Township Hall, 13 West Creamery Road, Hilltown, PA 18927. Township of Lower Makefield ...... Lower Makefield Township Building, 1100 Edgewood Road, Yardley, PA 19067. Township of Lower Southampton ...... Lower Southampton Township Municipal Building, 1500 Desire Ave- nue, Feasterville, PA 19053. Township of Middletown ...... Middletown Township Municipal Center, 3 Municipal Way, Langhorne, PA 19047. Township of Milford ...... Milford Township Hall, 2100 Krammes Road, Quakertown, PA 18951. Township of New Britain ...... New Britain Township Municipal Building, 207 Park Avenue, Chalfont, PA 18914. Township of Newtown ...... Township Building, 100 Municipal Drive, Newtown, PA 18940. Township of Nockamixon ...... Nockamixon Township Office, 589 Lake Warren Road, Upper Black Eddy, PA 18972. Township of Northampton ...... Northampton Township Administrative Building, 55 Township Road, Richboro, PA 18954. Township of Plumstead ...... Plumstead Township Hall, 5186 Stump Road, Pipersville, PA 18947. Township of Richland ...... Richland Township Municipal Building, 1328 California Road, Suite A, Quakertown, PA 18951. Township of Solebury ...... Township Hall, 3092 North Sugan Road, Solebury, PA 18963. Township of Springfield ...... Springfield Township Hall, 2320 Township Road, Quakertown, PA 18951. Township of Tinicum ...... Tinicum Township Municipal Building, 163 Municipal Road, Pipersville, PA 18947. Township of Upper Makefield ...... Upper Makefield Township Building, 1076 Eagle Road, Newtown, PA 18940. Township of Upper Southampton ...... Upper Southampton Township Building, 939 Street Road, South- ampton, PA 18966.

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Community Community map repository address

Township of Warminster ...... Municipal Building, 401 Gibson Avenue, Warminster, PA 18974. Township of Warrington ...... Township Building, 852 Easton Road, Warrington, PA 18976. Township of Warwick ...... Warwick Township Hall, 1733 Township Greene, Jamison, PA 18929. Township of West Rockhill ...... West Rockhill Township Office, 1028 Ridge Road, Sellersville, PA 18960. Township of Wrightstown ...... Township Building, 2203 Second Street Pike, Wrightstown, PA 18940.

[FR Doc. 2015–03837 Filed 2–24–15; 8:45 am] For information on facilities or www.regulations.gov, and search for the BILLING CODE 9110–12–P services for individuals with disabilities Docket ID FEMA–2015–0006. or to request special assistance at the FOR FURTHER INFORMATION CONTACT: meeting, please contact the person listed DEPARTMENT OF HOMELAND in the FOR FURTHER INFORMATION Bradley Garner, 202–646–3901 or SECURITY CONTACT section by February 26, 2015 FEMA–[email protected]. Mailing for the first meeting, by March 2, 2015 Address: FFRMS, 1800 South Bell Federal Emergency Management for the second meeting, by , Street, Room 627, Arlington, VA 20598– Agency 2015 for the third meeting, and by 3030. The Web site is https:// March 6, 2015 for the fourth meeting. www.fema.gov/federal-flood-risk- [Docket ID: FEMA–2015–0006] Due to space constraints of the management-standard-ffrms. Notice of Public Meetings on the facilities, seating will be limited to 300 SUPPLEMENTARY INFORMATION: On Proposed Revised Guidelines for participants for the Ames, IA meeting, January 30, 2015, the President signed Implementing Executive Order 11988, 100 participants for the Biloxi, MS Executive Order 13690, directing FEMA, Floodplain Management, as Revised meeting, 200 participants for the on behalf of the Mitigation Framework Through the Federal Flood Risk Sacramento, CA meeting, and 225 Leadership Group, to publish for public Management Standard participants for the Hampton Roads comment draft revised Floodplain meeting. To reserve a seat in advance, Management Guidelines to provide AGENCY please provide a request via email or : Federal Emergency guidance to agencies on the mail with the contact information of the Management Agency, DHS. implementation of Executive Order participant (including name, mailing ACTION: Notice. 11988, as amended, consistent with a address, and email address), the new Federal Flood Risk Management SUMMARY: This notice is to announce meeting(s) to be attended, and include Standard. These draft revised four public meetings to solicit public the subject/attention line (or on the Guidelines were developed by the input on the proposed ‘‘Revised envelope if by mail): Reservation Mitigation Framework Leadership Guidelines for Implementing Executive Request for FFRMS Meeting. Advance Group in consultation with the Federal Order 11988, Floodplain Management.’’ reservations must be received 3 business Interagency Floodplain Management days prior to each meeting to ensure DATES: The first public meeting will be Task Force. FEMA is publishing this held in Ames, IA on , 2015, processing. Unregistered participants will be accepted after all participants Notice on behalf of the Mitigation from 3:00 p.m. to 5:30 p.m. Central Framework Leadership Group, which is Standard Time (CST). The second with reservations have been accommodated and will be admitted on chaired by FEMA, to solicit and public meeting will be held in Biloxi, consider public input on the draft MS on , 2015, from 9:00 a.m. to a first-come, first-serve basis, provided the person capacity is not exceeded. To revised Guidelines at four public 12:00 p.m. Central Standard Time meetings. (CST). The third public meeting will be submit reservations, please email: held in Sacramento, CA on March 11, FEMA–[email protected] or send by Background information about these 2015, from 2:00 p.m. to 5:00 p.m. Pacific mail to the address listed in the FOR topics is available on the FFRMS Web Standard Time (PST). The fourth public FURTHER INFORMATION CONTACT caption. site at https://www.fema.gov/federal- meeting will be held in Hampton Roads, To facilitate public participation, flood-risk-management-standard-ffrms VA on March 11, 2015, from 9:00 a.m. members of the public are invited to or in the docket for this Notice at to 12:00 p.m. Eastern Standard Time provide written comments on the issues www.regulations.gov, Docket ID FEMA– (EST). to be considered at the public meetings. 2015–0006. Comments may be submitted by one of ADDRESSES: The first public meeting These meetings are exempt from the the following methods: Federal Advisory Committee Act will be held in Ames, IA, at the Iowa • Federal eRulemaking Portal: http:// (FACA), as the Mitigation Framework Water Conference Venue, Iowa State www.regulations.gov. Follow the Leadership Group is an University, Scheman Building, 1810 instructions for submitting comments. Lincoln Way, Ames, IA 50011. The • Mail: Regulatory Affairs Division, intergovernmental committee and falls second public meeting will be held in Office of Chief Counsel, FEMA, 500 C under the intergovernmental committee Biloxi, MS at the Mississippi Recovery Street SW., Room 8NE, Washington, DC exception to FACA, 41 CFR 102–3.40(g). Office, 220 Popps Ferry Road, Biloxi, 20472–3100. Authority: Executive Order 11988, as MS 39591. The third public meeting Instructions: All submissions received amended; Executive Order 13690. will be held in Sacramento, CA at the must include the docket ID FEMA– CA Office of Emergency Services, 3650 2015–0006. Comments received will be Roy Wright, Schriever Ave, Mather, CA 95655. The posted without alteration at http:// Deputy Associate Administrator for fourth public meeting will be held in www.regulations.gov, including any Mitigation, Federal Emergency Management Hampton Roads, VA at Old Dominion personal information provided. Agency. University, 4320 Hampton Blvd., Docket: For access to the docket to [FR Doc. 2015–03840 Filed 2–24–15; 8:45 am] Norfolk, VA 23529. read comments received, go to http:// BILLING CODE 9111–47–P

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DEPARTMENT OF HOMELAND Homeland Security (DHS) to impose (2) Visiting TSA’s Security SECURITY civil penalties of up to $10,000 per Regulations Web page at http:// violation of any surface transportation www.tsa.gov and accessing the link for Transportation Security Administration requirement under 49 U.S.C. or any ‘‘Stakeholders’’ at the top of the page, [Docket No. TSA–2009–0024] requirement related to TWICs under 46 then the link ‘‘Research Center’’ in the U.S.C. chapter 701. TSA exercises this left column. function under delegated authority from Enforcement Actions Summary In addition, copies are available by the Secretary. See DHS Delegation No. writing or calling the individual in the AGENCY: Transportation Security 7060–2. Administration, DHS. Under 49 U.S.C. 114(v)(7)(A), TSA is FOR FURTHER INFORMATION CONTACT section. Make sure to identify the docket ACTION: Notice of availability. required to provide the public with an annual summary of all enforcement number of this rulemaking. SUMMARY: The Transportation Security actions taken by TSA under this Issued in Arlington, Virginia, February 19, Administration (TSA) is providing subsection; and include in each such 2015. notice that it has issued an annual summary the identifying information of Margot F. Bester, summary of all enforcement actions each enforcement action, the type of Principal Deputy Chief Counsel. taken by TSA under the authority alleged violation, the penalty or granted in the Implementing penalties proposed, and the final February 19, 2015 Recommendations of the 9/11 assessment amount of each penalty. Commission Act of 2007. This summary is for calendar year 2014. Annual Summary of Enforcement Actions Taken Under 49 U.S.C. 114(v) FOR FURTHER INFORMATION CONTACT: TSA will publish a summary of all Emily Su, Assistant Chief Counsel, Civil enforcement actions taken under the Annual Report Enforcement, Office of the Chief statute in January to cover the previous Counsel, TSA–2, Transportation calendar year. Pursuant to 49 U.S.C. 114(v)(7)(A), TSA provides the following summary of Security Administration, 601 South Document Availability 12th Street, Arlington, VA 20598–6002; enforcement actions taken by TSA in telephone (571) 227–2305; facsimile You can get an electronic copy of both calendar year 2014 under section (571) 227–1378; email emily.su@ this notice and the enforcement actions 114(v).1 dhs.gov. summary on the Internet by searching the electronic Federal Docket Background SUPPLEMENTARY INFORMATION: Management System (FDMS) Web page Section 114(v) of title 49 of the U.S. Background at http://www.regulations.gov, Docket No. TSA–2009–0024; Code gave the Transportation Security On , 2007, section 1302(a) of You can get an electronic copy of only Administration (TSA) new authority to the Implementing Recommendations of this notice on the Internet by— assess civil penalties for violations of the 9/11 Commission Act of 2007 (the (1) Accessing the Government any surface transportation requirements 9/11 Act), Public Law 110–53, 121 Stat. Publishing Office’s Web page at http:// under 49 U.S.C. and for any violations 392, gave TSA new authority to assess www.gpo.gov/fdsys/browse/ of chapter 701 of title 46 of the U.S. civil penalties for violations of any collection.action?collectionCode=FR to Code, which governs transportation surface transportation requirements view the daily published Federal worker identification credentials under title 49 of the U.S. Code (U.S.C.) Register edition; or accessing the (TWICs). Specifically, section 114(v) and for any violations of chapter 701 of ‘‘Search the Federal Register by authorizes the Secretary of the title 46 of the U.S. Code, which governs Citation’’ in the ‘‘Related Resources’’ Department of Homeland Security transportation worker identification column on the left, if you need to do a (DHS) to impose civil penalties of up to credentials (TWICs). Simple or Advanced search for $10,000 per violation of any surface Section 1302(a) of the 9/11 Act, information, such as a type of document transportation requirement under title codified at 49 U.S.C. 114(v), authorizes that crosses multiple agencies or dates; 49 U.S.C. or any requirement related to the Secretary of the Department of or TWICs under 46 U.S.C. chapter 701.2

ENFORCEMENT ACTIONS TAKEN BY TSA IN CALENDAR YEAR 2014

TSA Case number/type of violation Penalty proposed/assessed

TSA Case # 2013TPA0154—Rail Car Transfer of Custody (49 CFR 1580.107) ...... None (Warning Notice). TSA Case # 2013MEM0087—Rail Car Transfer of Custody (49 CFR 1580.107) ...... $30,000/$30,000. TSA Case # 2013MEM0049—Rail Car Transfer of Custody (49 CFR 1580.107) ...... None (Warning Notice). TSA Case # 2013MEM0090—Rail Car Transfer of Custody (49 CFR 1580.107) ...... $20,000/$15,000. TSA Case # 2014ATL0832—Rail Car Location (49 CFR 1580.103) ...... None (Letter of Correction). TSA Case # 2015BOS0008—TWIC—Fraudulent Use or Manufacture (49 CFR 1570.7) ...... None (Warning Notice). TSA Case # 2015PHL0014—TWIC—Fraudulent Use or Manufacture (49 CFR 1570.7) ...... None (Warning Notice). TSA Case # 2015MOB0002—TWIC—Fraudulent Use or Manufacture (49 CFR 1570.7) ...... None (Warning Notice). TSA Case # 2015JAX0007—TWIC—Fraudulent Use or Manufacture (49 CFR 1570.7) ...... None (Warning Notice). TSA Case # 2015JAX0006—TWIC—Fraudulent Use or Manufacture (49 CFR 1570.7) ...... None (Warning Notice). TSA Case # 2013MCO0310—Reporting Security Concerns (49 CFR 1580.203) ...... None (Letter of Correction). TSA Case # 2014IAD0084—TWIC—Fraudulent Use or Manufacture (49 CFR 1570.7) ...... $4,000/$4,000.

1 49 U.S.C. 114(v)(7)(A) states: In general. Not subsection; and (ii) include in each such summary 2 TSA exercises this function under delegated later than December 31, 2008, and annually the docket number of each enforcement action, the authority from the Secretary. See DHS Delegation thereafter, the Secretary shall—(i) provide an type of alleged violation, the penalty or penalties No. 7060–2. annual summary to the public of all enforcement proposed, and the final assessment amount of each actions taken by the Secretary under this penalty.

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ENFORCEMENT ACTIONS TAKEN BY TSA IN CALENDAR YEAR 2014—Continued

TSA Case number/type of violation Penalty proposed/assessed

TSA Case # 2014IAD0082—TWIC—Fraudulent Use or Manufacture (49 CFR 1570.7) ...... $4,000/$4,000. TSA Case # 2014IAD0083—TWIC—Fraudulent Use or Manufacture (49 CFR 1570.7) ...... $4,000/$2,000.

[FR Doc. 2015–03798 Filed 2–24–15; 8:45 am] impaired persons may access these revitalization planning contemplates not BILLING CODE 9110–05–P numbers through TTY by calling the only the conversion of assistance Federal Relay Service at 800–877–8339 pursuant to RAD, but also to (this is a toll-free number). supplement such converted projects by project-basing additional voucher DEPARTMENT OF HOUSING AND Background and Action URBAN DEVELOPMENT assistance. SFHA has submitted a The RAD statute (Pub. L. 112–55, waiver request that seeks permission to [Docket No. FR–5851–N–01] approved , 2011) gives apply the Applicable Alternative HUD authority to waive or specify Tenanting Requirements to all units in Rental Assistance Demonstration alternative requirements for, among (RAD)—Alternative Requirements or those projects with assistance converted other things, section 8(o)(13) of the under RAD. HUD has granted that Waivers: Waiving and Specifying United States Housing Act of 1937 (the Alternative Requirements for the 20 request, subject to certain conditions 1937 Act). In order to utilize this which SFHA has agreed to carry out. Percent Portfolio Cap on Project- authority, the RAD statute requires HUD Basing and Certain Tenant Protection to publish by notice in the Federal Dated: February 13, 2015. and Participation Provisions for the Register any waiver or alternative Jemine A. Bryon, San Francisco Housing Authority’s requirement no later than 10 days before Acting Assistant Secretary for Public and RAD Projects the effective date of such notice. This Indian Housing. Biniam T. Gebre, AGENCY: Office of the Assistant notice meets this publication Secretary for Public and Indian requirement. Acting Assistant Secretary for Housing— On July 2, 2013, notice 2012–32 Rev- Federal Housing Commissioner. Housing, and Office of the Assistant 1(as corrected by the technical Secretary for Housing—Federal Housing [FR Doc. 2015–03780 Filed 2–24–15; 8:45 am] correction issued February 6, 2014) Commissioner, HUD. BILLING CODE 4210–67–P (‘‘the revised notice’’) superseded PIH ACTION: Notice. Notice 2012–32. The revised notice is SUMMARY: The RAD statute gives HUD found at the following URL: http:// DEPARTMENT OF THE INTERIOR portal.hud.gov/hudportal/HUD?src=/ authority to establish waivers and _ _ _ alternative requirements. Pursuant to program offices/public indian Bureau of Indian Affairs this authority, HUD has waived, to date, housing/publications/notices/2012. The revised notice at section 1.9, [K00103 12/13 A3A10; 134D0102DR– the statutory 20 percent cap on project- DS5A300000–DR.5A311.IA000113] paragraph F, entitled ‘‘Portfolio basing of a PHA’s tenant-based voucher Awards,’’ also sets forth a new option of funding for RAD-converted units. This Guidelines for State Courts and a ‘‘portfolio award,’’ which allows PHAs notice advises that HUD is waiving for Agencies in Indian Child Custody to apply for RAD conversions affecting the San Francisco Housing Authority Proceedings a group of projects. This type of award (SFHA), to a limited extent and subject is meant to enable PHAs to create a AGENCY: Bureau of Indian Affairs, to certain conditions, the 20 percent cap comprehensive revitalization plan for Interior. on project-basing and certain other multiple buildings they oversee. SFHA provisions governing project-based ACTION: Notice. has submitted an application for a assistance with respect to an identified portfolio award under RAD. SUMMARY: These updated guidelines portfolio that includes RAD funding. The revised notice contains a waiver provide guidance to State courts and These waivers are in response to plans of 8(o)(13)(B) and other sections of the child welfare agencies implementing the submitted by SFHA to address capital 1937 Act. Section 1.6, ‘‘Special Indian Child Welfare Act’s (ICWA) needs of the portfolio and preserve Provisions Affecting Conversions to provisions in light of written and oral available affordable housing for the PBVs,’’ at paragraph A.1, allows a comments received during a review of SFHA’s jurisdiction. Without this project that converts from one form of the Bureau of Indian Affairs (BIA) waiver, SFHA states that its plan for rental assistance to another under RAD Guidelines for State Courts in Indian improving its affordable housing to exceed the 20 percent project-basing Child Custody Proceedings published in portfolio with RAD would not be cap. Section 1.6.A.2 allows sets 1979. They also reflect workable, and the conversion of units alternate requirements for the percent recommendations made by the Attorney under RAD would not be effective for its limitation on the number of units in a General’s Advisory Committee on purpose. project that may receive PBV assistance. American Indian/Alaska Native DATES: Effective Date: March 9, 2015. Section 1.6.C. sets forth alternative Children Exposed to Violence and FOR FURTHER INFORMATION CONTACT: requirements for resident rights and significant developments in Janet Golrick, Acting Director of the participation. (Collectively, the waivers jurisprudence since ICWA’s inception. Office of Recapitalization, Office of and alternative requirements set forth in The updated BIA Guidelines for State Housing, Department of Housing and Sections 1.6.A.1, 1.6.A.2 and 1.6.C are Courts and Agencies in Indian Child Urban Development, 451 7th Street SW., referred to herein as the ‘‘Applicable Custody Proceedings promote Washington, DC 20410–7000; telephone Alternative Tenanting Requirements.’’) compliance with ICWA’s stated goals number 202–708–0001 (this is not a toll- As part of its application for a and provisions by providing a free number). Hearing- and speech- portfolio award, SFHA’s comprehensive framework for State courts and child

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welfare agencies to follow, as well as Choctaw Indians v. Holyfield, 490 U.S. III. Summary of Updates best practices for ICWA compliance. 30 (1989) (citing H. Rep. 95–1386 at 24). The 1979 guidelines included Effective immediately, these guidelines Following ICWA’s enactment, in July ‘‘commentary’’ for each section, which supersede and replace the guidelines 1979, the Department of the Interior was intended to explain the published in 1979. (Department) issued regulations requirements of each section. The DATES: These guidelines are effective on addressing notice procedures for updated guidelines are clearer, making February 25, 2015. involuntary child custody proceedings the commentary unnecessary. FOR FURTHER INFORMATION CONTACT: involving Indian children, as well as Recognizing the important role that Hankie Ortiz, Deputy Director—Indian governing the provision of funding for child welfare agencies play in ICWA Services, Bureau of Indian Affairs, U.S. and administration of Indian child and compliance, these updated guidelines Department of the Interior, 1849 C family service programs as authorized broaden the audience of the guidelines Street, NW., Washington, DC 20240, by ICWA. See 25 CFR part 23. Those to include both State courts and any (202) 208–2874; [email protected]. regulations did not address the specific agency or other party seeking placement SUPPLEMENTARY INFORMATION: requirements and standards that ICWA of an Indian child. The guidelines imposes upon State court child custody identify procedures to address I. Background proceedings, beyond the requirements circumstances in which a parent desires These updated BIA guidelines for contents of the notice. Also, in 1979, anonymity in a voluntary proceeding. provide standard procedures and best the BIA published guidelines for State Those procedures clarify that a parent’s practices to be used in Indian child courts to use in interpreting many of desire for anonymity does not override welfare proceedings in State courts. The ICWA’s requirements in Indian child the responsibility to comply with ICWA. updated guidelines are issued in custody proceedings. 44 FR 67584 (Nov. The guidelines also establish that response to comments received during 26, 1979). Although there have been agencies and courts should document several listening sessions, written significant developments in ICWA their efforts to comply with ICWA. The comments submitted throughout 2014, jurisprudence, the guidelines have not following paragraphs include section- and recommendations of the Attorney been updated since they were originally by-section highlights of the substantive General’s Advisory Committee on published in 1979. Much has changed updates that these guidelines make to American Indian/Alaska Native in the 35 years since the original the 1979 version. Children Exposed to Violence. guidelines were published, but many of Congress enacted ICWA in 1978 to Section A. General Provisions (formerly, the problems that led to the enactment entitled ‘‘Policy’’) address the Federal, State, and private of ICWA persist. agency policies and practices that The updated guidelines add several resulted in the ‘‘wholesale separation of In 2014, the Department invited provisions to section A, to provide Indian children from their families.’’ H. comments to determine whether to better context for the guidelines and Rep. 95–1386 (July 24, 1978), at 9. update its guidelines and what changes clear direction on implementing the Congress found ‘‘that an alarmingly high should be made. The Department held guidelines. For example, this section percentage of Indian families are broken several listening sessions, including includes definitions of key terms used up by the removal, often unwarranted, sessions with representatives of throughout the guidelines, such as of their children from them by nontribal federally recognized Indian tribes, State ‘‘active efforts’’ and ‘‘child custody public and private agencies and that an court representatives (e.g., the National proceeding.’’ The phrase ‘‘active efforts’’ alarmingly high percentage of such Council of Juvenile and Family Court has been inconsistently interpreted. The children are placed in non-Indian foster Judges and the National Center for State guidelines’ definition is intended to and adoptive homes and institutions Courts’ Conference of Chief Justices provide clarity—particularly in .... ’’ 25 U.S.C. 1901(4). Congress Tribal Relations Committee), the establishing that ‘‘active efforts’’ require determined that cultural ignorance and National Indian Child Welfare a level of effort beyond ‘‘reasonable biases within the child welfare system Association, and the National Congress efforts.’’ were significant causes of this problem of American Indians. The Department Section A also includes an and that state administrative and received comments from those at the applicability section, which judicial bodies ‘‘have often failed to listening sessions and also received incorporates many of the provisions of recognize the essential tribal relations of written comments, including comments the 1979 guidelines’ section B.3. In Indian people and the cultural and from individuals and additional addition, section A: social standards prevailing in Indian organizations, such as the Christian • Clarifies that agencies and State communities and families.’’ 25 U.S.C. Alliance for Indian Child Welfare and courts must ask, in every child custody 1901(5); H. Rep. 95–1386, at 10. the American Academy of Adoption proceeding, whether ICWA applies; Congress enacted ICWA to ‘‘protect the Attorneys. An overwhelming proportion • Clarifies that courts should follow best interests of Indian children and to of the commenters requested that the ICWA procedures even when the Indian promote the stability and security of Department update its ICWA guidelines child is not removed from the home, in Indian tribes and families by and many had suggestions for revisions order to allow tribes to intervene as establishing minimum Federal that have been included. The early as possible to assist in preventing standards for the removal of Indian Department reviewed and considered a breakup of the family; and children from their families and the each comment in developing these • Provides that, where agencies and placement of such children in foster or revised Guidelines. State courts have reason to know that a adoptive homes or institutions which II. Statutory Authority child is an Indian child, they must treat will reflect the unique values of Indian that child as an Indian child unless and culture.’’ H. Rep. 95–1386, at 8. ICWA The Department is issuing these until it is determined that the child is thus articulates a strong ‘‘federal policy updated guidelines under ICWA, 25 not an Indian child. that, where possible, an Indian child U.S.C. 1901 et seq., and its authority These clarifications are necessary to should remain in the Indian over the management of all Indian ensure that the threshold question for community.’’ Mississippi Band of affairs under 25 U.S.C. 2. determining whether ICWA applies (is

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the child an Indian child?) is asked, and efforts’’ begins. ICWA requires ‘‘active This section also clarifies how asked as soon as possible. If such efforts to provide remedial services and guidelines apply if the child is inquiry is not timely made, a court rehabilitative programs designed to transferred interstate. proceeding may move forward without prevent the breakup of the Indian The updated guidelines expand upon appropriate individuals aware that family.’’ See 25 U.S.C. 1912(d). The the emergency procedure provisions in ICWA applies and that certain updated section B clarifies that active light of evidence that some States procedures must be followed. Tragic efforts must begin from the moment the routinely rely upon emergency removals consequences may result. possibility arises that the Indian child and placements in a manner that The updated guidelines also add a may be removed. This updated section bypasses implementation of ICWA. See section regarding how to contact a tribe, also clarifies that active efforts should Oglala Sioux Tribe v. Hunnik, Case No. in case the agency or State court is be conducted while verifying whether 5:13–cv–05020–JLV, Amicus Brief of the unfamiliar with whom to contact. the child is an Indian child; this United States, at *5–6 (D.S.D. Aug. 14, Section A is intended to make clear clarification ensures compliance with 2014) (involving allegations that: (1) that there is no existing Indian family ICWA in cases in which the status of Defendants are conducting perfunctory (EIF) exception to application of ICWA. whether the child is an Indian child is 48-hour hearings that do not adequately The EIF doctrine is a judicially-created not verified until later in the gather or evaluate information necessary exception to the application of ICWA. proceedings. to determine whether emergency Since first recognition of the EIF in Section B adds a new paragraph removals or placements should be 1982, the majority of State appellate clarifying that the tribe alone retains the terminated, and that the orders issued at courts that have considered the EIF have responsibility to determine tribal the end of the 48-hour hearing do not rejected it as contrary to the plain membership. This section makes clear adequately instruct State officials to language of ICWA. Some State that there is no requirement for the return the child to the home as soon as legislatures have also explicitly rejected child to have a certain degree of contact the emergency has ended; (2) the EIF within their State ICWA with the tribe or for a certain blood Defendants are violating the Due statutes. The Department agrees with degree, and notes that a tribe may lack Process Clause by preventing parents the States that have concluded that written rolls. The updated guidelines from testifying, presenting evidence, or there is no existing Indian family delete the provision allowing BIA, in cross-examining the State’s witnesses at exception to application of ICWA. lieu of the tribe, to verify the child’s the 48-hour hearing; and (3) parents are Section A also clarifies that ICWA and status. This provision has been deleted not being provided adequate notice or the guidelines apply in certain because it has become increasingly rare the opportunity to be represented by voluntary placements. for the BIA to be involved in tribal appointed counsel and that the State Section B. Pretrial Requirements membership determinations, as tribes courts are issuing orders to remove Indian children from their homes The updated guidelines, and section B determine their own membership. See e.g., Santa Clara Pueblo v. Martinez, 436 without basing those orders on evidence in particular, promote the early adduced in the hearing). Because ICWA U.S. 49 (1978). (‘‘Congress’ authority identification of ICWA applicability. was intended to help prevent the over Indian matters is extraordinarily Such identifications will promote breakup of Indian families; therefore, broad, and the role of courts in adjusting proper implementation of ICWA at an emergency removals and emergency relations between and among tribes and early stage, to prevent—as much as placements of Indian children should be their members correspondingly possible—delayed discoveries that severely limited, applying only in restrained.’’) BIA may assist in ICWA applies. Often, those circumstances involving imminent contacting the tribe to ensure a circumstances resulting from delayed physical damage or harm. The updated determination, however. discoveries have caused heartbreaking section B clarifies that the guidelines for separations and have sometimes led to The updated section B also expands emergency removal or placement apply noncompliance with ICWA’s upon procedures for determining a regardless of whether the Indian child is requirements. By requiring agencies and child’s tribe in the event that more than a resident of or domiciled on a courts to consider, as early as possible, one tribe is identified as the child’s reservation. This section also explicitly whether ICWA applies, the updated tribe. Specifically, it changes the criteria states the standard for determining guidelines will ensure that proper for determining with which tribe the whether emergency removal or notice is given to parents/Indian child has ‘‘significant contacts,’’ adding emergency placement is appropriate— custodians and tribes, that tribes have that the parents’ preference for i.e., whether it is necessary to prevent the opportunity to intervene or take membership will be considered, and imminent physical damage or harm to jurisdiction over proceedings, as deleting factors that are subjective or the child—and provides examples. The appropriate, and that ICWA’s placement inapplicable to infants. guidelines clearly state that the preferences are respected. With regard to providing notice to emergency removal/placement must be With regard to early discovery, Indian tribes and the child’s parents/ as short as possible, and provides section B requires agencies and courts to Indian custodians, the updated section guidance on how to ensure it is as short consider whether the child is an Indian B: as possible. It also shortens the time • child, and sets out the steps for Clarifies that notice is required for period for temporary custody without a verifying the tribe(s) and providing each proceeding (not just for the first or hearing or extraordinary circumstances notice to the parents/Indian custodians last proceeding); from 90 days to 30 days. This shortened • and tribe(s). Section B also adds States that notice must be sent, at a timeframe promotes ICWA’s important guidance regarding the evidence a court minimum, by registered mail, return goal of preventing the breakup of Indian may require an agency to provide of the receipt requested, and that personal families. agency’s investigations into whether the service or other types of service may be child is an Indian child. in addition to, but not in lieu of, such Section C. Procedures for Transfer to With regard to application of ICWA, mail; and Tribal Court the updated section B clarifies when the • Clarifies that the tribe has the right The updated section C deletes the Act’s requirement to conduct ‘‘active to intervene at any time. requirement that requests to transfer to

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tribal court be made ‘‘promptly after custodians and tribes have the preferences are available. The updated receiving notice of the proceeding’’ opportunity to examine information section F requires that: because there is no such requirement in necessary to protect their rights under • The agency bears the burden of ICWA. Instead, the updated guidelines ICWA. This updated section also proof if it departs from any of the clarify that the right to transfer is expands significantly on how to comply placement preferences and must available at any stage of a proceeding, with the Act’s ‘‘active efforts’’ demonstrate that it conducted a diligent including during an emergency removal. requirement. Specifically, the updated search to identify placement options The updated section C also clarifies that guidelines: that satisfy the placement preferences, the right to request a transfer occurs • Require demonstration that ‘‘active including notification to the child’s with each distinct proceeding. ICWA efforts’’ were made, not only ‘‘prior to’’ parents or Indian custodians, extended contains no restriction on the right to the commencement of the proceeding, family, tribe, and others; and request a transfer occurring at the first, but also ‘‘until’’ the commencement of • The court determines whether last, or any specific child custody the proceeding; ‘‘good cause’’ to deviate from the proceeding. A tribe may decide that • Require documentation of what placement preferences exists before transfer is not appropriate until it ‘‘active efforts’’ were made; and departing from the placement reaches the stage where parental Require a showing that active efforts preferences. termination is being determined. have been unsuccessful. The updated The updated section F also adds The updated section C also updates section D also provides guidance provisions to ensure that ‘‘good cause’’ the ‘‘good cause’’ factors for denying regarding how to identify an appropriate determinations are explained to all transfer to tribal court. The updated ‘‘qualified expert witness.’’ Commenters parties and documented. criteria are more general; in summary, indicated that some States rely on Evidence suggests that ‘‘good cause’’ good cause may be found if either witnesses’ qualifications as child care parent objects, the tribal court declines, has been liberally relied upon to deviate specialists, or on other areas of or the State court otherwise determines from the placement preferences in the expertise, but do not require any expert that good cause exists. The updated past. Commenters noted that, in some guidelines specifically omit some of the knowledge related to the tribal cases, a State court departed from the factors that were the basis for finding community. The updated guidelines placement preferences because an that ‘‘good cause’’ exists under the 1979 establish a preferential order for Indian child has spent significant time guidelines. One such factor that should witnesses who are experts in the culture in a family’s care, despite the fact that no longer be considered is whether the and customs of the Indian child’s tribe. the placement was made in violation of proceeding was at an advanced stage. As This will ensure that the expert witness ICWA. The guidelines attempt to mentioned above, there may be valid with the most knowledge of the Indian prevent such circumstances from arising reasons for waiting to transfer a child’s tribe is given priority. by encouraging early compliance with ICWA (see sections A and B, in proceeding until it reaches an advanced Section E. Voluntary Proceedings stage. Another factor that should no particular). The guidelines also specify longer be considered is the level of ICWA applies to voluntary in section F that ‘‘good cause’’ does not contacts the child has had with the proceedings that operate to prohibit an include normal bonding or attachment tribe—this factor unnecessarily Indian child’s parent or Indian that may have resulted from a introduces an outsider’s evaluation of custodian from regaining custody of the placement that failed to comply with the child’s relationship with the tribe child upon demand; nevertheless, the Act. As in other parts of the and cannot sensibly be applied to evidence suggests that ICWA is guidelines, this section clarifies that an infants. sometimes ignored or intentionally independent consideration of the child’s The updated guidelines also specify bypassed in voluntary proceedings. The ‘‘best interest’’ is inappropriate for this that it is inappropriate to conduct an updated section E clarifies that, even in determination because Congress has independent analysis, inconsistent with voluntary proceedings, it is necessary to already addressed the child’s best ICWA’s placement preferences, of the determine whether ICWA applies, and interest in ICWA. Because ICWA does ‘‘best interest’’ of an Indian child. The to comply with ICWA’s provisions. To not allow for consideration of socio- provisions of ICWA create a ensure that parents and Indian economic status in the placement presumption that ICWA’s placement custodians understand the significance preferences, this section also now preferences are in the best interests of of their consent, the updated section E clarifies that the court may not depart Indian children; therefore, an requires the consent document to from the preferences based on the socio- independent analysis of ‘‘best interest’’ identify any conditions to the consent economic status of one placement would undermine Congress’s findings. and requires the court to explain the relative to another, except in extreme Finally, the updated guidelines provide consequences of the consent before its circumstances. execution. It also addresses steps for that the tribal court’s prospective Section G. Post-Trial Rights placement of an Indian child should not withdrawal of consent. The updated be considered, because it invites section E further restates the statutory ICWA is intended to protect the speculation regarding the tribal court’s restriction that a consent given prior to rights, not only of Indian children, findings and conclusions and, therefore, or within 10 days after birth of an parents and Indian custodians, but also undermines the independence of tribal Indian child is not valid. of Indian tribes. The updated guidelines establish that an Indian child, parent or court decision making. Section F. Dispositions Indian custodian, or tribe may petition Section D. Adjudication of Involuntary The updated guidelines provide more to invalidate an action if the Act or Placements, Adoptions, or Terminations information regarding when and how to guidelines have been violated, or Terminations of Parental Rights apply ICWA’s placement preferences for regardless of which party’s rights were The updated section D establishes foster and adoptive placements. In some violated. This approach promotes that parties have the right to examine cases, agencies fail to conduct any compliance with ICWA and reflects that records and reports in a timely manner; investigation of whether placements ICWA is intended to protect the rights this ensures that parents/Indian that conform to ICWA’s placement of each of these parties.

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Adults who had been adopted by non- 1. Who has access to reports or records? (1) Engaging the Indian child, the Indian families and seek to reconnect 2. What steps must a party take to petition Indian child’s parents, the Indian with their tribes often face significant a State court for certain actions involving child’s extended family members, and hurdles in obtaining needed an Indian child? the Indian child’s custodian(s); 3. What are the applicable standards of information. The updated guidelines evidence? (2) Taking steps necessary to keep attempt to protect those adults’ rights to 4. Who may serve as a qualified expert siblings together; obtain information about their tribal witness? (3) Identifying appropriate services relationship by specifying that, even in E. Voluntary Proceedings and helping the parents to overcome States where adoptions remain closed, 1. What actions must an agency and State barriers, including actively assisting the the relevant agency should facilitate court undertake in voluntary parents in obtaining such services; communication directly with the tribe’s proceedings? (4) Identifying, notifying, and inviting enrollment office. 2. How is consent obtained? representatives of the Indian child’s 3. What information should the consent The guidelines also recommend that tribe to participate; document contain? (5) Conducting or causing to be courts work with tribes to identify tribal 4. How is withdrawal of consent achieved designees who can assist adult adoptees in a voluntary foster care placement? conducted a diligent search for the to connect with their tribes. 5. How is withdrawal of consent to a Indian child’s extended family members Finally, the updated guidelines clarify voluntary adoption achieved? for assistance and possible placement; that the requirement to maintain records F. Dispositions (6) Taking into account the Indian on foster care, preadoptive placement 1. When do the placement preferences child’s tribe’s prevailing social and and adoptive placements applies not apply? cultural conditions and way of life, and 2. What placement preferences apply in requesting the assistance of only in involuntary proceedings, but adoptive placements? also in voluntary proceedings. representatives designated by the Indian 3. What placement preferences apply in child’s tribe with substantial knowledge IV. Guidance foster care or preadoptive placements? 4. How is a determination for ‘‘good cause’’ of the prevailing social and cultural These guidelines supersede and to depart from placement procedures standards; replace the guidelines published at 44 made? (7) Offering and employing all FR 67584 (, 1979). G. Post-Trial Rights available and culturally appropriate 1. What is the procedure for petitioning to family preservation strategies; Guidelines for State Courts and Agencies in vacate an adoption? (8) Completing a comprehensive Indian Child Custody Proceedings 2. Who can make a petition to invalidate assessment of the circumstances of the A. General Provisions an action? Indian child’s family, with a focus on 1. What is the purpose of these guidelines? 3. What are the rights of adult adoptees? safe reunification as the most desirable 2. What terms do I need to know? 4. When must notice of a change in child’s status be given? goal; 3. When does ICWA apply? (9) Notifying and consulting with 4. How do I contact a tribe under these 5. What information must States furnish to guidelines? the Bureau of Indian Affairs? extended family members of the Indian 5. How do these guidelines interact with 6. How must the State maintain records? child to provide family structure and support for the Indian child, to assure State laws? Guidelines for State Courts and B. Pretrial Requirements cultural connections, and to serve as Agencies in Indian Child Custody 1. When does the requirement for active placement resources for the Indian Proceedings efforts begin? child; 2. What actions must an agency and State A. General Provisions (10) Making arrangements to provide court undertake to determine whether a family interaction in the most natural child is an Indian child? A.1. What is the purpose of these setting that can ensure the Indian 3. Who makes the determination as to guidelines? whether a child is a member of a tribe? child’s safety during any necessary 4. What is the procedure for determining These guidelines clarify the minimum removal; an Indian child’s tribe when the child is Federal standards, and best practices, (11) Identifying community resources a member or eligible for membership in governing implementation of the Indian including housing, financial, more than one tribe? Child Welfare Act (ICWA) to ensure that transportation, mental health, substance 5. When must a State court dismiss an ICWA is applied in all States consistent abuse, and peer support services and action? with the Act’s express language, actively assisting the Indian child’s 6. What are the notice requirements for a Congress’ intent in enacting the statute, parents or extended family in utilizing child custody proceeding involving an and the canon of construction that and accessing those resources; Indian child? statutes enacted for the benefit of (12) Monitoring progress and 7. What time limits and extensions apply? 8. What is the process for emergency Indians are to be liberally construed to participation in services; removal of an Indian child? their benefit. In order to fully (13) Providing consideration of 9. What are the procedures for determining implement ICWA, these guidelines alternative ways of addressing the needs improper removal? should be applied in all proceedings of the Indian child’s parents and C. Procedures for Making Requests for and stages of a proceeding in which the extended family, if services do not exist Transfer to Tribal Court Act is or becomes applicable. or if existing services are not available; 1. How are petitions for transfer of (14) Supporting regular visits and trial proceeding made? A.2. What terms do I need to know? home visits of the Indian child during 2. What are the criteria and procedures for Active efforts are intended primarily any period of removal, consistent with ruling on transfer petitions? to maintain and reunite an Indian child the need to ensure the safety of the 3. How is a determination of ‘‘good cause’’ with his or her family or tribal made? child; and 4. What happens when a petition for community and constitute more than (15) Providing post-reunification transfer is made? reasonable efforts as required by Title services and monitoring. D. Adjudication of Involuntary Placements, IV–E of the Social Security Act (42 ‘‘Active efforts’’ are separate and Adoptions, or Terminations of Parental U.S.C. 671(a)(15)). Active efforts distinct from requirements of the Rights include, for example: Adoption and Safe Families Act

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(ASFA), 42 U.S.C. 1305. ASFA’s children adopted by non-Indians on the paternity in the action at issue or exceptions to reunification efforts do tribes themselves. Id. at 49. establishing paternity through DNA not apply to ICWA proceedings. Extended family member is defined testing. Agency means a private State-licensed by the law or custom of the Indian Reservation means Indian country as agency or public agency and their child’s tribe or, in the absence of such defined in 18 U.S.C 1151, including any employees, agents or officials involved law or custom, is a person who has lands, title to which is held by the in and/or seeking to place a child in a reached the age of eighteen and who is United States in trust for the benefit of child custody proceeding. the Indian child’s grandparent, aunt or any Indian tribe or individual or held by Child custody proceeding means and uncle, brother or sister, brother-in-law any Indian tribe or individual subject to includes any proceeding or action that or sister-in-law, niece or nephew, first a restriction by the United States against involves: or second cousin, or stepparent. alienation. (1) Foster care placement, which is Imminent physical damage or harm Secretary means the Secretary of the any action removing an Indian child means present or impending risk of Interior or the Secretary’s authorized from his or her parent or Indian serious bodily injury or death that will representative acting under delegated custodian for temporary placement in a result in severe harm if safety authority. foster home or institution or the home intervention does not occur. Status offenses mean offenses that of a guardian or conservator where the Indian means any person who is a would not be considered criminal if parent or Indian custodian cannot have member of an Indian tribe, or who is an committed by an adult; they are acts the child returned upon demand, Alaska Native and a member of a prohibited only because of a person’s although parental rights have not been Regional Corporation as defined in 43 status as a minor (e.g., truancy, terminated; CFR part 1606. incorrigibility). Tribal court means a court with (2) Termination of parental rights, Indian child means any unmarried jurisdiction over child custody which is any action resulting in the person who is under age eighteen and proceedings, including a Court of Indian termination of the parent-child is either: (1) a member of an Indian Offenses, a court established and relationship; tribe; or (2) eligible for membership in operated under the code or custom of an (3) Preadoptive placement, which is an Indian tribe and the biological child Indian tribe, or any other administrative the temporary placement of an Indian of a member of an Indian tribe. Indian child’s tribe means: (1) the body of a tribe vested with authority child in a foster home or institution Indian tribe in which an Indian child is over child custody proceedings. after the termination of parental rights, a member or eligible for membership; or Upon demand means that the parent but prior to or in lieu of adoptive (2) in the case of an Indian child who or Indian custodians can regain custody placement; or is a member of or eligible for simply upon request, without any (4) Adoptive placement, which is the membership in more than one tribe, the contingencies such as repaying the permanent placement of an Indian child Indian tribe with which the Indian child child’s expenses. for adoption, including any action has more significant contacts. Voluntary placement means a resulting in a final decree of adoption. Indian Child Welfare Act (ICWA) or placement that either parent has, of his Continued custody means physical Act means 25 U.S.C. 1901 et seq. or her free will, chosen for the Indian and/or legal custody that a parent Indian custodian means any person child, including private adoptions. already has or had at any point in the who has legal custody of an Indian child A.3. When does ICWA apply? past. The biological mother of a child under tribal law or custom or under has had custody of a child. State law, whichever is more favorable (a) ICWA applies whenever an Indian Custody means physical and/or legal to the rights of the parent, or to whom child is the subject of a State child custody under any applicable tribal law temporary physical care, custody, and custody proceeding as defined by the or tribal custom or State law. A party control has been transferred by the Act. ICWA also applies to proceedings may demonstrate the existence of parent of such child. involving status offenses or juvenile custody by looking to tribal law or tribal Indian organization means any group, delinquency proceedings if any part of custom or State law. association, partnership, corporation, or those proceedings results in the need for Domicile means: other legal entity owned or controlled placement of the child in a foster care, (1) For a parent or any person over the by Indians or a tribe, or a majority of preadoptive or adoptive placement, or age of eighteen, physical presence in a whose members are Indians. termination of parental rights. place and intent to remain there; Indian tribe means any Indian tribe, (b) There is no exception to (2) For an Indian child, the domicile band, nation, or other organized group application of ICWA based on the so- of the Indian child’s parents. In the case or community of Indians recognized as called ‘‘existing Indian family doctrine.’’ of an Indian child whose parents are not eligible for the services provided to Thus, the following non-exhaustive list married to each other, the domicile of Indians by the Secretary because of their of factors should not be considered in the Indian child’s mother. Under the status as Indians, including any Alaska determining whether ICWA is principle for determining the domicile Native village as defined in 43 U.S.C. applicable: the extent to which the of an Indian child, it is entirely logical 1602(c). parent or Indian child participates in or that ‘‘[o]n occasion, a child’s domicile of Parent means any biological parent or observes tribal customs, votes in tribal origin will be in a place where the child parents of an Indian child or any Indian elections or otherwise participates in has never been.’’ Holyfield, 490 U.S. at person who has lawfully adopted an tribal community affairs, contributes to 48. Holyfield notes that tribal Indian child, including adoptions under tribal or Indian charities, subscribes to jurisdiction under 25 U.S.C. 1911(a) was tribal law or custom. It does not include tribal newsletters or other periodicals of not meant to be defeated by the actions an unwed father where paternity has not special interest in Indians, participates of individual members of the tribe, been acknowledged or established. To in Indian religious, social, cultural, or because Congress was concerned not qualify as a parent, an unwed father political events, or maintains social solely about the interests of Indian need only take reasonable steps to contacts with other members of the children and families, but also about the establish or acknowledge paternity. tribe; the relationship between the impact of large numbers of Indian Such steps may include acknowledging Indian child and his/her Indian parents;

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the extent of current ties either parent A.4. How do I contact a tribe under an Indian child. If there is reason to has to the tribe; whether the Indian these guidelines? believe that the child is an Indian child, parent ever had custody of the child; To contact a tribe to provide notice or the agency must obtain verification, in and the level of involvement of the tribe obtain information or verification under writing, from all tribes in which it is in the State court proceedings. these Guidelines, you should direct the believed that the child is a member or (c) Agencies and State courts, in every notice or inquiry as follows: eligible for membership, as to whether child custody proceeding, must ask (1) Many tribes designate an agent for the child is an Indian child. whether the child is or could be an receipt of ICWA notices. The Bureau of (b) State courts must ask, as a Indian child and conduct an Indian Affairs publishes a list of tribes’ threshold question at the start of any investigation into whether the child is designated tribal agents for service of State court child custody proceeding, an Indian child. Even in those cases in ICWA notice in the Federal Register whether there is reason to believe the which the child is not removed from the each year and makes the list available child who is the subject of the home, such as when an agency opens an on its Web site at www.bia.gov. proceeding is an Indian child by asking investigation or the court orders the (2) For tribes without a designated each party to the case, including the family to engage in services to keep the tribal agent for service of ICWA notice, guardian ad litem and the agency child in the home as part of a diversion, contact the tribe(s) to be directed to the representative, to certify on the record differential, alternative response or appropriate individual or office. whether they have discovered or know other program, agencies and courts (3) If you do not have accurate contact of any information that suggests or should follow the verification and information for the tribe(s) or the tribe(s) indicates the child is an Indian child. notice provisions of these guidelines. contacted fail(s) to respond to written (1) In requiring this certification, the Providing notice allows tribes to inquiries, you may seek assistance in court may require the agency to provide: intervene as early as possible in a child contacting the Indian tribe(s) from the (i) Genograms or ancestry charts for custody proceeding and provides an Bureau of Indian Affairs’ Regional both parents, including all names opportunity for the tribe to bring Office and/or Central Office in known (maiden, married and former resources to bear to assist the family in Washington DC (see www.bia.gov). names or aliases); current and former preventing a breakup of the family. addresses of the child’s parents, A.5. How do these guidelines interact maternal and paternal grandparents and (d) If there is any reason to believe the with State laws? great grandparents or Indian custodians; child is an Indian child, the agency and (a) These guidelines provide birthdates; places of birth and death; State court must treat the child as an minimum Federal standards and best tribal affiliation including all known Indian child, unless and until it is practices to ensure compliance with Indian ancestry for individuals listed on determined that the child is not a ICWA and should be applied in all child the charts, and/or other identifying member or is not eligible for custody proceedings in which the Act information; and/or membership in an Indian tribe. applies. (ii) The addresses for the domicile (e) ICWA and these guidelines or any (b) In any child custody proceeding and residence of the child, his or her associated Federal guidelines do not where applicable State or other Federal parents, or the Indian custodian and apply to: law provides a higher standard of whether either parent or Indian (1) Tribal court proceedings; protection to the rights of the parent or custodian is domiciled on or a resident Indian custodian than the protection of an Indian reservation or in a (2) Placements based upon an act by accorded under the Act, ICWA requires predominantly Indian community. the Indian child which, if committed by that the State court must apply the (2) If there is reason to believe the an adult, would be deemed a criminal higher standard. child is an Indian child, the court must offense; or B. Pretrial Requirements confirm that the agency used active (3) An award, in a divorce proceeding, efforts to work with all tribes of which of custody of the Indian child to one of B.1. When does the requirement for the child may be a member to verify the parents. active efforts begin? whether the child is in fact a member or (f) Voluntary placements that do not (a) The requirement to engage in eligible for membership in any tribe, operate to prohibit the child’s parent or ‘‘active efforts’’ begins from the moment under paragraph (a). Indian custodian from regaining custody the possibility arises that an agency case (c) An agency or court has reason to of the child upon demand are not or investigation may result in the need believe that a child involved in a child covered by the Act. for the Indian child to be placed outside custody proceeding is an Indian child if: (1) Such placements should be made the custody of either parent or Indian (1) Any party to the proceeding, pursuant to a written agreement, and the custodian in order to prevent removal. Indian tribe, Indian organization or agreement should state explicitly the (b) Active efforts to prevent removal public or private agency informs the right of the parent or Indian custodian of the child must be conducted while agency or court that the child is an to regain custody of the child upon investigating whether the child is a Indian child; demand. member of the tribe, is eligible for (2) Any agency involved in child membership in the tribe, or whether a protection services or family support (2) Nevertheless, it is a best practice biological parent of the child is or is not has discovered information suggesting to follow the procedures in these a member of a tribe. that the child is an Indian child; guidelines to determine whether a child (3) The child who is the subject of the is an Indian child and to notify the tribe. B.2. What actions must an agency and proceeding gives the agency or court (g) Voluntary placements in which a State court undertake in order to reason to believe he or she is an Indian parent consents to a foster care determine whether a child is an Indian child; placement or seeks to permanently child? (4) The domicile or residence of the terminate his or her rights or to place (a) Agencies must ask whether there child, parents, or the Indian custodian the child in a preadoptive or adoptive is reason to believe a child that is is known by the agency or court to be, placement are covered by the Act. subject to a child custody proceeding is or is shown to be, on an Indian

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reservation or in a predominantly proceeding. The notice should specify custody proceeding must be notified in Indian community; or the other tribe or tribes of which the writing of the determination and a copy (5) An employee of the agency or child may be a member or eligible for of that document must be filed with the officer of the court involved in the membership. court and sent to each party to the proceeding has knowledge that the child (b) If the Indian child is a member or proceeding and to each person or may be an Indian child. eligible for membership in only one governmental agency that received (d) In seeking verification of the tribe, that tribe should be designated as notice of the proceeding. child’s status, in a voluntary placement the Indian child’s tribe. (4) A determination of the Indian proceeding where a consenting parent (c) If an Indian child is a member or child’s tribe for purposes of ICWA and evidences a desire for anonymity, the eligible for membership in more than these guidelines does not constitute a agency or court must keep relevant one tribe, ICWA requires that the Indian determination for any other purpose or documents confidential and under seal. tribe with which the Indian child has situation. A request for anonymity does not the more significant contacts be (d) The tribe designated as the Indian relieve the obligation to obtain designated as the Indian child’s tribe. child’s tribe may authorize another tribe verification from the tribe(s) or to (1) In determining significant to act as a representative for the tribe in provide notice. contacts, the following may be a child custody case, including, for considered: example, having the representative tribe B.3. Who makes the determination as to (i) Preference of the parents for perform home studies or expert witness whether a child is a member of a tribe? membership of the child; services for the Indian child’s tribe. (a) Only the Indian tribe(s) of which (ii) Length of past domicile or it is believed a biological parent or the residence on or near the reservation of B.5. When must a State court dismiss an child is a member or eligible for each tribe; action? membership may make the (iii) Tribal membership of custodial Subject to B.8 (emergency determination whether the child is a parent or Indian custodian; and procedures), the following limitations member of the tribe(s), is eligible for (iv) Interest asserted by each tribe in on a State court’s jurisdiction apply: membership in the tribe(s), or whether response to the notice that the child is (a) The court must dismiss any child a biological parent of the child is a involved in a child custody proceeding; custody proceeding as soon as the court member of the tribe(s). (d) When an Indian child is already a determines that it lacks jurisdiction. (b) The determination by a tribe of member of a tribe, but is also eligible for (b) The court must make a whether a child is a member, is eligible membership in another tribe, deference determination of the residence and for membership, or whether a biological should be given to the tribe in which the domicile of the Indian child. If either parent is or is not a member of that Indian child is a member, unless the residence or domicile is on a tribe, is solely within the jurisdiction otherwise agreed to by the tribes. reservation where the tribe exercises and authority of the tribe. However, if the Indian child is not a exclusive jurisdiction over child (c) No other entity or person may member of any tribe, an opportunity custody proceedings, the State court authoritatively make the determination should be provided to allow the tribes must dismiss the State court of whether a child is a member of the to determine which of them should be proceedings, the agency must notify the tribe or is eligible for membership in the designated as the Indian child’s tribe. tribe of the dismissal based on the tribe. (i) If the tribes are able to reach an tribe’s exclusive jurisdiction, and the (1) There is no requirement that the agreement, the agreed upon tribe should agency must transmit all available child maintain a certain degree of be designated as the Indian child’s tribe. information regarding the Indian child contacts with the tribe or for a certain (ii) If the tribes do not agree, the custody proceeding to the tribal court. blood quantum or degree of Indian following factors should be considered (c) If the Indian child has been blood. in designating the Indian child’s tribe: domiciled or previously resided on an (2) A tribe need not formally enroll its (A) The preference of the parents or Indian reservation, the State court must members for a child to be a member or extended family members who are contact the tribal court to determine eligible for membership. In some tribes, likely to become foster care or adoptive whether the child is a ward of the tribal formal enrollment is not required for placements; and/or court. If the child is a ward of a tribal tribal membership. Some tribes do not (B) Tribal membership of custodial court, the State court must dismiss the have written rolls and others have rolls parent or Indian custodian; and/or State court proceedings, the agency that list only persons that were members (C) If applicable, length of past must notify the tribe of the dismissal, as of a certain date. See United States domicile or residence on or near the and the agency must transmit all v. Broncheau, 597 F.2d 1260, 1263 (9th reservation of each tribe; and/or available information regarding the Cir. 1979). The only relevant factor is (D) Whether there has been a previous Indian child custody proceeding to the whether the tribe verifies that the child adjudication with respect to the child by tribal court. is a member or eligible for membership. a court of one of the tribes; and/or B.6. What are the notice requirements (d) The State court may not substitute (E) Self-identification by the child; for a child custody proceeding involving its own determination regarding a and/or an Indian child? child’s membership or eligibility for (F) Availability of placements. membership in a tribe or tribes. (iii) In the event the child is eligible (a) When an agency or court knows or for membership in a tribe but is not yet has reason to know that the subject of B.4. What is the procedure for a member of any tribe, the agency an involuntary child custody determining an Indian child’s tribe should take the steps necessary to proceeding is an Indian child, the when the child is a member or eligible obtain membership for the child in the agency or court must send notice of for membership in more than one tribe? tribe that is designated as the Indian each such proceeding (including but not (a) Agencies are required to notify all child’s tribe. limited to a temporary custody hearing, tribes, of which the child may be a (3) Once an Indian tribe is designated any removal or foster care placement, member or eligible for membership, that as the child’s Indian tribe, all tribes any adoptive placement, or any the child is involved in a child custody which received notice of the child termination of parental or custodial

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rights) by registered mail with return known (maiden, married and former provide a translated version of the receipt requested to: names or aliases); current and former notice or have the notice read and (1) Each tribe where the child may be addresses of the child’s parents, explained in a language that the parent a member or eligible for membership; maternal and paternal grandparents and or Indian custodian understands. To (2) The child’s parents; and great grandparents or Indian custodians; secure such translation or interpretation (3) If applicable, the Indian custodian. birthdates; places of birth and death; support, a court or agency should (b) Notice may be sent via personal tribal affiliation including all known contact the Indian child’s tribe or the service or electronically in addition to Indian ancestry for individuals listed on local BIA agency for assistance in the methods required by the Act, but the charts, and/or other identifying locating and obtaining the name of a such alternative methods do not replace information; and/or qualified translator or interpreter. the requirement for notice to be sent by (2) The addresses for the domicile and (j) In voluntary proceedings, notice registered mail with return receipt residence of the child, his or her should also be sent in accordance with requested. parents, or the Indian custodian and this section because the Indian tribe (c) Notice must be in clear and whether either parent or Indian might have exclusive jurisdiction and/or understandable language and include custodian is domiciled on or a resident the right to intervene. Further, notice to the following: of an Indian reservation or in a and involvement of the Indian tribe in (1) Name of the child, the child’s predominantly Indian community. birthdate and birthplace; the early stages of the proceedings aids (3) In the event that a parent has the agency and court in satisfying their (2) Name of each Indian tribe(s) in requested anonymity, the agency and which the child is a member or may be obligations to determine whether the court must take steps to keep child is an Indian child and in eligible for membership; information related to the parent (3) A copy of the petition, complaint complying with 25 U.S.C. 1915. confidential and sealed from disclosure. (k) If the child is transferred or other document by which the (e) If the identity or location of the interstate, regardless of whether the proceeding was initiated; Indian parents, Indian custodians or Interstate Compact on the Placement of (4) Statements setting out: tribes in which the Indian child is a (i) The name of the petitioner and Children (ICPC) applies, both the member or eligible for membership name and address of petitioner’s originating State court and receiving cannot be ascertained, but there is attorney; reason to believe the child is an Indian State court must provide notice to the (ii) The right of the parent or Indian tribe(s) and seek to verify whether the custodian to intervene in the child, notice of the child custody proceeding must be sent to the child is an Indian child. proceedings. (l) The notice requirement includes (iii) The Indian tribe’s right to appropriate Bureau of Indian Affairs Regional Director (see www.bia.gov). To providing responses to requests for intervene at any time in a State court additional information, where available, proceeding for the foster care placement establish tribal identity, as much information as is known regarding the in the event that a tribe indicates that of or termination of a parental right. such information is necessary to (iv) If the Indian parent(s) or, if child’s direct lineal ancestors should be provided (see section B.6.(c) of these determine whether a child is an Indian applicable, Indian custodian(s) is unable child. to afford counsel based on a guidelines regarding notice determination of indigency by the court, requirements). The Bureau of Indian B.7. What time limits and extensions counsel will be appointed to represent Affairs will not make a determination of apply? tribal membership, but may, in some the parent or Indian custodian where (a) No hearings regarding decisions instances, be able to identify tribes to authorized by State law. for the foster care or termination of contact. (v) The right to be granted, upon parental rights may begin until the request, a specific amount of additional (f) Because child custody proceedings are usually conducted on a confidential waiting periods to which the parents or time (up to 20 additional days) to Indian custodians and to which the prepare for the proceedings due to basis, information contained in the notice should be kept confidential to the Indian child’s tribe are entitled have circumstances of the particular case. passed. Additional extensions of time (vi) The right to petition the court for extent possible. may also be granted beyond the transfer of the proceeding to tribal court (g) The original or a copy of each minimum required by the Act. under 25 U.S.C. 1911, absent objection notice sent under this section should be by either parent: Provided, that such filed with the court together with any (b) A tribe, parent or Indian custodian transfer is subject to declination by the return receipts or other proof of service. entitled to notice of the pendency of a tribal court. (h) If a parent or Indian custodian child custody proceeding has a right, (vii) The mailing addresses and appears in court without an attorney, upon request, to be granted an telephone numbers of the court and the court must inform him or her of the additional 20 days from the date upon information related to all parties to the right to appointed counsel, the right to which notice was received in proceeding and individuals notified request that the proceeding be accordance with 25 U.S.C. 1912(a) to under this section. transferred to tribal court, the right to prepare for participation in the (viii) The potential legal object to such transfer, the right to proceeding. consequences of the proceedings on the request additional time to prepare for (c) The proceeding may not begin future custodial and parental rights of the proceeding and the right (if the until all of the following dates have the Indian parents or Indian custodians. parent or Indian custodian is not passed: (d) In order to assist the Indian tribe(s) already a party) to intervene in the (1) 10 days after each parent or Indian in making a determination regarding proceedings. custodian (or Secretary where the parent whether the child is a member or (i) If the court or an agency has reason or Indian custodian is unknown to the eligible for membership, the agency or to believe that a parent or Indian petitioner) has received notice in court should include additional custodian possesses limited English accordance with 25 U.S.C. 1912(a); information in the notice, such as: proficiency and is therefore not likely to (2) 10 days after the Indian child’s (1) Genograms or ancestry charts for understand the contents of the notice, tribe (or the Secretary if the Indian both parents, including all names the court or agency must, at no cost, child’s tribe is unknown to the party

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seeking placement) has received notice (3) Immediately take and document harm to the child. The court should in accordance with 25 U.S.C. 1912(a); all practical steps to confirm whether accept and evaluate all information (3) 30 days after the parent or Indian the child is an Indian child and to verify relevant to the agency’s determination custodian has received notice in the Indian child’s tribe; provided by the child, the child’s accordance with 25 U.S.C. 1912(a), if (4) Immediately notify the child’s parents, the child’s Indian custodians, the parent or Indian custodian has parents or Indian custodians and Indian the child’s tribe or any participants in requested an additional 20 days to tribe of the removal of the child; the hearing. prepare for the proceeding; and (5) Take all practical steps to notify (f) Temporary emergency custody (4) 30 days after the Indian child’s the child’s parents or Indian custodians should not be continued for more than tribe has received notice in accordance and Indian tribe about any hearings 30 days. Temporary emergency custody with 25 U.S.C. 1912(a), if the Indian regarding the emergency removal or may be continued for more than 30 days child’s tribe has requested an additional emergency placement of the child; and only if: 20 days to prepare for the proceeding. (6) Maintain records that detail the (1) A hearing, noticed in accordance (d) The court should allow, if it steps taken to provide any required with these guidelines, is held and possesses the capability, alternative notifications under section B.6 of these results in a determination by the court, methods of participation in State court guidelines. supported by clear and convincing proceedings by family members and (d) A petition for a court order evidence and the testimony of at least tribes, such as participation by authorizing emergency removal or one qualified expert witness, that telephone, videoconferencing, or other continued emergency physical custody custody of the child by the parent or methods. must be accompanied by an affidavit Indian custodian is likely to result in containing the following information: imminent physical damage or harm to B.8. What is the process for the (1) The name, age and last known the child; or emergency removal of an Indian child? address of the Indian child; (2) Extraordinary circumstances exist. (2) The name and address of the (a) The emergency removal and (g) The emergency removal or child’s parents and Indian custodians, if emergency placement of an Indian child placement must terminate as soon as the any; in a foster home or institution under imminent physical damage or harm to (3) If such persons are unknown, a applicable State law is allowed only as the child which resulted in the detailed explanation of what efforts necessary to prevent imminent physical emergency removal or placement no have been made to locate them, damage or harm to the child. This longer exists, or, if applicable, as soon including notice to the appropriate requirement applies to all Indian as the tribe exercises jurisdiction over Bureau of Indian Affairs Regional children regardless of whether they are the case, whichever is earlier. domiciled or reside on a reservation. Director (see www.bia.gov); (4) Facts necessary to determine the (h) Once an agency or court has This does not, however, authorize a residence and the domicile of the Indian terminated the emergency removal or State to remove a child from a child; placement, it must expeditiously: reservation where a tribe exercises (5) If either the residence or domicile (1) Return the child to the parent or exclusive jurisdiction. is believed to be on an Indian Indian custodian within one business (b) Any emergency removal or reservation, the name of the reservation; day; or emergency placement of any Indian (6) The tribal affiliation of the child (2) Transfer the child to the child under State law must be as short and of the parents and/or Indian jurisdiction of the appropriate Indian as possible. Each involved agency or custodians; tribe if the child is a ward of a tribal court must: (7) A specific and detailed account of court or a resident of or domiciled on (1) Diligently investigate and the circumstances that led the agency a reservation; or document whether the removal or responsible for the emergency removal (3) Initiate a child custody proceeding placement is proper and continues to be of the child to take that action; subject to the provisions of the Act and necessary to prevent imminent physical (8) If the child is believed to reside or these guidelines. damage or harm to the child; be domiciled on a reservation where the (i) The court should allow, if it (2) Promptly hold a hearing to hear tribe exercises exclusive jurisdiction possesses the capability, alternative evidence and evaluate whether the over child custody matters, a statement methods of participation in State court removal or placement continues to be of efforts that have been made and are proceedings by family members and necessary whenever new information is being made to transfer the child to the tribes, such as participation by received or assertions are made that the tribe’s jurisdiction; telephone, videoconferencing, or other emergency situation has ended; and (9) A statement of the specific active methods. (3) Immediately terminate the efforts that have been taken to assist the B.9. What are the procedures for emergency removal or placement once parents or Indian custodians so the determining improper removal? the court possesses sufficient evidence child may safely be returned to their to determine that the emergency has custody; and (a) If, in the course of any Indian child ended. (10) A statement of the imminent custody proceeding, any party asserts or (c) If the agency that conducts an physical damage or harm expected and the court has reason to believe that the emergency removal of a child whom the any evidence that the removal or Indian child may have been improperly agency knows or has reason to know is emergency custody continues to be removed from the custody of his or her an Indian child, the agency must: necessary to prevent such imminent parent or Indian custodian, or that the (1) Treat the child as an Indian child physical damage or harm to the child. Indian child has been improperly until the court determines that the child (e) At any court hearing regarding the retained, such as after a visit or other is not an Indian child; emergency removal or emergency temporary relinquishment of custody, (2) Conduct active efforts to prevent placement of an Indian child, the court the court must immediately stay the the breakup of the Indian family as early must determine whether the removal or proceeding until a determination can be as possible, including, if possible, before placement is no longer necessary to made on the question of improper removal of the child; prevent imminent physical damage or removal or retention, and such

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determination must be conducted belief or assertion must be stated on the D. Adjudication of Involuntary expeditiously. record or in writing and made available Placements, Adoptions, or Terminations (b) If the court finds that the Indian to the parties who are petitioning for or Terminations of Parental Rights child was improperly removed or transfer. D.1. Who has access to reports or retained, the court must terminate the (b) Any party to the proceeding must records? proceeding and the child must be have the opportunity to provide the returned immediately to his or her court with views regarding whether (a) The court must inform each party parents or Indian custodian, unless good cause to deny transfer exists. to a foster care placement or termination returning the child to his parent or of parental rights proceeding under (c) In determining whether good cause custodian would subject the child to State law involving an Indian child of exists, the court may not consider imminent physical damage or harm. his or her right to timely examination of whether the case is at an advanced stage all reports or other documents filed with C. Procedures for Making Requests for or whether transfer would result in a the court and all files upon which any Transfer to Tribal Court change in the placement of the child decision with respect to such action because the Act created concurrent, but C.1. How are petitions for transfer of may be based. presumptively, tribal jurisdiction over proceeding made? (b) Decisions of the court may be proceedings involving children not based only upon reports, documents or (a) Either parent, the Indian residing or domiciled on the testimony presented on the record. custodian, or the Indian child’s tribe reservation, and seeks to protect, not may request, orally on the record or in only the rights of the Indian child as an D.2. What steps must a party take to writing, that the State court transfer Indian, but the rights of Indian petition a State court for certain actions each distinct Indian child custody communities and tribes in retaining involving an Indian child? proceeding to the tribal court of the Indian children. Thus, whenever a (a) Any party petitioning a State court child’s tribe. parent or tribe seeks to transfer the case for foster care placement or termination (b) The right to request a transfer it is presumptively in the best interest of parental rights to an Indian child occurs with each proceeding. For of the Indian child, consistent with the must demonstrate to the court that prior example, a parent may request a transfer Act, to transfer the case to the to, and until the commencement of, the to tribal court during the first jurisdiction of the Indian tribe. proceeding, active efforts have been proceeding for foster placement and/or (d) In addition, in determining made to avoid the need to remove the at a proceeding to determine whether to whether there is good cause to deny the Indian child from his or her parents or continue foster placement, and/or at a transfer, the court may not consider: Indian custodians and show that those later proceeding, for example at a (1) The Indian child’s contacts with efforts have been unsuccessful. hearing for termination of parental the tribe or reservation; (b) Active efforts must be documented rights. in detail and, to the extent possible, (c) The right to request a transfer is (2) Socio-economic conditions or any should involve and use the available available at any stage of an Indian child perceived inadequacy of tribal or resources of the extended family, the custody proceeding, including during Bureau of Indian Affairs social services child’s Indian tribe, Indian social any period of emergency removal. or judicial systems; or service agencies and individual Indian (d) The court should allow, if (3) The tribal court’s prospective care givers. possible, alternative methods of placement for the Indian child. participation in State court proceedings D.3. What are the applicable standards (e) The burden of establishing good of evidence? by family members and tribes, such as cause not to transfer is on the party participation by telephone, opposing the transfer. (a) The court may not issue an order videoconferencing, or other methods. effecting a foster care placement of an C.4. What happens when a petition for Indian child unless clear and C.2. What are the criteria and transfer is made? convincing evidence is presented, procedures for ruling on transfer including the testimony of one or more petitions? (a) Upon receipt of a transfer petition the State court must promptly notify the qualified expert witnesses, (a) Upon receipt of a petition to tribal court in writing of the transfer demonstrating that the child’s transfer by a parent, Indian custodian or petition and request a response continued custody with the child’s the Indian child’s tribe, the State court regarding whether the tribal court parents or Indian custodian is likely to must transfer the case unless any of the wishes to decline the transfer. The result in serious harm to the child. (b) The court may not order a following criteria are met: notice should specify how much time termination of parental rights unless the (1) Either parent objects to such the tribal court has to make its decision; court’s order is supported by evidence transfer; provided that the tribal court has at least beyond a reasonable doubt, supported (2) The tribal court declines the 20 days from the receipt of notice of a by the testimony of one or more transfer; or transfer petition to decide whether to qualified expert witnesses, that (3) The court determines that good accept or decline the transfer. cause exists for denying the transfer. continued custody of the child by the (b) To minimize delay, the court (b) The tribal court should inform the parent or Indian custodian is likely to should expeditiously provide all records State court of its decision to accept or result in serious harm to the child. related to the proceeding to the tribal decline jurisdiction within the time (c) Clear and convincing evidence court. required or may request additional time; must show a causal relationship provided that the reasons for additional between the existence of particular C.3. How is a determination of ‘‘good time are explained. conditions in the home that are likely to cause’’ made? (c) If the tribal court accepts the result in serious emotional or physical (a) If the State court believes, or any transfer, the State court should damage to the particular child who is party asserts, that good cause not to promptly provide the tribal court with the subject of the proceeding. Evidence transfer exists, the reasons for such all court records. that shows only the existence of

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community or family poverty or E.2. How is consent to termination of prior to entry of a final decree of isolation, single parenthood, custodian parental rights, foster care placement or voluntary termination or adoption, age, crowded or inadequate housing, adoption obtained? whichever occurs later. To withdraw substance abuse, or nonconforming (a) A voluntary termination of consent, the parent must file, in the social behavior does not by itself parental rights, foster care placement or court where the consent is filed, an constitute clear and convincing adoption must be executed in writing instrument executed under oath evidence that continued custody is and recorded before a court of asserting his or her intention to likely to result in serious emotional or competent jurisdiction. withdraw such consent. physical damage to the child. (b) Prior to accepting the consent, the (b) The clerk of the court in which the withdrawal of consent is filed must D.4. Who may serve as a qualified court must explain the consequences of promptly notify the party by or through expert witness? the consent in detail, such as any conditions or timing limitations for whom any preadoptive or adoptive (a) A qualified expert witness should withdrawal of consent and, if placement has been arranged of such have specific knowledge of the Indian applicable, the point at which such filing and the child must be returned to tribe’s culture and customs. consent is irrevocable. the parent or Indian custodian as soon (b) Persons with the following (c) A certificate of the court must as practicable. characteristics, in descending order, are accompany a written consent and must F. Dispositions presumed to meet the requirements for certify that the terms and consequences a qualified expert witness: of the consent were explained in detail F.1. When do the placement preferences apply? (1) A member of the Indian child’s in the language of the parent or Indian tribe who is recognized by the tribal custodian, if English is not the primary (a) In any preadoptive, adoptive or community as knowledgeable in tribal language, and were fully understood by foster care placement of an Indian child, customs as they pertain to family the parent or Indian custodian. the Act’s placement preferences apply; (d) Execution of consent need not be organization and childrearing practices. except that, if the Indian child’s tribe made in open court where (2) A member of another tribe who is has established by resolution a different confidentiality is requested or indicated. order of preference than that specified recognized to be a qualified expert (e) A consent given prior to or within witness by the Indian child’s tribe based in the Act, the agency or court effecting 10 days after birth of the Indian child is the placement must follow the tribe’s on their knowledge of the delivery of not valid. child and family services to Indians and placement preferences. the Indian child’s tribe. E.3. What information should a consent (b) The agency seeking a preadoptive, document contain? adoptive or foster care placement of an (3) A layperson who is recognized by Indian child must always follow the the Indian child’s tribe as having (a) The consent document must contain the name and birthdate of the placement preferences. If the agency substantial experience in the delivery of determines that any of the preferences child and family services to Indians, Indian child, the name of the Indian child’s tribe, identifying tribal cannot be met, the agency must and knowledge of prevailing social and demonstrate through clear and cultural standards and childrearing enrollment number, if any, or other indication of the child’s membership in convincing evidence that a diligent practices within the Indian child’s tribe. search has been conducted to seek out (4) A professional person having the tribe, and the name and address of the consenting parent or Indian and identify placement options that substantial education and experience in would satisfy the placement preferences the area of his or her specialty who can custodian. If there are any conditions to the consent, the consent document must specified in sections F.2. or F.3. of these demonstrate knowledge of the guidelines, and explain why the prevailing social and cultural standards clearly set out the conditions. (b) A consent to foster care placement preferences could not be met. A search and childrearing practices within the should contain, in addition to the should include notification about the Indian child’s tribe. information specified in subsection (a), placement hearing and an explanation (c) The court or any party may request the name and address of the person or of the actions that must be taken to the assistance of the Indian child’s tribe entity by or through whom the propose an alternative placement to: or the Bureau of Indian Affairs agency placement was arranged, if any, or the (1) The Indian child’s parents or serving the Indian child’s tribe in name and address of the prospective Indian custodians; locating persons qualified to serve as foster parents, if known at the time. (2) All of the known, or reasonably expert witnesses. identifiable, members of the Indian E.4. How is withdrawal of consent child’s extended family members; E. Voluntary Proceedings achieved in a voluntary foster care (3) The Indian child’s tribe; E.1. What actions must an agency and placement? (4) In the case of a foster care or State court undertake in voluntary (a) Withdrawal of consent must be preadoptive placement: proceedings? filed in the same court where the (i) All foster homes licensed, consent document was executed. approved, or specified by the Indian (a) Agencies and State courts must ask (b) When a parent or Indian custodian child’s tribe; and whether a child is an Indian child in withdraws consent to foster care (ii) All Indian foster homes located in any voluntary proceeding under placement, the child must be returned the Indian child’s State of domicile that sections B.2. to B.4. of these guidelines. to that parent or Indian custodian are licensed or approved by any (b) Agencies and State courts should immediately. authorized non-Indian licensing provide the Indian tribe with notice of authority. the voluntary child custody E.5. How is withdrawal of consent to a (c) Where there is a request for proceedings, including applicable voluntary adoption achieved? anonymity, the court should consider pleadings or executed consents, and (a) A consent to termination of whether additional confidentiality their right to intervene under section parental rights or adoption may be protections are warranted, but a request B.6. of these guidelines. withdrawn by the parent at any time for anonymity does not relieve the

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agency or the court of the obligation to program suitable to meet the child’s (d) The court should consider only comply with the placement preferences. needs. whether a placement in accordance with (d) Departure from the placement the preferences meets the physical, F.4. How is a determination for ‘‘good preferences may occur only after the mental and emotional needs of the cause’’ to depart from the placement court has made a determination that child; and may not depart from the preferences made? good cause exists to place the Indian preferences based on the socio- child with someone who is not listed in (a) If any party asserts that good cause economic status of any placement the placement preferences. not to follow the placement preferences relative to another placement. (e) Documentation of each exists, the reasons for such belief or G. Post-Trial Rights preadoptive, adoptive or foster care assertion must be stated on the record placement of an Indian child under or in writing and made available to the G.1. What is the procedure for State law must be provided to the State parties to the proceeding and the Indian petitioning to vacate an adoption? for maintenance at the agency. Such child’s tribe. (a) Within two years after a final documentation must include, at a (b) The party seeking departure from decree of adoption of any Indian child minimum: the petition or complaint; all the preferences bears the burden of by a State court, or within any longer substantive orders entered in the proving by clear and convincing period of time permitted by the law of proceeding; the complete record of, and evidence the existence of ‘‘good cause’’ the State, a parent who executed a basis for, the placement determination; to deviate from the placement consent to termination of paternal rights and, if the placement deviates from the preferences. or adoption of that child may petition placement preferences, a detailed (c) A determination of good cause to the court in which the final adoption explanation of all efforts to comply with depart from the placement preferences decree was entered to vacate the decree the placement preferences and the court must be based on one or more of the and revoke the consent on the grounds order authorizing departure from the following considerations: that consent was obtained by fraud or placement preferences. (1) The request of the parents, if both duress, or that the proceeding failed to F.2. What placement preferences apply parents attest that they have reviewed comply with ICWA. in adoptive placements? the placement options that comply with (b) Upon the filing of such petition, the order of preference. the court must give notice to all parties (a) In any adoptive placement of an (2) The request of the child, if the Indian child under State law, preference to the adoption proceedings and the child is able to understand and Indian child’s tribe. must be given in descending order, as comprehend the decision that is being listed below, to placement of the child (c) The court must hold a hearing on made. the petition. with: (3) The extraordinary physical or (1) A member of the child’s extended (d) Where the court finds that the emotional needs of the child, such as parent’s consent was obtained through family; specialized treatment services that may (2) Other members of the Indian fraud or duress, the court must vacate be unavailable in the community where child’s tribe; or the decree of adoption, order the families who meet the criteria live, as (3) Other Indian families, including consent revoked and order that the child established by testimony of a qualified families of unwed individuals. be returned to the parent. expert witness; provided that (b) The court should, where extraordinary physical or emotional G.2. Who can make a petition to appropriate, also consider the needs of the child does not include invalidate an action? preference of the Indian child or parent. ordinary bonding or attachment that (a) Any of the following may petition F.3. What placement preferences apply may have occurred as a result of a any court of competent jurisdiction to in foster care or preadoptive placement or the fact that the child has, invalidate an action for foster care placements? for an extended amount of time, been in placement or termination of parental In any foster care or preadoptive another placement that does not comply rights where it is alleged that the Act placement of an Indian child: with the Act. The good cause has been violated: (a) The child must be placed in the determination does not include an (1) An Indian child who is the subject least restrictive setting that: independent consideration of the best of any action for foster care placement (1) Most approximates a family; interest of the Indian child because the or termination of parental rights; (2) Allows his or her special needs to preferences reflect the best interests of (2) A parent or Indian custodian from be met; and an Indian child in light of the purposes whose custody such child was removed; (3) Is in reasonable proximity to his or of the Act. and her home, extended family, and/or (4) The unavailability of a placement (3) The Indian child’s tribe. siblings. after a showing by the applicable agency (b) Upon a showing that an action for (b) Preference must be given, in in accordance with section F.1., and a foster care placement or termination of descending order as listed below, to determination by the court that active parental rights violated any provision of placement of the child with: efforts have been made to find 25 U.S.C. 1911, 1912, or 1913, the court (1) A member of the Indian child’s placements meeting the preference must determine whether it is extended family; criteria, but none have been located. For appropriate to invalidate the action. (2) A foster home, licensed, approved purposes of this analysis, a placement (c) There is no requirement that the or specified by the Indian child’s tribe, may not be considered unavailable if the particular party’s rights under the Act whether on or off the reservation; placement conforms to the prevailing be violated to petition for invalidation; (3) An Indian foster home licensed or social and cultural standards of the rather, any party may challenge the approved by an authorized non-Indian Indian community in which the Indian action based on violations in licensing authority; or child’s parent or extended family implementing the Act during the course (4) An institution for children resides or with which the Indian child’s of the child custody proceeding. For approved by an Indian tribe or operated parent or extended family members example, it is acceptable for the tribe to by an Indian organization which has a maintain social and cultural ties. petition to invalidate an action because

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it violated the rights of a parent, or for (1) A final decree of adoption of an substantive orders entered in the a parent to petition to invalidate an Indian child has been vacated or set proceeding, and the complete record of action because the action violated the aside; or the placement determination. statutory rights of the tribe. ICWA is (2) The adoptive parent has Dated: February 19, 2015. designed to provide rights to ensure that voluntarily consented to the termination Kevin K. Washburn, tribes, parents, and children are of his or her parental rights to the child; Assistant Secretary—Indian Affairs. protected. In light of Congressional or findings in ICWA, it is presumed that (3) Whenever an Indian child is [FR Doc. 2015–03925 Filed 2–24–15; 8:45 am] the Indian child is disadvantaged if any removed from a foster care home or BILLING CODE 4310–4J–P of those rights are violated. institution to another foster care placement, preadoptive placement, or (d) The court should allow, if it DEPARTMENT OF THE INTERIOR possesses the capability, alternative adoptive placement. methods of participation in State court (b) The notice must inform the National Park Service proceedings by family members and recipient of the right to petition for tribes, such as participation by return of custody of the child. [NPS–PWR–PWRO–17253; PX.PD077160I.00.4] telephone, videoconferencing, or other (c) A parent or Indian custodian may waive his or her right to such notice by methods. Draft Environmental Impact Statement executing a written waiver of notice for Alcatraz Ferry Embarkation Plan, G.3. What are the rights of adult filed with the court. The waiver may be San Francisco County, California. adoptees? revoked at any time by filing with the (a) Upon application by an Indian court a written notice of revocation. A AGENCY: National Park Service, Interior. individual who has reached age 18 who revocation of the right to receive notice ACTION: Notice of availability. was the subject of an adoptive does not affect any proceeding which placement, the court that entered the occurred before the filing of the notice SUMMARY: The National Park Service final decree must inform such of revocation. (NPS) has prepared a Draft individual of the tribal affiliations, if Environmental Impact Statement (DEIS) G.5. What information must States for the Alcatraz Ferry Embarkation any, of the individual’s biological furnish to the Bureau of Indian Affairs? parents and provide such other project. The project would establish a information necessary to protect any (a) Any state entering a final adoption new, long-term ferry embarkation site rights, which may include tribal decree or order must furnish a copy of for passenger service between the membership, resulting from the the decree or order to the Bureau of northern San Francisco waterfront and individual’s tribal relationship. Indian Affairs, Chief, Division of Human Alcatraz Island. It would also establish (b) This section should be applied Services, 1849 C Street NW., Mail Stop occasional special ferry service between regardless of whether the original 4513 MIB, Washington, DC 20240, along the selected Alcatraz ferry embarkation adoption was subject to the provisions with the following information: site and the existing Fort Baker pier, as (1) Birth name of the child, tribal of the Act. well as between Fort Mason and other affiliation and name of the child after destinations in San Francisco Bay. (c) Where State law prohibits adoption; revelation of the identity of the DATES: All comments must be (2) Names and addresses of the postmarked or transmitted not later than biological parent, assistance of the biological parents; Bureau of Indian Affairs should be 90 days from the date of publication in (3) Names and addresses of the the Federal Register of the sought to help an adoptee who is adoptive parents; eligible for membership in a tribe to Environmental Protection Agency’s (4) Name and contact information for notice of filing and release of the DEIS. become a tribal member without any agency having files or information breaching the Privacy Act or Upon confirmation of this date, we will relating to the adoption; notify all entities on the project mailing confidentiality of the record. (5) Any affidavit signed by the (d) In States where adoptions remain list, and public announcements about biological parent or parents asking that the DEIS review period will be posted closed, the relevant agency should, at a their identity remain confidential; and minimum, communicate directly with on the project Web site (http:// (6) Any information relating to the parkplanning.nps.gov/ the tribe’s enrollment office and provide enrollment or eligibility for enrollment the information necessary to facilitate ALCAembarkation) and distributed via of the adopted child. local and regional press media. the establishment of the adoptee’s tribal (b) Confidentiality of such FOR FURTHER INFORMATION CONTACT: membership. information must be maintained and is Please contact the Golden Gate National (e) Agencies should work with the not subject to the Freedom of Recreation Area Planning Division at tribe to identify at least one tribal Information Act, 5 U.S.C. 552, as (415) 561–4930 or goga_planning@ designee familiar with 25 U.S.C. 1917 to amended. assist adult adoptees statewide with the nps.gov. process of reconnecting with their tribes G.6. How must the State maintain SUPPLEMENTARY INFORMATION: The and to provide information to State records? purpose and need for the project is judges about this provision on an (a) The State must establish a single driven by the following factors: (1) annual basis. location where all records of every Alcatraz Island ferry service has been voluntary or involuntary foster care, subject to location changes every 10 G.4. When must notice of a change in preadoptive placement and adoptive years, which has led to visitor child’s status be given? placement of Indian children by courts confusion, community concerns, and (a) Notice by the court, or an agency of that State will be available within inconsistency in visitor support authorized by the court, must be given seven days of a request by an Indian services. The site and associated to the child’s biological parents or prior child’s tribe or the Secretary. connections should be a consistent Indian custodians and the Indian child’s (b) The records must contain, at a feature for visitors to Golden Gate tribe whenever: minimum, the petition or complaint, all National Recreation Area (GGNRA). (2)

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The ability to make improvements at the associated bulkhead buildings) and neighborhood associations, ferry boat existing site is constrained by lease establish long-term ferry service and operators and Native American tribes. provisions between the Port of San embarkation site operations at Pier 311⁄2 The NPS completed over a dozen Francisco and the concessioner. The site along the Embarcadero. A third berth working papers and reports for this should allow for efficiency in making would be constructed to support ferry DEIS, including a feasibility analysis, facility improvements when necessary travel to other GGNRA sites. This has visitor flow survey report, wind-wave and for consistency in projecting facility been determined to be the analysis, value analysis report, and costs. (3) Condition of existing facilities ‘‘environmentally preferred’’ alternative. transportation and circulation study. constrains and negatively affects NPS Pier 41 Alternative: Retrofit and During the public review and and the concessioner’s abilities to create expand existing structures and establish comment period, visits to alternative a quality visitor experience. The site long-term ferry service and embarkation sites will be offered and a public and associated facilities should serve as site operations at Pier 41, controlled by meeting will be conducted in San a gateway to GGNRA, reflecting the the Port of San Francisco in Fisherman’s Francisco. The date, time, and location NPS’s identity and providing a quality Wharf. A third berth would be of the meeting and site visits will be experience for recreational visitors. (4) constructed to support ferry travel to publicized through local and regional The current facility has insufficient other GGNRA sites. news media, via the project Web site space to appropriately orient visitors to Pier 3 Alternative: Retrofit existing (http://parkplanning.nps.gov/ Alcatraz Island or provide information structures and establish a long-term ALCAembarkation), and email to the to the many visitors who are unable to embarkation site at Pier 3 in Fort Mason, park mailing list. Interested individuals, visit the island. The site should provide a federal property managed by GGNRA. organizations, and agencies are invited the space, circulation, and interpretive A third berth between Piers 1 and 2 to attend this meeting to discuss the materials to appropriately and would also be constructed. DEIS with the planning team and/or effectively orient recreational visitors to All action alternatives analyzed in the provide written comments. Alcatraz Island and GGNRA. (5) There DEIS would also provide the Copies of the DEIS (printed and is currently very limited opportunity to aforementioned occasional, special ferry electronic) will be distributed to provide cross-bay ferry service to other service operated to/from Fort Baker and congressional delegations, state and GGNRA areas. to/from Fort Mason. At this time, the local elected officials, federal and state Key project objectives include: (1) ‘‘Preferred Alternative’’ has not been agencies, tribes, organizations, local Establish a long-term (50 years or more) identified. Determination of which businesses, public libraries, and the primary location that is economically alternative is preferred will be informed news media. Printed copies (in limited feasible and sustainable, and enables by public comment on the DEIS and the quantity) and CDs will be supplied in substantial reinvestment in Alcatraz outcome of ongoing discussions with response to email, phone or mail Island and other park facilities and the Port which may affect cost and requests. Printed copies will be visitor programs; (2) provide visitor logistics at the potential Port sites— available at public libraries in San access to Alcatraz Island that is Piers 311⁄2 and 41. The ‘‘Preferred Francisco and Sausalito. compatible with nearby land uses, Alternative’’ will be identified in the How to Comment: Written comments including neighborhoods, businesses, Final EIS. may be transmitted electronically and transportation services; (3) Public Involvement: The Notice of through the project Web site (noted accommodate the critical facilities and Intent to prepare an EIS was published above). If preferred, comments may be programs needed for the safety and in the Federal Register on , 2012. mailed to the General Superintendent, comfort of visitors and staff, and Two public meetings were held; on June GGNRA, Attn: Alcatraz Ferry provide for efficient ferry operations; (4) 26, 2012, at Fort Mason in San Embarkation DEIS, Fort Mason, locate within a reasonable crossing time Francisco, and on , 2012, in Building 201, San Francisco, CA, 94123. from Alcatraz Island and meet specific Sausalito. Both meetings presented Before including your address, phone basic program element requirements for information about the purpose, need, number, email address, or other logistics; (5) provide an identifiable area and objectives of the project and personal identifying information in your for a quality welcome, orientation, and concepts for possible alternatives in an comment, you should be aware that interpretation of the natural, cultural, open-house format. The primary goal of your entire comment—including your scenic, and recreational resources of these meetings was to solicit public personal identifying information—may Alcatraz Island, other GGNRA system input on the preliminary alternatives. A be made publicly available at any time. parklands, and the larger national park summary of all comments received While you can ask us in your comment system; and (6) provide facilities for during the initial 60-day scoping period to withhold your personal identifying expanded ferry service to accommodate was documented by the Park Service in information from public review, we existing and future visitor demand for a report titled ‘‘Public Scoping cannot guarantee that we will be able to travel to Alcatraz Island and other Comment Summary.’’ Comments from do so. GGNRA sites and NPS units. these meetings, as well from additional Decision Process: All comments Alternatives: The DEIS describes and stakeholder and agency outreach received on the DEIS will be duly analyzes the following four alternatives: meetings and subsequent internal considered in preparing the Final EIS, No Action Alternative: Ferry service planning workshops, were used to which is expected to be available in late to Alcatraz Island would continue from further refine the alternatives and 2015. Availability of the Final EIS will Pier 311⁄2, controlled by the Port of San identify the key topics to be addressed be announced in the Federal Register, Francisco, with no changes to in the DEIS. as well as through regional and local management or site operations and In preparing the DEIS, the NPS press media and park Web site postings. infrastructure. This alternative serves as consulted with elected officials in San A Record of Decision will be prepared the environmental baseline from which Francisco and Sausalito, representatives not sooner than 30 days after release of potential effects of the three ‘‘action’’ of the Port of San Francisco, the Fort the Final EIS. As a delegated EIS, the alternatives were compared. Mason Center, the State Office of NPS official responsible for approval of Pier 311⁄2 Alternative: Retrofit existing Historic Preservation, and numerous the project is the Regional Director, structures (parts of piers 31, 33 and other stakeholders, among them Pacific West Region. The official

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responsible for project implementation Commission’s TDD terminal on (202) exclusion order and/or a cease and is the Superintendent, Golden Gate 205–1810. desist order within a commercially National Recreation Area. SUPPLEMENTARY INFORMATION: The reasonable time; and Dated: , 2015. Commission has received a complaint (v) explain how the requested Christine S. Lehnertz, and a submission pursuant to section remedial orders would impact United Regional Director, Pacific West Region. 210.8(b) of the Commission’s Rules of States consumers. Practice and Procedure filed on behalf [FR Doc. 2015–03847 Filed 2–24–15; 8:45 am] of BASF Corporation and UChicago Written submissions must be filed no BILLING CODE 4312–FF–P Argonne LLC on February 20, 2015. The later than by close of business, eight complaint alleges violations of section calendar days after the date of 337 of the Tariff Act of 1930 (19 U.S.C. publication of this notice in the Federal Register. There will be further INTERNATIONAL TRADE 1337) in the importation into the United COMMISSION States, the sale for importation, and the opportunities for comment on the sale within the United States after public interest after the issuance of any Notice of Receipt of Complaint; importation of certain lithium metal final initial determination in this Solicitation of Comments Relating to oxide cathode materials, lithium-ion investigation. the Public Interest batteries containing same, and products Persons filing written submissions with lithium-ion batteries containing must file the original document AGENCY: U.S. International Trade same. The complaint name as Commission. electronically on or before the deadlines respondents Umicore N.V. of Belgium; stated above and submit 8 true paper ACTION: Notice. Umicore USA Inc. of Raleigh, NC; copies to the Office of the Secretary by Makita Corporation of Japan; Makita SUMMARY: Notice is hereby given that noon the next day pursuant to section Corporation of America of Buford, GA the U.S. International Trade 210.4(f) of the Commission’s Rules of and Makita U.S.A Inc. of La Mirada, CA. Commission has received a complaint Practice and Procedure (19 CFR The complainant requests that the entitled Certain Lithium Metal Oxide 210.4(f)). Submissions should refer to Commission issue a permanent Cathode Materials, Lithium-Ion the docket number (‘‘Docket No. 3058’’) exclusion order, permanent cease and Batteries Containing Same, and in a prominent place on the cover page desist order, and a bond upon Products with Lithium-Ion Batteries and/or the first page. (See Handbook for respondents’ alleged infringing articles Containing Same, DN 3058; the Electronic Filing Procedures, Electronic during the 60-day Presidential review Commission is soliciting comments on Filing Procedures 4). Persons with period pursuant to 19 U.S.C. § 1337(j). any public interest issues raised by the questions regarding filing should Proposed respondents, other complaint or complainant’s filing under contact the Secretary (202–205–2000). interested parties, and members of the section 210.8(b) of the Commission’s public are invited to file comments, not Any person desiring to submit a Rules of Practice and Procedure (19 CFR to exceed five (5) pages in length, document to the Commission in 210.8(b)). inclusive of attachments, on any public confidence must request confidential FOR FURTHER INFORMATION CONTACT: Lisa interest issues raised by the complaint treatment. All such requests should be R. Barton, Secretary to the Commission, or section 210.8(b) filing. Comments directed to the Secretary to the U.S. International Trade Commission, should address whether issuance of the Commission and must include a full 500 E Street SW., Washington, DC relief specifically requested by the statement of the reasons why the 20436, telephone (202) 205–2000. The complainant in this investigation would Commission should grant such public version of the complaint can be affect the public health and welfare in treatment. See 19 CFR 201.6. Documents accessed on the Commission’s the United States, competitive for which confidential treatment by the Electronic Document Information conditions in the United States Commission is properly sought will be 1 System (EDIS) at EDIS , and will be economy, the production of like or treated accordingly. All nonconfidential available for inspection during official directly competitive articles in the written submissions will be available for business hours (8:45 a.m. to 5:15 p.m.) United States, or United States public inspection at the Office of the in the Office of the Secretary, U.S. consumers. Secretary and on EDIS 5. International Trade Commission, 500 E In particular, the Commission is Street SW., Washington, DC 20436, This action is taken under the interested in comments that: authority of section 337 of the Tariff Act telephone (202) 205–2000. (i) explain how the articles potentially General information concerning the of 1930, as amended (19 U.S.C. 1337), subject to the requested remedial orders and of sections 201.10 and 210.8(c) of Commission may also be obtained by are used in the United States; the Commission’s Rules of Practice and accessing its Internet server at United (ii) identify any public health, safety, Procedure (19 CFR 201.10, 210.8(c)). States International Trade Commission or welfare concerns in the United States (USITC) at USITC 2. The public record relating to the requested remedial By order of the Commission. for this investigation may be viewed on orders; Issued: February 20, 2015. the Commission’s Electronic Document (iii) identify like or directly William R. Bishop, Information System (EDIS) at EDIS 3. competitive articles that complainant, Hearing-impaired persons are advised Supervisory Hearings and Information its licensees, or third parties make in the Officer. that information on this matter can be United States which could replace the [FR Doc. 2015–03887 Filed 2–24–15; 8:45 am] obtained by contacting the subject articles if they were to be excluded; BILLING CODE 7020–02–P 1 Electronic Document Information System (iv) indicate whether complainant, (EDIS): http://edis.usitc.gov complainant’s licensees, and/or third 4 Handbook for Electronic Filing Procedures: 2 United States International Trade Commission http://www.usitc.gov/secretary/fed_reg_notices/ (USITC): http://edis.usitc.gov party suppliers have the capacity to rules/handbook_on_electronic_filing.pdf 3 Electronic Document Information System replace the volume of articles 5 Electronic Document Information System (EDIS): http://edis.usitc.gov potentially subject to the requested (EDIS): http://edis.usitc.gov

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INTERNATIONAL TRADE the Commission determined that it Authority: This review is being conducted COMMISSION would conduct an expedited review under authority of title VII of the Tariff Act pursuant to section 751(c)(3) of the Act. of 1930; this notice is published pursuant to [Investigation No. 731–TA–1046 (Second Staff report.—A staff report section 207.62 of the Commission’s rules. Review)] containing information concerning the By order of the Commission. Tetrahydrofurfuryl Alcohol From subject matter of the review will be Dated: February 20, 2015. placed in the nonpublic record on China; Scheduling of an Expedited William R. Bishop, Tuesday, February 24, 2015, and made Five-Year Review Supervisory Hearings and Information available to persons on the Officer. AGENCY: United States International Administrative Protective Order service [FR Doc. 2015–03863 Filed 2–24–15; 8:45 am] Trade Commission. list for this review. A public version BILLING CODE P ACTION: Notice. will be issued thereafter, pursuant to section 207.62(d)(4) of the SUMMARY: The Commission hereby gives Commission’s rules. UNITED STATES INTERNATIONAL notice of the scheduling of an expedited Written submissions.—As provided in TRADE COMMISSION review pursuant to section 751(c)(3) of section 207.62(d) of the Commission’s [USITC SE–15–007] the Tariff Act of 1930 (19 U.S.C. rules, interested parties that are parties 1675(c)(3)) (the Act) to determine to the review and that have provided Government in the Sunshine Act whether revocation of the antidumping individually adequate responses to the Meeting Notice duty order on tetrahydrofurfuryl alcohol notice of institution,2 and any party from China would be likely to lead to other than an interested party to the AGENCY HOLDING THE MEETING: United continuation or recurrence of material review may file written comments with States International Trade Commission. injury within a reasonably foreseeable the Secretary on what determination the TIME AND DATE: March 6, 2015 at 2:00 time. For further information Commission should reach in the review. p.m. Comments are due on or before Friday, concerning the conduct of this review PLACE: Room 101, 500 E Street SW., , 2015 and may not contain and rules of general application, consult Washington, DC 20436, Telephone: new factual information. Any person the Commission’s Rules of Practice and (202) 205–2000. that is neither a party to the five-year Procedure, part 201, subparts A through STATUS: Open to the public. E (19 CFR part 201), and part 207, review nor an interested party may submit a brief written statement (which MATTERS TO BE CONSIDERED: subparts A, D, E, and F (19 CFR part 1. Agendas for future meetings: none. 207). shall not contain any new factual information) pertinent to the review by 2. Minutes. DATES: Effective: February 6, 2015. 3. Ratification List. Friday, February 27, 2015. However, 4. Vote in Inv. Nos. 701–TA–528–529 FOR FURTHER INFORMATION CONTACT: should the Department of Commerce and 731–TA–1264–1268 Joanna Lo (202) 205–1888, Office of extend the time limit for its completion (Preliminary)(Certain Uncoated Paper Investigations, U.S. International Trade of the final results of its review, the from Australia, Brazil, China, Indonesia, Commission, 500 E Street SW., deadline for comments (which may not and Portugal). The Commission is Washington, DC 20436. Hearing- contain new factual information) on currently scheduled to complete and file impaired persons can obtain Commerce’s final results is three its determinations on March 9, 2015; information on this matter by contacting business days after the issuance of views of the Commission are currently the Commission’s TDD terminal on 202– Commerce’s results. If comments scheduled to be completed and filed on 205–1810. Persons with mobility contain business proprietary March 16, 2015. impairments who will need special information (BPI), they must conform 5. Outstanding action jackets: none. assistance in gaining access to the with the requirements of sections 201.6, In accordance with Commission Commission should contact the Office 207.3, and 207.7 of the Commission’s policy, subject matter listed above, not of the Secretary at 202–205–2000. rules. Please be aware that the disposed of at the scheduled meeting, General information concerning the Commission’s rules with respect to may be carried over to the agenda of the Commission may also be obtained by filing have changed. The most recent following meeting. accessing its Internet server (http:// amendments took effect on , By order of the Commission. www.usitc.gov). The public record for 2014. See 79 FR 35920 (June 25, 2014), this review may be viewed on the and the revised Commission Handbook Issued: February 23, 2015. Commission’s electronic docket (EDIS) on E-filing, available from the William R. Bishop, at http://edis.usitc.gov. Commission’s Web site at http:// Supervisory Hearings and Information Officer. SUPPLEMENTARY INFORMATION: edis.usitc.gov. In accordance with sections 201.16(c) [FR Doc. 2015–04039 Filed 2–23–15; 4:15 pm] Background.—On Friday, February 6, and 207.3 of the rules, each document BILLING CODE P 2015, the Commission determined that filed by a party to the review must be the domestic interested party group served on all other parties to the review response to its notice of institution (79 (as identified by either the public or BPI FR 65241, , 2014) of the DEPARTMENT OF LABOR service list), and a certificate of service subject five-year review was adequate must be timely filed. The Secretary will Office of the Secretary and that the respondent interested party not accept a document for filing without group response was inadequate. The a certificate of service. Agency Information Collection Commission did not find any other Activities; Submission for OMB circumstances that would warrant available from the Office of the Secretary and at the Review; Comment Request; Family 1 conducting a full review. Accordingly, Commission’s Web site. and Medical Leave Act of 1993, as 2 The Commission has found the response Amended 1 A record of the Commissioners’ votes, the submitted by Penn A Kem to be individually Commission’s statement on adequacy, and any adequate. Comments from other interested parties ACTION: Notice. individual Commissioner’s statements will be will not be accepted (see 19 CFR 207.62(d)(2)).

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SUMMARY: The Department of Labor implement the FMLA’s statutory notice ensure appropriate consideration, (DOL) is submitting the Wage and Hour and certification provisions and assist comments should mention OMB Control Division (WHD) sponsored information employees and employers in meeting Number 1235–0003. The OMB is collection request (ICR) revision titled, their FMLA notification obligations. The particularly interested in comments ‘‘Family and Medical Leave Act of 1993, recordkeeping requirements covered by that: As Amended,’’ (FMLA) to the Office of this ICR are necessary in order for the • Evaluate whether the proposed Management and Budget (OMB) for DOL to carry out its statutory obligation collection of information is necessary review and approval for use in under FMLA section 106 (29 U.S.C. for the proper performance of the accordance with the Paperwork 2616) to investigate and ensure functions of the agency, including Reduction Act (PRA) of 1995 (44 U.S.C. employer compliance. whether the information will have 3501 et seq.). Public comments on the Elsewhere is today’s issuance of the practical utility; ICR are invited. Federal Register, the DOL has • Evaluate the accuracy of the DATES: The OMB will consider all published a Final Rule that amends the agency’s estimate of the burden of the written comments that agency receives FMLA definition of spouse in light of proposed collection of information, on or before March 27, 2015. the United States Supreme Court’s including the validity of the ADDRESSES: A copy of this ICR with decision in United States v. Windsor, methodology and assumptions used; applicable supporting documentation; 133 S. Ct. 2675 (2013) that found • Enhance the quality, utility, and including a description of the likely Defense of Marriage Act section 3 (1 clarity of the information to be respondents, proposed frequency of U.S.C. 7) to be unconstitutional. This collected; and response, and estimated total burden ICR revises the paperwork burden • Minimize the burden of the may be obtained free of charge from the estimates to reflect the rule. In addition, collection of information on those who RegInfo.gov Web site at http:// the WHD has made minor clarifications are to respond, including through the www.reginfo.gov/public/do/ to some of the information on the forms use of appropriate automated, PRAViewICR?ref_nbr=201410-1235-004 (e.g., adding information that certain electronic, mechanical, or other (this link will only become active on the records may need to be maintained in technological collection techniques or day following publication of this notice) accordance with regulations issued to other forms of information technology, or by contacting Michel Smyth by implement the Genetic Information e.g., permitting electronic submission of telephone at 202–693–4129, TTY 202– Nondiscrimination Act). FMLA section responses. 693–8064, (these are not toll-free 404 authorizes this information Agency: DOL–WHD. numbers) or sending an email to DOL_ collection. See 29 U.S.C. 2654. Title of Collection: Family and [email protected]. This information collection is subject Medical Leave Act of 1993, As Submit comments about this request to the PRA. A Federal agency generally Amended. by mail or courier to the Office of cannot conduct or sponsor a collection OMB Control Number: 1235–0003. Information and Regulatory Affairs, of information, and the public is Affected Public: Individuals or Attn: OMB Desk Officer for DOL–WHD, generally not required to respond to an Households; State, Local, and Tribal Office of Management and Budget, information collection, unless it is Governments; Private Sector— Room 10235, 725 17th Street NW., approved by the OMB under the PRA businesses or other for-profits, farms, Washington, DC 20503; by Fax: 202– and displays a currently valid OMB and not-for-profit institutions. 395–5806 (this is not a toll-free Control Number. In addition, Total Estimated Number of number); or by email: OIRA_ notwithstanding any other provisions of Respondents: 7,182,916. [email protected]. Commenters law, no person shall generally be subject Total Estimated Number of are encouraged, but not required, to to penalty for failing to comply with a Responses: 82,371,724. send a courtesy copy of any comments collection of information that does not Total Estimated Annual Time Burden: by mail or courier to the U.S. display a valid Control Number. See 5 9,313,502 hours. Department of Labor-OASAM, Office of CFR 1320.5(a) and 1320.6. The DOL Total Estimated Annual Other Costs the Chief Information Officer, Attn: obtains OMB approval for this Burden: $184,932,912. information collection under Control Departmental Information Compliance Dated: February 18, 2015. Management Program, Room N1301, Number 1235–0003. The current approval is scheduled to expire on Michel Smyth, 200 Constitution Avenue NW., Departmental Clearance Officer. Washington, DC 20210; or by email: February 28, 2015; however, the DOL [email protected]. notes that existing information [FR Doc. 2015–03568 Filed 2–23–15; 11:15 am] collection requirements submitted to the BILLING CODE 4510–27–P FOR FURTHER INFORMATION CONTACT: OMB receive a month-to-month Michel Smyth by telephone at 202–693– extension while they undergo review. 4129, TTY 202–693–8064, (these are not New information collection DEPARTMENT OF LABOR toll-free numbers) or sending an email requirements would only take effect to [email protected]. upon OMB approval or when the Final Mine Safety and Health Administration Authority: 44 U.S.C. 3507(a)(1)(D). Rule takes effect, whichever is later. For Petitions for Modification of SUPPLEMENTARY INFORMATION: This ICR additional substantive information Application of Existing Mandatory seeks approval under the PRA for about this ICR, see the related notice Safety Standards revisions to the FMLA information published in the Federal Register on collection approval resulting from a , 2014 (78 FR 54299). AGENCY: Mine Safety and Health Final Rule the Department is publishing Interested parties are encouraged to Administration, Labor. elsewhere in today’s issuance of the send comments regarding the ICR to the ACTION: Notice. Federal Register and because of minor OMB, Office of Information and clarifications to certain disclosures the Regulatory Affairs at the address shown SUMMARY: Section 101(c) of the Federal Department makes on certain forms to in the ADDRESSES section within thirty Mine Safety and Health Act of 1977 and respondents. The notification (30) days of publication of this notice in Title 30 of the Code of Federal requirements approved by this ICR will the Federal Register. In order to help Regulations, 30 CFR part 44, govern the

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application, processing, and disposition II. Petitions for Modification (10) Within 60 days after these of petitions for modification. This notice Docket Numbers: M–2015–001–C and petitions are granted, the petitioner will is a summary of petitions for M–2015–002–C. submit proposed revisions for their modification submitted to the Mine Petitioner: Sunrise Coal LLC, 12661 approved 30 CFR part 48 training plans Safety and Health Administration North Agricare Road, Oaktown, Indiana to the District Manager for the area in (MSHA) by the parties listed below. 47561. which the mine is located. The training DATES: All comments on the petitions Mines: Oaktown Fuels No. 1 Mine, will include the following: must be received by the Office of MSHA I.D. No. 12–02394, and Oaktown (a) Mining methods and operating Standards, Regulations, and Variances Fuels No. 2, MSHA I.D. No. 12–02418, procedures for protecting the trailing on or before March 27, 2015. both located in Knox County, Indiana. cables against damage. ADDRESSES: You may submit your Regulation Affected: 30 CFR 75.503 (b) Proper procedures for examining comments, identified by ‘‘docket (Permissible electric face equipment; the trailing cables to ensure safe number’’ on the subject line, by any of maintenance), 30 CFR 18.35(a)(5) operating condition. (c) The hazards of setting the the following methods: (Portable (trailing) cables and cords). instantaneous circuit breakers too high 1. Electronic Mail: zzMSHA- Modification Request: The petitioner to adequately protect the trailing cables. [email protected]. Include the docket requests a modification of the existing (d) How to verify that the circuit number of the petition in the subject standard to increase the maximum interrupting device(s) protecting the line of the message. length of trailing cables supplying trailing cable(s) are properly set and 2. Facsimile: 202–693–9441. power to permissible pumps in the maintained. 3. Regular Mail or Hand Delivery: mines. The petitioner states that: MSHA, Office of Standards, The petitioner further states that (1) These petitions will apply only to procedures specified in 30 CFR 48.3 for Regulations, and Variances, 1100 trailing cables supplying three-phase, Wilson Boulevard, Room 2350, proposed revisions to approved training 480-volt power for permissible pumps. plans will apply. Arlington, Virginia 22209–3939, (2) The maximum length of the Attention: Sheila McConnell, Acting The petitioner asserts that the trailing cables for a 480-volt permissible Director, Office of Standards, alternative method will guarantee no pump will be 4000 feet. Regulations, and Variances. Persons less than the same measure of protection (3) The permissible pump will be no delivering documents are required to for all miners than that of the existing greater than 6.2 horsepower. check in at the receptionist’s desk on standard. (4) The 480-volt power for permissible the 21st floor. Individuals may inspect pump trailing cables exceeding 500 feet Dated: February 19, 2015. copies of the petitions and comments will not be smaller than No. 6 AWG. Sheila McConnell, during normal business hours at the (5) All circuit breakers used to protect Acting Director, Office of Standards, address listed above. Regulations, and Variances. MSHA will consider only comments No. 6 AWG trailing cables exceeding postmarked by the U.S. Postal Service or 500 feet in length will have an [FR Doc. 2015–03835 Filed 2–24–15; 8:45 am] proof of delivery from another delivery instantaneous trip unit calibrated to trip BILLING CODE 4510–43–P service such as UPS or Federal Express at 60 amperes. These circuit breakers on or before the deadline for comments. will be in the cable coupler and the cable coupler will have permanent, NATIONAL SCIENCE FOUNDATION FOR FURTHER INFORMATION CONTACT: legible labels. Each label will identify Barbara Barron, Office of Standards, the cable coupler as being suitable for Advisory Committee for Regulations, and Variances at 202–693– protecting No. 6 AWG cables. This label Cyberinfrastructure; Notice of Meeting 9447 (Voice), [email protected] will be maintained legible. (Email), or 202–693–9441 (Facsimile). In accordance with the Federal (6) Replacement circuit breakers used [These are not toll-free numbers.] Advisory Committee Act (Pub., L. 92– to protect No. 6 AWG trailing cables SUPPLEMENTARY INFORMATION: 463, as amended), the National Science exceeding 500 feet in length will be Foundation announces the following I. Background calibrated to trip at 60 amperes. meeting: Section 101(c) of the Federal Mine (7) All circuit breakers used to protect Name: Advisory Committee for Safety and Health Act of 1977 (Mine the No. 2 AWG trailing cables exceeding Cyberinfrastructure (25150). Act) allows the mine operator or 500 feet in length will have Date and Time: representative of miners to file a instantaneous trip units calibrated to , 2015; 09:00 a.m.–5:30 p.m. petition to modify the application of any trip at 150 amperes. These circuit April 23, 2015; 8:30 a.m.–1:00 p.m. mandatory safety standard to a coal or breakers will be in the cable coupler and Place: National Science Foundation, other mine if the Secretary of Labor the cable coupler will have permanent, 4201 Wilson Blvd., Arlington, VA determines that: legible labels. Each label will identify 22230, Room 1235. 1. An alternative method of achieving the cable coupler as being suitable for Type of Meeting: OPEN. the result of such standard exists which protecting No. 2 AWG cables. The labels Contact Person: Mark Suskin, CISE, will at all times guarantee no less than will be maintained legible. Division of Advanced the same measure of protection afforded (8) Replacement circuit breakers used Cyberinfrastructure, National Science the miners of such mine by such to protect No. 2 AWG trailing cables Foundation, 4201 Wilson Blvd., Suite standard; or exceeding 500 feet in length will be 1145, Arlington, VA 22230, Telephone: 2. That the application of such calibrated to trip at 150 amperes. 703–292–8970. standard to such mine will result in a (9) The petitioner’s alternative Minutes: May be obtained from the diminution of safety to the miners in method will not be implemented until contact person listed above. such mine. all miners who have been designated to Purpose of Meeting: To advise NSF on In addition, the regulations at 30 CFR examine and verify the short-circuit the impact of its policies, programs and 44.10 and 44.11 establish the settings and proper procedures for activities in the ACI community. To requirements and procedures for filing examining trailing cables for defects and provide advice to the Director/NSF on petitions for modification. damage have received training. issues related to long-range planning.

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Agenda: Updates on NSF wide ACI Rockville, Maryland February 19, 2015. DATES: The Branch Technical Position activities. E. Roy Hawkens, referenced in this document is available Dated: February 19, 2015. Chief Administrative Judge, Atomic Safety on February 25, 2015. and Licensing Board Panel. Suzanne Plimpton, ADDRESSES: Please refer to Docket ID [FR Doc. 2015–03903 Filed 2–24–15; 8:45 am] Acting, Committee Management Officer. NRC–2011–0022 when contacting the BILLING CODE 7590–01–P [FR Doc. 2015–03869 Filed 2–24–15; 8:45 am] NRC about the availability of BILLING CODE 7555–01–P information regarding this document. NUCLEAR REGULATORY You may access publicly-available COMMISSION information related to this document using any of the following methods: NUCLEAR REGULATORY [Docket No. IA–14–025–EA; ASLBP No. 14– • Federal Rulemaking Web site: Go to COMMISSION 932–02–EA–BD01] http://www.regulations.gov and search for Docket ID NRC–2011–0022. Address [Docket No. 50–271–LA–2; ASLBP No. 15– James Chaisson; Notice of Atomic questions about NRC dockets to Carol 937–02–LA–BD01] Safety and Licensing Board Gallagher; telephone: 301–415–3463; Reconstitution email: [email protected]. For Entergy Nuclear Vermont Yankee, LLC technical questions, contact the Pursuant to 10 CFR 2.313(c) and and Entergy Nuclear Operations, Inc.; individual(s) listed in the FOR FURTHER 2.321(b), the Atomic Safety and Establishment of Atomic Safety and Licensing Board in the above-captioned INFORMATION CONTACT section of this Licensing Board James Chaisson enforcement action document. • NRC’s Agencywide Documents Pursuant to delegation by the proceeding is hereby reconstituted as Access and Management System Commission, see 37 FR 28,710 (Dec. 29, follows: Administrative Judge G. Paul (ADAMS): You may obtain publicly 1972), and the Commission’s Bollwerk, III (who was serving as a available documents online in the regulations, see, e.g., 10 CFR 2.104, Licensing Board member in this ADAMS Public Documents collection at 2.105, 2.300, 2.309, 2.313, 2.318, 2.321, proceeding) is appointed to serve as http://www.nrc.gov/reading-rm/ notice is hereby given that an Atomic Chairman; and Administrative Judge adams.html. To begin the search, select Safety and Licensing Board (Board) is Michael M. Gibson (who was serving as ‘‘ADAMS Public Documents’’ and then being established to preside over the Chairman in this proceeding) is select ‘‘Begin Web-based ADAMS following proceeding: Entergy Nuclear appointed to serve as a Licensing Board Search.’’ For problems with ADAMS, Vermont Yankee, LLC, And Entergy member. please contact the NRC’s Public Nuclear Operations, Inc., (Vermont All correspondence, documents, and Yankee Nuclear Power Station). other materials shall continue to be filed Document Room (PDR) reference staff at in accordance with the NRC E-Filing 1–800–397–4209, 301–415–4737, or by This proceeding involves an rule. See 10 CFR 2.302 et seq. email to [email protected]. The application by Entergy Nuclear Vermont ADAMS accession number for each Yankee, LLC and Entergy Nuclear Issued at Rockville, Maryland this 19th day of February 2015. document referenced in this notice (if Operations, Inc. for a license that document is available in ADAMS) amendment for the Vermont Yankee E. Roy Hawkens, Chief Administrative Judge, Atomic Safety is provided the first time that a Nuclear Power Station, which is located document is referenced. The revised in Vernon, Vermont. In response to a and Licensing Board Panel. [FR Doc. 2015–03899 Filed 2–24–15; 8:45 am] Branch Technical Position on notice filed in the Federal Register, see Concentration Averaging and BILLING CODE 7590–01–P 79 FR 73,106 (Dec. 9, 2014), a hearing Encapsulation consists of two volumes. request was filed via the Electronic Volume 1 (ADAMS Accession No. Information Exchange on February 9, NUCLEAR REGULATORY ML12254B065) contains the staff 2015 by the State of Vermont through COMMISSION technical positions on averaging and the Vermont Department of Public certain other information. Volume 2 Service. [NRC–2011–0022] (ADAMS Accession No. ML12326A611) The Board is comprised of the contains staff responses to stakeholder following administrative judges: Concentration Averaging and comments on the May 2012 draft Paul S. Ryerson, Chairman, Atomic Encapsulation Branch Technical (ADAMS Accession No. ML121170418) Safety and Licensing Board Panel, Position and the technical bases for the staff positions. U.S. Nuclear Regulatory Commission, AGENCY: Nuclear Regulatory • Washington, DC 20555–0001. Commission. NRC’s PDR: You may examine and purchase copies of public documents at Dr. Michael F. Kennedy, Atomic Safety ACTION: Branch technical position; the NRC’s PDR, Room O1–F21, One and Licensing Board Panel, U.S. issuance. Nuclear Regulatory Commission, White Flint North, 11555 Rockville Washington, DC 20555–0001. SUMMARY: The U.S. Nuclear Regulatory Pike, Rockville, Maryland 20852. Commission (NRC) is issuing Revision 1 Dr. Richard E. Wardwell, Atomic Safety FOR FURTHER INFORMATION CONTACT: of the Branch Technical Position on and Licensing Board Panel, U.S. Maurice Heath, Office of Nuclear Concentration Averaging and Nuclear Regulatory Commission, Material Safety and Safeguards, U.S. Encapsulation (CA BTP). This guidance Washington, DC 20555–0001. Nuclear Regulatory Commission, provides acceptable methods that can be Washington, DC 20555–0001; telephone: All correspondence, documents, and used to perform concentration averaging 301–415–3137; email: Maurice.Heath@ other materials shall be filed in of low-level radioactive waste (LLW) for nrc.gov. accordance with the NRC E-Filing rule. the purpose of determining its waste See 10 .FR 2.302. class for disposal. SUPPLEMENTARY INFORMATION:

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I. Introduction May 1983 (ADAMS Accession No. on their disposal. The CA BTP’s revised The NRC is issuing Revision 1 of the ML033630755), that provided guidance positions are based on different, but CA BTP. This revision provides updated on concentration averaging. This 1983 conservative assumptions and will guidance on the interpretation of technical position describes overall allow for the safe disposal of more § 61.55(a)(8) of Title 10 of the Code of procedures acceptable to NRC staff sealed sources than the 1995 CA BTP. Federal Regulations (10 CFR), which could be used by licensees to The revised position will enhance ‘‘Determination of concentrations in determine the presence and national security by ensuring that the wastes,’’ as it applies to the concentrations of the radionuclides safest and most secure method for listed in 10 CFR 61.55, and thereby managing sealed sources (i.e., classification (as Class A, B, or C waste) classify waste for near-surface disposal. permanent disposal in a licensed of a variety of different types and forms Section C.3 of the 1983 technical facility) is available to licensees. of LLW. Paragraph 61.55(a)(8) states that position provided guidance on radionuclide concentrations can be III. Overview of Public Comments averaging of radionuclide averaged over the volume of the waste concentrations for the purpose of Revision 1 of the CA BTP has been or its weight if the units are expressed classifying the waste. developed after consideration of public as nanocuries per gram. The average In 1995, the NRC staff updated a comments on three drafts. The first draft radionuclide concentrations are portion of the 1983 technical position, (ADAMS Accession No. ML103430088) compared with the waste classification publishing as a separate document the was noticed in the Federal Register on tables in 10 CFR 61.55 to determine the ‘‘Branch Technical Position on , 2011 (76 FR 4739). The class of the waste. The waste class Concentration Averaging and second draft (ADAMS Accession No. determines the minimum safety Encapsulation,’’ (60 FR 4451, January ML112061191) was made available to measures to be applied in order to 23, 1995). The 1995 CA BTP the public in September 2011, in provide reasonable assurance of safe significantly expanded and further advance of a public workshop held in disposal of the waste. defined Section C.3 of the 1983 Albuquerque, New Mexico, on October The previous version of the CA BTP, technical position dealing with 20, 2011. The third draft (ADAMS published in 1995 (ADAMS Accession concentration averaging, specifying a Accession No. ML121170418) was No. ML033630732), was issued before number of constraints on concentration noticed in the Federal Register for the NRC adopted its risk-informed and averaging. public comment on June 11, 2012, (77 performance-based regulatory policy. The current update to the CA BTP is FR 34411). Information about obtaining The revised CA BTP has been informed necessary due to the significant number these documents is available in the by that policy. The revised CA BTP also of changes in the LLW program since ADDRESSES section of this document. contains new guidance related to the CA BTP was published in 1995. Fifteen organizations representing a blending of LLW, as directed by the First, the Commission reviewed the variety of interests submitted comments Commission in its Staff Requirements 1995 CA BTP’s position on blending of on the drafts. They included Federal Memorandum for SECY–10–0043, LLW in 2010 and directed the staff to and State agencies and organizations, a ‘‘Blending of Low-Level Radioactive revise it to be more risk-informed and nuclear power plant research Waste,’’ (ADAMS Accession No. performance-based. The 1995 version organization, disposal and waste ML102861764). constrained the concentration of certain processing facility licensees, industry II. Background waste types put into a mixture (e.g., ion professional organizations, an advocacy exchange resins) to within a factor of 10 group, and a waste services company. To provide protection for individuals of the average concentration of the final These comments have been considered who inadvertently intrude into a waste mixture. The Commission directed the by the NRC staff in developing this disposal facility, radioactive waste staff to replace this position and to revision to the CA BTP. An overview of proposed for near-surface disposal must implement a risk-informed, the changes to the 1995 CA BTP is be classified based on its hazard to the performance-based approach for LLW presented below. Detailed responses to intruder. The NRC’s regulation, blending that made the hazard (i.e., the each of the public comments are ‘‘Licensing Requirements for Land radioactivity concentration) of the final available in Vol. 2 of the revised CA Disposal of Radioactive Waste,’’ 10 CFR mixture the primary consideration for BTP and in the drafts referenced above. part 61, establishes a waste averaging constraints. Second, the NRC classification system based on the adopted a risk-informed, performance- IV. Overview of Revisions concentration of specific radionuclides based regulatory approach for its The major changes to the 1995 CA contained in the waste. This system is programs in the late 1990’s, after the BTP are summarized below. Appendix one of the key components in ensuring 1995 CA BTP was published. The B of Volume 1 of the revised CA BTP protection of an inadvertent intruder. In revised CA BTP more fully reflects that has a more complete list of changes. The determining these concentrations, the approach, not just for the blending staff responses to individual public regulation states, in 10 CFR 61.55(a)(8), position, but for other topics as well. comments are contained in Section 3 of that radionuclide concentrations can be One example is for concentration Volume 2 of the CA BTP. Finally, a averaged over the volume of the waste averaging of sealed radioactive sources. summary of the changes to the May or its weight if the units are expressed The 1995 CA BTP significantly 2012 version published for public as nanocuries per gram. constrained disposal of sealed sources. comment is available in ADAMS Although 10 CFR part 61 Many sources have no disposal path Accession No. ML14157A227. acknowledges that concentration because of the constraints recommended Increase in cesium-137 sealed source averaging for the purposes of classifying in the 1995 BTP. Licensees must store activity limits. In the revised CA BTP, waste for disposal is acceptable, it does sealed sources for potentially long the staff has increased the limits for not specify limitations on the periods of time if there is no disposal disposal of cesium-137 (Cs-137) sealed implementation of concentration option, and the sources are subject to sources, using an improved technical averaging. The staff published a loss or abandonment. The staff has re- basis and a reasonably foreseeable but technical position on radioactive waste examined the 1995 assumptions conservative intruder scenario. Cesium- classification, initially developed in underlying the radioactivity constraints 137 is used in sealed sources for

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research, medical, and industrial (and not NRC staff guidance like the CA CA BTP ties the averaging factors to the purposes. The recommended constraint BTP), performance-based approaches to class limit for radionuclide on the size of these sources for disposal intruder protection were in effect concentrations (not the average of the has been increased from 1.1 TBq (30 Ci) discouraged. In addition, not all mixture), which has a relationship to to 4.8 TBq (130 Ci), based on new, more regulatory authorities in Agreement risk because the class limits are based risk-informed analysis. The revised CA States that license disposal sites have on a dose of 5 mSv/yr (500 mrem/yr) BTP also specifies a process that this provision in their regulations, and exposure to an inadvertent intruder. The licensees should use to request review so the regulatory mechanism for staff also revised the Factor of 1.5 to 2, by Agreement State regulators of obtaining approval of alternatives was since the uncertainty associated with proposed disposals of larger activity not available to all licensees. That is, intruder protection does not justify the sources. some regulators could not authorize precision implied by the first factor. Demonstration of adequate mixing in deviations from the 1995 CA BTP under In developing the revised CA BTP, the blended LLW. The revised CA BTP also that provision, even though site-specific staff identified one issue that may need addresses the Commission direction to features may have justified other further clarification. One of the ‘‘develop a clear standard for averaging approaches. The revised CA categories of discrete wastes that are determining homogeneity’’ of blended BTP acknowledges that site-specific and subject to special concentration waste. The 1995 CA BTP constrained other approaches may be used, and averaging constraints is ‘‘contaminated the concentrations of inputs to a deviations from staff guidance in the CA materials.’’ The 1995 CA BTP defines mixture of blended waste and therefore BTP do not need the 10 CFR 61.58 contaminated materials as components did not need to address the approval that was previously specified. or metals on which radioactivity resides homogeneity of the final mixture. It Instead, the regulatory authority may on or near the surface in a fixed or included a ‘‘Factor of 10’’ concentration approve another approach in the same removable condition. To demonstrate limit on waste blending which limited manner used for deviations from other compliance with these averaging blending of waste streams with NRC guidance. constraints, the radiological radionuclide concentrations to within a Risk-informed treatment of cartridge characteristics and volumes of factor of 10 of the average filters. In the 1995 CA BTP, cartridge individual items are typically concentrations in the blended product. filters, a waste type generated during the determined. However, items with The revised CA BTP specifies certain operation of nuclear power plants, were surface contamination may also be thresholds on radionuclide defined as discrete objects subject to categorized as radioactive trash which is concentrations of waste streams that are certain averaging constraints on each not subject to any special averaging blended together. Above these filter. Each filter had to be radiologically constraints. Items in radioactive trash thresholds, licensees should characterized and fit within the do not need to be individually demonstrate waste is adequately specified averaging constraints of the characterized. Instead, a container of blended. Considerations for this 1995 CA BTP. While that default radioactive trash can be surveyed to demonstration are also discussed. The position remains in place, the revised determine its overall radioactivity and thresholds for demonstrating adequate CA BTP also allows for the treatment of its classification determined by dividing blending and the guidance on such filters as blendable waste, with a the overall activity by the waste volume. demonstrating waste is adequately documented justification. Neither the 1995 CA BTP nor draft blended are based on a probabilistic Characterizing the overall blendable revisions published for public comment dose assessment. This revision is risk- waste mixture and classifying the provided guidance for categorizing informed because of the method used to mixture based on its total radioactivity, items as either contaminated materials establish the threshold for the rather than individual items, is or radioactive trash. In addition, the homogeneity demonstration. It is also permitted for many other waste types in staff received no comments from performance-based because the position the revised CA BTP. This more risk- stakeholders on this issue. The staff will no longer constrains concentrations of informed position is justified because in consider whether additional guidance, inputs to a blending process but instead practice many filters do not present a such as a Regulatory Issue Summary specifies criteria that the output (i.e., gamma hazard to an intruder, based on (RIS), is warranted for distinguishing blended waste) must meet to protect an their actual radionuclide contaminated materials from radioactive inadvertent intruder from potential hot concentrations. trash. The staff may also formally clarify spots in the waste. Risk-informed averaging of other or supplement other positions in the CA Alternative Approaches. Another discrete waste items. The 1995 CA BTP BTP at a later time, as necessary. revision to the CA BTP is the addition constrained the averaging of discrete of specific guidance for licensees to use items with its Factors of 1.5 (which V. Congressional Review Act in proposing site- or waste-specific applied to primary gamma emitters) and This CA BTP is a rule as defined in averaging approaches, rather than the 10 (which applied to other the Congressional Review Act (5 U.S.C. generic approaches specified in the radionuclides). The factors applied to 801–9808). However, the Office of body of the CA BTP. This revision is the average radionuclide concentrations Management and Budget has not found consistent with NRC’s performance- in a mixture of certain discrete items, it to be a major rule as defined in the based regulatory policy because it such as activated metals, such that the Congressional Review Act. facilitates the use of other averaging radionuclide concentrations in all items approaches to meet the 10 CFR part 61 in a mixture had to be within those VI. Implementation performance objective of protecting an factors for the average of the mixture. The revised CA BTP describes and inadvertent intruder. The 1995 CA BTP These factors ensure uniformity of makes available to NRC and Agreement stated that alternative approaches for radionuclide concentrations in mixtures State licensees, Agreement States, and averaging should be approved under of items, but such mixtures could be the public, methods that the NRC NRC’s regulation in 10 CFR 61.58. By uniformly low in concentration and believes are acceptable for referencing a provision in the risk. Thus, there is no relationship implementing specific parts of the regulations that applies to alternatives between the 1995 CA BTP position and Commission’s regulations. The positions to the requirements in 10 CFR part 61 acceptable risk (or dose). The revised in this document are not intended as a

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substitute for regulations, and systems, structures, components, or contract related to the proposed new compliance with them is not required. design of a facility, or the procedures or product under 39 U.S.C. 3632(b)(3) and Agreement States may use this organizations required to design, 39 CFR 3015.5. Id. Attachment B. information in establishing waste construct, or operate a facility. To support its Request, the Postal acceptance criteria for their licensees Dated at Rockville, Maryland, this 30th day Service filed a copy of the contract, a who are operating waste disposal sites. of January, 2015. copy of the Governors’ Decision Applicants and licensees may use the For the Nuclear Regulatory Commission. authorizing the product, proposed information in the revised CA BTP Larry W. Camper, changes to the Mail Classification when developing applications for initial Director, Division of Decommissioning, Schedule, a Statement of Supporting licenses, amendments to licenses, or Uranium Recovery and Waste Programs, Justification, a certification of requests for NRC regulatory approval. Office of Nuclear Material Safety and compliance with 39 U.S.C. 3633(a), and Licensees may use the information in Safeguards. an application for non-public treatment the revised CA BTP for actions (i.e., in [FR Doc. 2015–03913 Filed 2–24–15; 8:45 am] of certain materials. It also filed determining average radionuclide BILLING CODE 7590–01–P supporting financial workpapers. concentrations in waste) that do not require prior NRC review and approval. II. Notice of Commission Action The Commission establishes Docket Licensees may also use the information POSTAL REGULATORY COMMISSION in the revised CA BTP to assist in Nos. MC2015–32 and CP2015–42 to attempting to resolve regulatory or [Docket Nos. MC2015–32 and CP2015–42; consider the Request pertaining to the inspection issues. Agreement States and Order No. 2360] proposed Priority Mail Contract 112 current licensees may continue to use product and the related contract, the previous guidance for complying New Postal Product respectively. with the concentration averaging AGENCY: Postal Regulatory Commission. The Commission invites comments on whether the Postal Service’s filings in provision in 10 CFR 61.55(a)(8) (i.e., the ACTION: Notice. January 23, 1995, ‘‘Final Branch the captioned dockets are consistent Technical Position on Concentration SUMMARY: The Commission is noticing a with the policies of 39 U.S.C. 3632, Averaging and Encapsulation’’). Current recent Postal Service filing concerning 3633, or 3642, 39 CFR part 3015, and 39 licensees may also voluntarily use an addition of Priority Mail Contract CFR part 3020, subpart B. Comments are positions in this revised CA BTP. 112 to the competitive product list. This due no later than February 26, 2015. In addition to the guidance in the notice informs the public of the filing, The public portions of these filings can revised CA BTP, licensees that ship invites public comment, and takes other be accessed via the Commission’s Web waste for disposal in a 10 CFR part 61 administrative steps. site (http://www.prc.gov). or Agreement State equivalent facility DATES: Comments are due: February 26, The Commission appoints Kenneth R. should ensure that the waste meets the 2015. Moeller to serve as Public concentration averaging provisions in Representative in these dockets. ADDRESSES: the land disposal facility license. Where Submit comments there are conflicts with this guidance, electronically via the Commission’s III. Ordering Paragraphs the land disposal facility license Filing Online system at http:// It is ordered: conditions issued by the regulatory www.prc.gov. Those who cannot submit 1. The Commission establishes Docket authority (i.e., the Agreement State) comments electronically should contact Nos. MC2015–32 and CP2015–42 to must be met. the person identified in the FOR FURTHER consider the matters raised in each INFORMATION CONTACT section by docket. VII. Backfitting telephone for advice on filing 2. Pursuant to 39 U.S.C. 505, Kenneth The revised CA BTP revision alternatives. R. Moeller is appointed to serve as an describes a voluntary method that the FOR FURTHER INFORMATION CONTACT: officer of the Commission to represent NRC staff considers acceptable for David A. Trissell, General Counsel, at the interests of the general public in complying with the regulation in 10 202–789–6820. these proceedings (Public CFR 61.55(a)(8), regarding averaging of SUPPLEMENTARY INFORMATION: Representative). radionuclide concentrations for the 3. Comments are due no later than purpose of determining waste Table of Contents February 26, 2015. classification. Compliance with the 4. The Secretary shall arrange for revised CA BTP is not an NRC I. Introduction publication of this order in the Federal requirement, and licensees and II. Notice of Commission Action Register. III. Ordering Paragraphs applicants may choose this or another By the Commission. method to achieve compliance with this I. Introduction Ruth Ann Abrams, provision in the 10 CFR part 61. In particular, current licensees may In accordance with 39 U.S.C. 3642 Acting Secretary. continue to use the averaging positions and 39 CFR 3020.30 et seq., the Postal [FR Doc. 2015–03828 Filed 2–24–15; 8:45 am] in the 1995 CA BTP. The revised CA Service filed a formal request and BILLING CODE 7710–FW–P BTP does not require a backfit analysis, associated supporting information to as described in 10 CFR 50.109(c), add Priority Mail Contract 112 to the because (1) it does not impose a new or competitive product list.1 POSTAL REGULATORY COMMISSION amended provision in the NRC’s rules, The Postal Service [Docket Nos. MC2015–33 and CP2015–43; (2) does not present a regulatory staff contemporaneously filed a redacted Order No. 2361] position that interprets the NRC’s rules in a manner that is either new or 1 Request of the United States Postal Service to New Postal Product Add Priority Mail Contract 112 to Competitive different from a previous staff position; Product List and Notice of Filing (Under Seal) of AGENCY: Postal Regulatory Commission. and (3) does not require the Unredacted Governors’ Decision, Contract, and ACTION: Notice. modification of, or addition to, the Supporting Data, February 18, 2015 (Request).

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SUMMARY: The Commission is noticing a 3633, or 3642, 39 CFR part 3015, and 39 POSTAL SERVICE recent Postal Service filing concerning CFR part 3020, subpart B. Comments are an addition of Priority Mail Contract due no later than February 26, 2015. Product Change—Priority Mail 113 to the competitive product list. This The public portions of these filings can Negotiated Service Agreement notice informs the public of the filing, be accessed via the Commission’s Web AGENCY: Postal ServiceTM. invites public comment, and takes other site (http://www.prc.gov). administrative steps. The Commission appoints James F. ACTION: Notice. DATES: Comments are due: February 26, Callow to serve as Public Representative SUMMARY: The Postal Service gives 2015. in these dockets. notice of filing a request with the Postal ADDRESSES: Submit comments III. Ordering Paragraphs Regulatory Commission to add a electronically via the Commission’s domestic shipping services contract to It is ordered: Filing Online system at http:// the list of Negotiated Service 1. The Commission establishes Docket www.prc.gov. Those who cannot submit Agreements in the Mail Classification Nos. MC2015–33 and CP2015–43 to comments electronically should contact Schedule’s Competitive Products List. consider the matters raised in each the person identified in the FOR FURTHER docket. DATES: Effective date: February 25, 2015. INFORMATION CONTACT section by 2. Pursuant to 39 U.S.C. 505, James F. FOR FURTHER INFORMATION CONTACT: telephone for advice on filing Callow is appointed to serve as an Elizabeth A. Reed, 202–268–3179. alternatives. officer of the Commission to represent SUPPLEMENTARY INFORMATION: The FOR FURTHER INFORMATION CONTACT: the interests of the general public in United States Postal Service® hereby David A. Trissell, General Counsel, at these proceedings (Public gives notice that, pursuant to 39 U.S.C. 202–789–6820. Representative). 3642 and 3632(b)(3), on February 18, SUPPLEMENTARY INFORMATION: 3. Comments are due no later than 2015, it filed with the Postal Regulatory February 26, 2015. Commission a Request of the United Table of Contents 4. The Secretary shall arrange for States Postal Service to Add Priority I. Introduction publication of this order in the Federal Mail Contract 112 to Competitive II. Notice of Commission Action Register. Product List. Documents are available at III. Ordering Paragraphs By the Commission. www.prc.gov, Docket Nos. MC2015–32, I. Introduction Ruth Ann Abrams, CP2015–42. In accordance with 39 U.S.C. 3642 Acting Secretary. Stanley F. Mires, and 39 CFR 3020.30 et seq., the Postal [FR Doc. 2015–03829 Filed 2–24–15; 8:45 am] Attorney, Federal Requirements. Service filed a formal request and BILLING CODE 7710–FW–P [FR Doc. 2015–03802 Filed 2–24–15; 8:45 am] associated supporting information to BILLING CODE 7710–12–P add Priority Mail Contract 113 to the competitive product list.1 POSTAL SERVICE The Postal Service SECURITIES AND EXCHANGE contemporaneously filed a redacted Product Change—Priority Mail COMMISSION contract related to the proposed new Negotiated Service Agreement product under 39 U.S.C. 3632(b)(3) and [Release No. 34–74323; File No. 4–631] AGENCY: Postal ServiceTM. 39 CFR 3015.5. Id. Attachment B. Joint Industry Plan; Order Approving ACTION: Notice. To support its Request, the Postal the Eighth Amendment to the National Service filed a copy of the contract, a SUMMARY: Market System Plan To Address copy of the Governors’ Decision The Postal Service gives notice of filing a request with the Postal Extraordinary Market Volatility by authorizing the product, proposed BATS Exchange, Inc., BATS Y- changes to the Mail Classification Regulatory Commission to add a domestic shipping services contract to Exchange, Inc., Chicago Board Schedule, a Statement of Supporting Options Exchange, Incorporated, Justification, a certification of the list of Negotiated Service Agreements in the Mail Classification Chicago Stock Exchange, Inc., EDGA compliance with 39 U.S.C. 3633(a), and Exchange, Inc., EDGX Exchange, Inc., an application for non-public treatment Schedule’s Competitive Products List. DATES: Effective date: February 25, 2015. Financial Industry Regulatory of certain materials. It also filed Authority, Inc., NASDAQ OMX BX, Inc., FOR FURTHER INFORMATION CONTACT: supporting financial workpapers. NASDAQ OMX PHLX LLC, The Nasdaq Elizabeth A. Reed, 202–268–3179. II. Notice of Commission Action Stock Market LLC, National Stock SUPPLEMENTARY INFORMATION: The Exchange, Inc., New York Stock The Commission establishes Docket United States Postal Service® hereby Nos. MC2015–33 and CP2015–43 to Exchange LLC, NYSE MKT LLC, and gives notice that, pursuant to 39 U.S.C. NYSE Arca, Inc. consider the Request pertaining to the 3642 and 3632(b)(3), on February 18, proposed Priority Mail Contract 113 2015, it filed with the Postal Regulatory February 19, 2015. product and the related contract, Commission a Request of the United I. Introduction respectively. States Postal Service to Add Priority The Commission invites comments on Mail Contract 113 to Competitive On , 2014, Financial whether the Postal Service’s filings in Product List. Documents are available at Industry Regulatory Authority, Inc. the captioned dockets are consistent www.prc.gov, Docket Nos. MC2015–33, (‘‘FINRA’’), on behalf of the following with the policies of 39 U.S.C. 3632, CP2015–43. parties to the National Market System Plan: BATS Exchange, Inc., BATS Y- 1 Request of the United States Postal Service to Stanley F. Mires, Exchange, Inc., Chicago Board Options Add Priority Mail Contract 113 to Competitive Attorney, Federal Requirements. Product List and Notice of Filing (Under Seal) of Exchange, Incorporated, Chicago Stock Unredacted Governors’ Decision, Contract, and [FR Doc. 2015–03804 Filed 2–24–15; 8:45 am] Exchange, Inc., EDGA Exchange, Inc., Supporting Data, February 18, 2015 (Request). BILLING CODE 7710–12–P EDGX Exchange, Inc., NASDAQ OMX

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BX, Inc., NASDAQ OMX PHLX LLC, the intended to reduce the negative impacts Supplemental Joint Assessment.14 The Nasdaq Stock Market LLC, National of sudden, unanticipated price Participants believe that the Stock Exchange, Inc., New York Stock movements in NMS Stocks, such as Supplemental Joint Assessment will Exchange LLC, NYSE MKT LLC, and those experienced on May 6, 2010, facilitate the development of unified NYSE Arca, Inc. (collectively with thereby protecting investors and recommendations, if and where FINRA, the ‘‘Participants’’), filed with promoting a fair and orderly market. appropriate, regarding operation of the the Securities and Exchange The initial date of Plan operations was Plan.15 The Participants also state that Commission (‘‘Commission’’) pursuant , 2013.8 they intend to make the Supplemental to Section 11A of the Securities Joint Assessment publicly available.16 III. Discussion and Commission Exchange Act of 1934 (‘‘Act’’) 1 and Rule Findings The Participants further believe that 608 thereunder,2 a proposal to amend extending the end date of the pilot the Plan to Address Extraordinary After careful review, the Commission period will: (i) Provide the Participants Market Volatility (‘‘Plan’’).3 The finds that the Eighth Amendment is with time to use the information proposal represents the eighth consistent with the requirements of the collected during the operation of the amendment to the Plan (‘‘Eighth Act and the rules and regulations Plan to perform further analysis and Amendment’’), and reflects proposed thereunder.9 Specifically, the recommend further amendments to the changes unanimously approved by the Commission finds that the Eighth Plan, as necessary; (ii) provide a Participants. The Eighth Amendment Amendment is consistent with Section reasonable period of time for the public was published for comment in the 11A of the Act 10 and Rule 608 to comment on the Supplemental Joint Federal Register on January 27, 2015.4 thereunder 11 in that it is appropriate in Assessment and recommendations; and The Commission has received no the public interest, for the protection of (iii) allow the Commission and the comment letters regarding the Eighth investors and the maintenance of fair public adequate time to review the Amendment. This order approves the and orderly markets, and that it removes Supplemental Joint Assessment and any Eighth Amendment to the Plan. impediments to, and perfects the recommendations provided by the mechanism of, a national market II. Description of the Proposal Participants, and to determine if any system. modifications to the Plan are A. Eighth Amendment to the Plan The Supplemental Joint Assessment appropriate.17 The Eighth Amendment includes two will evaluate the impact of the Plan The Commission believes that the proposed changes to the Plan. First, the using the measures set forth in Supplemental Joint Assessment and any 12 Participants propose to amend the Plan Appendix B of the Plan and provide resulting recommendations for to establish a requirement for the the Commission with an extensive modifications to the Plan from the Participants to submit a Supplemental cross-market data analysis using Participants, along with any public Joint Assessment to the Commission by methodology agreed upon by the comment in response thereto, will assist 13 May 29, 2015. Second, the Participants Participants. The Participants stated the Commission in assessing the propose to extend the end date of the that they intend to engage a third-party operation of the Plan and in considering pilot period of the Plan from February consultant to assist in conducting the any future determinations regarding the 20, 2015 to October 23, 2015. cross-market analysis and preparing the Plan. For the reasons noted above, the B. Background and Purpose of the Plan 8 See Securities Exchange Act Release No. 68953 (February 20, 2013), 78 FR 13113 (February 26, Commission finds that the Eighth The Plan, approved by the 2013). Amendment to the Plan is consistent 5 Commission in March 2012, establishes 9 In approving the Eighth Amendment, the with Section 11A of the Act 18 and Rule a market-wide limit up-limit down Commission has considered its impact on 608 thereunder.19 The Commission mechanism that is intended to address efficiency, competition, and capital formation. 15 reiterates its expectation that the extraordinary market volatility in ‘‘NMS U.S.C. 78c(f). 10 Participants will continue to monitor Stocks,’’ as defined in Rule 600(b)(47) of 15 U.S.C. 78k–1. 11 17 CFR 242.608. the scope and operation of the Plan and 6 Regulation NMS under the Act. The 12 Appendix B of the Plan requires the study the data produced, and will Plan sets forth limit up-limit down Participants to: (a) Assess the statistical and propose any modifications to the Plan requirements designed to prevent trades economic impact on liquidity of approaching Price that may be necessary or appropriate.20 from occurring outside specified Price Bands; (b) assess the statistical and economic 7 impact of the Price Bands on erroneous trades; (c) IV. Conclusion Bands. These limit up-limit down assess the statistical and economic impact of the requirements are coupled with Trading appropriateness of the Percentage Parameters used It is therefore ordered, pursuant to Pauses, as defined in the Plan, to for the Price Bands; (d) assess whether the Limit Section 11A of the Act 21 and Rule 608 accommodate more fundamental price State is the appropriate length to allow for liquidity 22 replenishment when a Limit State is reached thereunder, that the Eighth moves (as opposed to erroneous trades because of a temporary liquidity gap; (e) evaluate or momentary gaps in liquidity). The concerns from the options markets regarding the 14 See id. More recently, however, the limit up-limit down mechanism is statistical and economic impact of Limit States on Participants notified Commission staff that they liquidity and market quality in the options markets; have engaged a third-party consultant. Telephone (f) assess whether the process for entering a Limit 1 15 U.S.C. 78k–1. conversation between Chris Grobbel, Attorney- State should be adjusted and whether Straddle 2 17 CFR 242.608. Adviser, Commission, and Thushara Therrien, States are problematic; (g) assess whether the Director—Transparency Services, FINRA (February 3 See Letter from Christopher B. Stone, Vice process for exiting a Limit State should be adjusted; 3, 2015). President, FINRA, to Brent Fields, Secretary, and (h) assess whether the Trading Pauses are too 15 See Notice, supra, note 4 at 4323. Commission, dated December 24, 2014 long or short and whether the reopening procedures 16 See id. (‘‘Transmittal Letter’’). should be adjusted. 4 17 See id. See Securities Exchange Act Release No. 74110 These areas are intended to capture the key 18 (, 2015), 80 FR 4321 (‘‘Notice’’). measures necessary to assess the impact of the Plan 15 U.S.C. 78k–1. 5 See Securities Exchange Act Release No. 67091, and, if and where appropriate, to support 19 17 CFR 242.608. 77 FR 33498 (Jun. 6, 2012) (File No. 4–631). recommendations relating to the calibration of the 20 See Securities Exchange Act Release No. 67091 6 17 CFR 242.600(b)(47). See also Section I(H) of Percentage Parameters to help ensure that the stated (, 2012), 77 FR 33498 (, 2012). the Plan. objectives of the Plan are achieved. 21 15 U.S.C. 78k–1. 7 See Section V of the Plan. 13 See Notice, supra, note 4 at 4323. 22 17 CFR 242.608.

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Amendment to the Plan (File No. 4–631) SECURITIES AND EXCHANGE Background be, and it hereby is, approved. COMMISSION According to OCC, under OCC’s By- Brent J. Fields, Laws, the novation of confirmed trades [Release No. 34–74302; File No. SR–OCC– Secretary. (i.e., transactions in options, futures, or 2014–23] other ‘‘cleared contracts’’ effected [FR Doc. 2015–03875 Filed 2–24–15; 8:45 am] through an exchange and submitted to BILLING CODE 8011–01–P Self-Regulatory Organizations; the OCC for clearing) occurs at the Options Clearing Corporation; Order ‘‘commencement time’’ for such Approving Proposed Rule Change To transactions.6 The ‘‘commencement SECURITIES AND EXCHANGE Clarify That OCC Would not Treat a time’’ for most confirmed trades is when COMMISSION Futures Transaction That Is an daily position reports are made Exchange-for-Physical or Block Trade available to clearing members.7 Sunshine Act Meeting as a Non-Competitively Executed However, transactions in certain cleared Trade if the Exchange on Which Such Notice is hereby given, pursuant to products and certain types of Trade Is Executed Has Provided OCC transactions, including non- the provisions of the Government in the With Representations That it Has competitively executed EFPs and Block Sunshine Act, Public Law 94–409, that Policies or Procedures Requiring That Trades, have delayed commencement the Securities and Exchange Such Trades Be Executed at times that are tailored to address risks Commission will hold a Closed Meeting Reasonable Prices and That Such specific to such products or on Thursday, February 26, 2015 at 2:00 Price Is Validated by the Exchange transactions,8 including, but not limited p.m. February 19, 2015. to, those risks presented by off-market Commissioners, Counsel to the transactions. Commissioners, the Secretary to the On , 2014, the Options When OCC began clearing EFPs and Commission, and recording secretaries Clearing Corporation (‘‘OCC’’) filed with Block Trades, it established that the will attend the Closed Meeting. Certain the Securities and Exchange commencement time for such Commission (‘‘Commission’’) the staff members who have an interest in transactions is expressly conditioned proposed rule change File No. SR–OCC– the matters also may be present. upon the receipt by OCC of variation 2014–23 pursuant to Section 19(b)(1) of payments due from purchasing and The General Counsel of the the Securities Exchange Act of 1934 selling clearing members because EFPs 1 2 Commission, or her designee, has (‘‘Act’’) and Rule 19b–4 thereunder. and Block Trades could be executed certified that, in her opinion, one or The proposed rule change was away from the market and be executed more of the exemptions set forth in 5 published for comment in the Federal at other than market prices. These 3 U.S.C. 552b(c)(3), (5), (7), 9(B) and (10) Register on January 6, 2015. The factors were viewed as creating and 17 CFR 200.402(a)(3), (5), (7), 9(ii) Commission did not receive any heightened exposure to OCC if a and (10), permit consideration of the comments on the proposed rule change. clearing member defaults on a trade scheduled matter at the Closed Meeting. This order approves the proposed rule executed at an off-market price and, as Commissioner Stein, as duty officer, change. a result, Article XII, Section 7 of OCC’s voted to consider the items listed for the I. Description By-Laws establishes that the Closed Meeting in closed session, and commencement time for an EFP or determined that no earlier notice thereof OCC is modifying its By-Laws to add Block Trade is the time of the first was possible. an interpretation and policy to Section variation payment after the trade is 7 of Article XII of its By-Laws to clarify reported to OCC (typically 9:00 a.m. The subject matter of the Closed that OCC will not treat a futures Central Time the following business Meeting will be: transaction that is an exchange-for- day).9 OCC delays its novation of these Institution and settlement of physical (‘‘EFP’’) 4 or block trade in non-competitively executed futures injunctive actions; futures (‘‘Block Trade’’) 5 as a non- trades because OCC is bound to pay the Institution and settlement of competitively executed trade, and first variation settlement amount to the therefore subject to delayed novation, if administrative proceedings; and counterparty once novation has the exchange on which the EFP or Block occurred, and if the agreed-upon price Other matters relating to enforcement Trade is executed has provided OCC at which the trade is entered differs proceedings. with representations that it has rules, from the competitive market price, there At times, changes in Commission policies or procedures requiring that is an increased likelihood that OCC may priorities require alterations in the such trades be executed at reasonable scheduling of meeting items. prices and that such prices are validated 6 Cleared Contracts and Commencement Time are by the exchange. defined terms set forth in Article 1, Section 1 of For further information and to OCC’s By-Laws. ascertain what, if any, matters have been 7 See OCC’s By-Laws Article VI, Section 5. 1 15 U.S.C. 78s(b)(1). added, deleted or postponed, please According to OCC, in a practical sense, however, 2 17 CFR 240.19b–4. most trades are novated upon proper submission to contact the Office of the Secretary at 3 Securities Exchange Act Release No. OCC for clearing since OCC’s By-Laws, with limited (202) 551–5400. 73961(, 2014), 80 FR 568 (January 6, exception, do not permit OCC to reject any 2015) (SR–OCC–2014–23). confirmed trade due to the failure of the purchasing Dated: February 20, 2015. 4 According to OCC, an EFP is a transaction clearing member to pay any amount due to OCC at Brent J. Fields, between two parties in which a futures contract on or before the settlement time. See also Securities a commodity or security is exchanged for the actual Exchange Act Release No. 65990 (, Secretary. physical good. 2011), 76 FR 79731 (, 2011) (SR–OCC– [FR Doc. 2015–03947 Filed 2–23–15; 11:15 am] 5 According to OCC, a block trade is a trade 2011–17). 8 BILLING CODE 8011–01–P involving a large number of shares being traded at Id. an arranged price between parties, outside of the 9 See Securities Exchange Act Release No. 44727 open markets, in order to lessen the impact of such (, 2001), 66 FR 45351 (, 2001) a large trade being made public. (SR–OCC–2001–07).

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experience a loss if it is required to and settlement, and that such price is have to certify that its rules, policies or close out a defaulting purchaser’s validated by the exchange. procedures require one or both parties position. Accordingly, OCC does not OCC has determined that EFPs and to an EFP or Block Trade to report the novate, and thereby become a Block Trades that are subject to price trade details of the trade to the exchange counterparty to, a non-competitively reasonability checks do not present the within a reasonable period of time (i.e., executed trade if OCC fails to receive same settlement risks discussed above within 10 minutes of the time of the first variation payment when due. in relation to non-competitively execution or, if the EFP or Block Trade executed EFPs and Block Trades. is executed outside of regular trading EFP and Block Trades Subject to Price Specifically, should a clearing member hours, within 15 minutes of the Checks that executed a reasonably priced EFP commencement of trading on the next or Block Trades fail to pay its first business day). OCC believes that it is According to OCC, in the time since variation payment to OCC on the trade, appropriate to rely on price OCC adopted Article XII, Section 7 of its OCC anticipates it will liquidate the reasonableness checks performed by By-Laws, the Commodity Futures futures positions at the prevailing exchanges trading futures because they Trading Commission (‘‘CFTC’’) has market price and obtain sufficient are self-regulatory organizations subject adopted Regulation 1.73, which requires funds, or OCC will already have to regulatory oversight, including clearing futures commission merchants sufficient funds in its clearing fund, to routine examinations. Moreover, OCC (‘‘FCMs’’) to establish certain risk pay or reimburse itself for the first will presume that all EFPs and Block controls, including risk based limits for variation settlement to the counterparty Trades submitted by an exchange that bilaterally executed transactions and for to the trade. This is the same risk represents that it has price Block Trades.10 In light of this management methodology OCC reasonableness rules, policies or requirement and other proposed currently uses for other competitively procedures in place will submit to OCC regulatory developments that may affect executed trades in cleared contracts that EFPs and Block Trades that have EFPs and Block Trades,11 certain futures OCC accepts for clearance and undergone a price reasonableness check. exchanges requested that OCC review its settlement on a daily basis. In addition to exchanges By-Laws regarding delayed novation of Accordingly, OCC is amending Article implementing rules, policies or these trades to reassess the impact of the XII, Section 7, of its By-Laws by adding procedures regarding the price recently implemented rules, supported an interpretation and policy to exclude reasonableness checks for EFPs and by policies and procedures, which EFPs and Block Trades from the delayed Block Trades, exchanges may continue require the exchanges’ market novation and to provide for the to use their existing authority to notify participants to execute s EFPs and Block treatment of these trades as OCC pursuant to Article VI, Section 7(c) Trades at reasonable prices that are competitively executed trades, provided of OCC’s By-Laws, to disregard any EFP verified by the exchange. These rules, that the s EFPs and Block Trades are or Block Trade submitted to OCC that policies and procedures leverage risk reported by an exchange that represents was executed at an unreasonable price. controls implemented by FCMs, as to OCC that it performs a price The notification will be delivered to applicable. OCC undertook such a reasonableness check on the trade, and OCC along with other trades ‘‘busted’’ review of its practices with respect to that such price is validated by the by an exchange, in accordance with an delayed novation of EFPs and Block exchange. operational process that currently occurs every day before daily position Trades, and determined that it is Verification of Exchange Rules, Policies appropriate to novate these trades when reports are distributed. Such trades and Procedures Related to Price could not be properly cleared under daily position reports are made Reasonableness available, provided that the exchange amended Article XII, Section 7, but that submitted such trades to OCC Before permitting an exchange to instead would fall within the non- represents to OCC that the exchange has submit EFPs and Block Trades that will competitively executed category and in place rules, policies and procedures not be subject to delayed novation, OCC therefore be subject to delayed novation. will require an exchange to provide to verify the reasonableness of the Taken together, OCC believes that these OCC with a certification that the measures appropriately protect OCC in transaction price of EFPs and Block exchange has rules, policies or the event OCC receives a EFP or Block Trades it submits to OCC for clearance procedures as they relate to verifying Trade at an unreasonable price. the reasonableness of the price of the Moreover, OCC and the exchanges will 10 See 17 CFR 1.73. According to OCC, Regulation EFP and Block Trade. Specifically, OCC 1.73 requires FCMs to: (1) Establish risk-based continue to maintain an ongoing limits in the proprietary account and in each will require an exchange to certify that dialogue about operational matters, customer account based on position size, order size, its rules, policies or procedures provide which OCC will use to confirm the margin requirements, or similar factors; (2) screen that the price at which a EFP or Block continued application of price orders for compliance with the risk-based limits; Trade is executed must be fair and and (3) monitor for adherence to the risk based reasonableness controls. reasonable in light of: (i) The size of the limits intra-day and overnight. II. Discussion and Commission 11 EFP or Block Trade; (ii) the prices and According to OCC, the CFTC has proposed Findings regulations requiring Designated Contract Markets sizes of other transactions in the same (i.e., futures exchanges) to determine whether or not contract at the relevant time; and (iii) Section 19(b)(2)(C) of the Act 13 the price of a block trade is fair and reasonable directs the Commission to approve a considering: (1) The size of the block trade, (2) the the prices and sizes of transactions in price and size of other block trades in any relevant other relevant markets, including, proposed rule change of a self- markets at the applicable time, and (3) the without limitation, the underlying cash regulatory organization if it finds that circumstances of the market or the parties to the market or related futures markets, at the the proposed rule change is consistent block trade. See proposed CFTC Regulation 38.503. 12 with the requirements of the Act and the 75 FR 80572, 80592. See also proposed Appendix relevant time. An exchange will also B of part 38 of the CFTC’s proposed regulations concerning Core Principle 9. 75 FR 80572, 80630. 12 For example, according to OCC, OneChicago that will automatically verify that EFPs and Block The CFTC has also proposed to adopt similar LLC (‘‘OCX’’) Rule 417 governs EFP and Block Trades were executed at competitive prices by price regulations concerning EFP trades. See proposed Trades executed on OCX and provides that such verification software for price reasonableness. CFTC Regulation 38.505. 75 FR 80572, 80593. trades be executed on a designated trading platform 13 15 U.S.C. 78s(b)(2)(C).

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rules and regulations thereunder consistent with the requirements of the II. Self-Regulatory Organization’s applicable to such organization. Act and in particular with the Statement of the Purpose of, and The Commission finds that the requirements of Section 17A of the Statutory Basis for, the Proposed Rule proposed rule change is consistent with Act 15 and the rules and regulations Change 14 Section 17A(b)(3)(F) of the Act which thereunder. In its filing with the Commission, the requires the rules of a clearing agency It is therefore ordered, pursuant to Exchange included statements to, among other things, assure the Section 19(b)(2) of the Act,16 that the concerning the purpose of and basis for safeguarding of securities and funds proposed rule change File No. SR–OCC– the proposed rule change and discussed which are in the custody or control of 2014–23 be, and it hereby is, approved. any comments it received on the the clearing agency or for which it is proposed rule change. The text of these responsible. OCC is amending Article For the Commission, by the Division of statements may be examined at the XII, Section 7, to include a new policy Trading and Markets, pursuant to delegated places specified in Item IV below. The authority.17 and interpretation setting forth the Exchange has prepared summaries, set specific criteria a futures exchange must Brent J. Fields, forth in sections A, B, and C below, of meet in order for EFPs and Block Trades Secretary. the most significant aspects of such to not be subject to the delayed novation [FR Doc. 2015–03811 Filed 2–24–15; 8:45 am] statements. times set forth in Article XII of OCC’s By-Laws. Specifically the exchange BILLING CODE 8011–01–P A. Self-Regulatory Organization’s must provide OCC with a certification Statement of the Purpose of, and that the exchange has rules, policies or Statutory Basis for, the Proposed Rule SECURITIES AND EXCHANGE procedures as they relate to verifying Change COMMISSION the reasonableness of the price of the 1. Purpose EFP and Block Trade. OCC’s proposal, as approved, does not affect the [Release No. 34–74301; File No. SR–MIAX– The Exchange proposes to amend novation time for any securities 2015–10] Exchange Rule 404, Interpretations and transactions. Policies .02, to extend current $0.50 OCC has determined that EFPs and Self-Regulatory Organizations; Miami strike price intervals in non-index Block Trades that are subject to price International Securities Exchange LLC; options to short term options with strike reasonability checks do not present the Notice of Filing and Immediate prices less than $100. This is a same settlement risks as those executed Effectiveness of a Proposed Rule competitive filing that is based on on exchanges without price Change To Amend Exchange Rule 404 proposals recently submitted by the reasonability checks, and as such has International Securities Exchange, LLC February 19, 2015. determined that OCC’s requirement that (‘‘ISE’’) and BOX Options Exchange LLC exchanges certify price reasonableness Pursuant to the provisions of Section (‘‘BOX’’).3 policies and procedures are sufficiently 19(b)(1) of the Securities Exchange Act The Exchange proposes to amend its appropriate to mitigate the risks of 1934 (‘‘Act’’) 1 and Rule 19b–4 rules governing the Short Term Option associated with non-competitively thereunder,2 notice is hereby given that, Series Program to introduce finer strike executed trades. In addition, in the on February 9, 2015, Miami price intervals for certain Short Term event a clearing member fails to its first International Securities Exchange LLC Option Series. In particular, the variation payment to OCC on an EFP or (‘‘MIAX’’ or ‘‘Exchange’’) filed with the Exchange proposes to amend Rule 404, Block Trade that was executed on an Securities and Exchange Commission Interpretations and Policies .02(e), to exchange with price reasonability (‘‘Commission’’) a proposed rule change extend $0.50 strike price intervals in checks, OCC will employ the same risk as described in Items I and II below, non-index options to Short Term management methodology used for all which Items have been prepared by the Options Series with strike prices less other competitively executed trades Exchange. The Commission is than $100 instead of the current $75. accept for clearing at OCC, which publishing this notice to solicit This proposed change is intended to should in turn reduce settlement risks comments on the proposed rule change eliminate gapped strikes between $75 that could expose OCC to loss if it is from interested persons. and $100 that result from conflicting required to close out a defaulting strike price parameters under the Short purchaser’s EFP or Block Trade I. Self-Regulatory Organization’s Term Option Series and $2.50 Strike position. Combining OCC’s price Statement of the Terms of Substance of Price Programs as described in more reasonableness requirements for the Proposed Rule Change detail below. exchanges and OCC’s ability to liquidate Under the Exchange’s rules, the The Exchange is filing a proposal to Exchange may list Short Term Option futures positions or use its clearing fund amend Exchange Rule 404. to management risks associated with Series in up to fifty option classes in non-payment of premiums for those The text of the proposed rule change addition to option classes that are trades accepted for clearance and is available on the Exchange’s Web site selected by other securities exchanges settlement, OCC should have sufficient at http://www.miaxoptions.com/filter/ that employ a similar program under _ 4 risk management controls in place in to wotitle/rule filing, at MIAX’s principal their respective rules. On any Thursday assure the safeguarding of securities and office, and at the Commission’s Public or Friday that is a business day, the funds which are in the custody of Reference Room. Exchange may list Short Term Option control of OCC or for which it is Series in designated option classes that responsible. 15 In approving this proposed rule change, the expire at the close of business on each Commission has considered the proposed rule’s III. Conclusion impact on efficiency, competition, and capital 3 See Securities Exchange Act Release Nos. 73999 formation. See 15 U.S.C. 78c(f). (January 6, 2015), 80 FR 1559 (, 2015) On the basis of the foregoing, the 16 15 U.S.C. 78s(b)(2). (SR–ISE–2014–52); 74016 (January 8, 2015), 80 FR Commission finds that the proposal is 17 17 CFR 200.30–3(a)(12). 1976 (, 2015) (SR–BOX–2015–01). 1 15 U.S.C. 78s(b)(1). 4 See Exchange Rule 404, Interpretations and 14 15 U.S.C. 78q–1(b)(3)(F). 2 17 CFR 240.19b–4. Policies .02(a).

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of the next five Fridays that are business expiration option; (2) $1intervals for issues as strikes allowed under the days and are not Fridays in which strike prices that are between $100 and $2.50 Strike Price Program would not monthly or quarterly options expire.5 $150; and (3) $2.50 or greater intervals conflict with the finer $0.50 strike price These Short Term Option Series trade in for strike prices above $150. interval. $0.50, $1, or $2.50 strike price intervals 2. Statutory Basis The Short Term Option Series depending on the strike price and Program has been well-received by whether the option trades in dollar MIAX believes that its proposed rule increments in the related monthly change is consistent with Section 6(b) of market participants and the Exchange expiration.6 Specifically, short term the Act 9 in general, and furthers the believes that introducing finer strike options in non-index option classes objectives of Section 6(b)(5) of the Act 10 price intervals for Short Term Options admitted to the Short Term Options in particular, in that it is designed to Series with strike prices between $75 Series Program currently trade in: (1) prevent fraudulent and manipulative and $100, and thereby eliminating the $0.50 or greater strike price intervals acts and practices, to promote just and gapped strikes described above, will where the strike price is less than $75, equitable principles of trade, to foster benefit these market participants by and $1 or greater where the strike price cooperation and coordination with giving them more flexibility to closely is between $75 and $150 for all classes persons engaged in facilitating tailor their investment and hedging that participate in the Short Term transactions in securities, to remove decisions. impediments to and perfect the Option Series Program; (ii) $0.50 strike With regard to the impact of this mechanisms of a free and open market price intervals for classes that trade in proposal on system capacity, the one dollar increments in non-Short and a national market system and, in Exchange has analyzed its capacity and Term Options and that participate in the general, to protect investors and the represents that it and the Options Price Short Term Option Series Program; or public interest. (iii) $2.50 or higher strike price intervals During the month prior to expiration, Reporting Authority (‘‘OPRA’’) have the where the strike price is above $150. the Exchange is permitted to list related necessary systems capacity to handle The Exchange also operates a $2.50 monthly option contracts in the any potential additional traffic Strike Price Program that permits the narrower strike price intervals available associated with this proposed rule Exchange to select up to sixty options for Short Term Options Series.11 After change. The Exchange believes that its classes on individual stocks to trade in transitioning to short term strike price members will not have a capacity issue $2.50 strike price intervals, in addition intervals, however, monthly options as a result of this proposal. The to option classes selected by other that trade in $2.50 intervals between Exchange also represents that it does not securities exchanges that employ a $50 and $100 under the $2.50 Strike believe this expansion will cause similar program under their respective Price Program, trade with dollar strikes fragmentation of liquidity. rules.7 Monthly expiration options in between $75 and $150. Due to the classes admitted to the $2.50 Strike overlap of $1 and $2.50 intervals, the B. Self-Regulatory Organization’s Price Program trade in $2.50 intervals Exchange cannot list certain dollar Statement on Burden on Competition where the strike price is (1) greater than strikes between $75 and $100 that The Exchange does not believe that $25 but less than $50; or (2) between conflict with the prior $2.50 strikes. For the proposed rule change will impose $50 and $100 if the strikes are no more example, if the Exchange initially listed any burden on competition that is not than $10 from the closing price of the monthly options on ABC with $75, necessary or appropriate in furtherance underlying stock in its primary market $77.50, and $80 strikes, the Exchange of the purposes of the Act. In this regard on the preceding day.8 These strike could list the $76 and $79 strikes when and as indicated above, the Exchange price parameters conflict with strike these transition to short term intervals. notes that the rule change is being prices allowed for short term options The Exchange would not be permitted because dollar strikes between $75 and to list the $77 and $78 strikes, however, proposed as a competitive response to 12 $100 that are otherwise allowed under as these are $0.50 away from the $77.50 filings submitted by ISE and BOX. To the Short Term Option Series Program strike already listed on the Exchange. the contrary, the Exchange believes that may be within $0.50 of strikes listed This creates gapped strikes between $75 the proposed rule change will result in pursuant to the $2.50 Strike Price and $100, where investors are not able additional investment options and Program. In order to remedy this to trade otherwise allowable dollar opportunities to achieve the investment conflict, the Exchange proposes to strikes on the Exchange. Similarly, these objectives of market participants seeking extend the $0.50 or greater strike price conflicting strike price parameters efficient trading and hedging vehicles, intervals currently allowed for Short create issues for investors who want to to the benefit of investors, market Term Options Series with strike prices roll their positions from monthly to participants, and the marketplace in less than $75 to Short Term Options weekly expirations. In the example general. Additionally, the Exchange Series with strike prices less than $100. above, for instance, an investor that believes that the proposed rule change With this proposed change, Short Term purchased a monthly ABC option with is necessary to permit fair competition Options Series in non-index option a $77.50 strike price would not be able among the options exchanges with classes will trade in: (1) $0.50 or greater to roll that position into a later short respect to Short Term Option Series intervals for strike prices less than $100, term expiration with the same strike Programs. or for option classes that trade in one price as that strike is unavailable under dollar increments in the related monthly current Short Term Option Series C. Self-Regulatory Organization’s Program rules. Permitting $0.50 Statement on Comments on the 5 See Exchange Rule 404, Interpretations and intervals for Short Term Options Series Proposed Rule Change Received From Policies .02. Members, Participants, or Others 6 See Exchange Rule 404, Interpretations and up to $100 would remedy both of these Policies .02(e). Written comments were neither 7 9 15 U.S.C. 78f(b). See Exchange Rule 404(f). solicited nor received. 8 Id. The term ‘‘primary market’’ means the 10 15 U.S.C. 78f(b)(5). principal market in which an underlying security 11 See Exchange Rule 404, Interpretations and is traded. See Exchange Rule 100. Policies .02(e). 12 Id. [sic].

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III. Date of Effectiveness of the Comments may be submitted by any of SECURITIES AND EXCHANGE Proposed Rule Change and Timing for the following methods: COMMISSION Commission Action Electronic Comments Because the proposed rule change [Release No. 34–74311; File No. SR– does not (i) significantly affect the • Use the Commission’s Internet ISEGemini–2015–05] protection of investors or the public comment form (http://www.sec.gov/ interest; (ii) impose any significant rules/sro.shtml); or Self-Regulatory Organizations; ISE burden on competition; and (iii) become Gemini, LLC; Notice of Filing and • Send an email to rule-comments@ operative for 30 days from the date on Immediate Effectiveness of Proposed sec.gov. Please include File Number SR– which it was filed, or such shorter time Rule Change to Extend the Limit Up- MIAX–2015–10 on the subject line. as the Commission may designate, the Limit Down Obvious Error Pilot proposed rule change has become Paper Comments effective pursuant to Section 19(b)(3)(A) February 19, 2015. 13 • of the Act and Rule 19b–4(f)(6) Send paper comments in triplicate Pursuant to Section 19(b)(1) of the 14 thereunder. to Secretary, Securities and Exchange Securities Exchange Act of 1934 (the The Exchange has asked the Commission, 100 F Street NE., ‘‘Act’’),1 and Rule 19b–4 thereunder,2 Commission to waive the 30-day Washington, DC 20549–1090. notice is hereby given that on February operative delay so that the proposal may All submissions should refer to File become operative immediately upon 19, 2015, ISE Gemini, LLC (the Number SR–MIAX–2015–10. This file filing. The Exchange stated that waiver ‘‘Exchange’’ or ‘‘ISE Gemini’’) filed with of this requirement will allow the number should be included on the the Securities and Exchange Exchange to compete with other subject line if email is used. To help the Commission (‘‘Commission’’) the exchanges with similar provisions Commission process and review your proposed rule change as described in without putting the Exchange at a comments more efficiently, please use Items I and II below, which Items have competitive disadvantage. For this only one method. The Commission will been prepared by the self-regulatory reason, the Commission believes that post all comments on the Commission’s organization. The Commission is the proposed rule change presents no Internet Web site (http://www.sec.gov/ publishing this notice to solicit novel issues and that waiver of the 30- rules/sro.shtml). Copies of the comments on the proposed rule change day operative delay is consistent with submission, all subsequent from interested persons. the protection of investors and the amendments, all written statements public interest; and will allow the with respect to the proposed rule I. Self-Regulatory Organization’s Exchange to remain competitive with change that are filed with the Statement of the Terms of the Substance other exchanges. Therefore, the Commission, and all written of the Proposed Rule Change Commission designates the proposed communications relating to the ISE Gemini proposes to extend a pilot rule change to be operative upon proposed rule change between the filing.15 program under Rule 703A(d) that Commission and any person, other than suspends Rule 720 regarding obvious At any time within 60 days of the those that may be withheld from the filing of the proposed rule change, the errors during Limit and Straddle States public in accordance with the Commission summarily may in securities that underlie options provisions of 5 U.S.C. 552, will be temporarily suspend such rule change if traded on the Exchange. The text of the it appears to the Commission that such available for Web site viewing and proposed rule change is available on the action is necessary or appropriate in the printing in the Commission’s Public Exchange’s Internet Web site at http:// public interest, for the protection of Reference Room, 100 F Street NE., www.ise.com, at the principal office of investors, or otherwise in furtherance of Washington, DC 20549, on official the Exchange, and at the Commission’s the purposes of the Act. If the business days between the hours of Public Reference Room. Commission takes such action, the 10:00 a.m. and 3:00 p.m. Copies of the Commission shall institute proceedings filing also will be available for II. Self-Regulatory Organization’s to determine whether the proposed rule inspection and copying at the principal Statement of the Purpose of, and should be approved or disapproved. office of the Exchange. All comments Statutory Basis for, the Proposed Rule received will be posted without change; Change IV. Solicitation of Comments the Commission does not edit personal In its filing with the Commission, the Interested persons are invited to identifying information from Exchange included statements submit written data, views and submissions. You should submit only concerning the purpose of, and basis for, arguments concerning the foregoing, information that you wish to make the proposed rule change and discussed including whether the proposed rule available publicly. All submissions any comments it received on the change is consistent with the Act. should refer to File Number SR–MIAX– proposed rule change. The text of these 2015–10 and should be submitted on or 13 15 U.S.C. 78s(b)(3)(A). statements may be examined at the before March 18, 2015. 14 17 CFR 240.19b–4(f)(6). As required under Rule places specified in Item IV below. The 19b–4(f)(6)(iii), the Exchange provided the For the Commission, by the Division of self-regulatory organization has Commission with written notice of its intent to file Trading and Markets, pursuant to delegated the proposed rule change, along with a brief prepared summaries, set forth in 16 description and the text of the proposed rule authority. Sections A, B and C below, of the most change, at least five business days prior to the date Brent J. Fields, significant aspects of such statements. of filing of the proposed rule change, or such shorter time as designated by the Commission. Secretary. 15 For purposes only of waiving the 30-day [FR Doc. 2015–03810 Filed 2–24–15; 8:45 am] operative delay, the Commission has also BILLING CODE 8011–01–P considered the proposed rule’s impact on efficiency, competition, and capital formation. See 1 15 U.S.C. 78s(b)(1). 15 U.S.C. 78c(f). 16 17 CFR 200.30–3(a)(12). 2 17 CFR 240.19b–4.

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A. Self-Regulatory Organization’s consequences in the options markets it is designed to promote just and Statement of the Purpose of, and during a Limit or Straddle State. Thus, equitable principles of trade, remove Statutory Basis for, the Proposed Rule the Exchange believes that the impediments to and perfect the Change protections of current rule should mechanisms of a free and open market continue while the industry gains and a national market system and, in 1. Purpose further experience operating the Plan. general, to protect investors and the Rule 703A(d), which was adopted as In connection with this proposed public interest. Additionally, the part of the Exchange’s Form 1 extension, each month the Exchange Exchange believes the proposed rule application for registration as a national shall provide to the Commission, and change is consistent with the Section securities exchange,3 is designed to the public, a dataset containing the data 6(b)(5) 10 requirement that the rules of address certain issues related to the Plan for each Straddle and Limit State in an exchange not be designed to permit to Address Extraordinary Market optionable stocks that had at least one unfair discrimination between Volatility Pursuant to Rule 608 of trade on the Exchange. For each trade customers, issuers, brokers, or dealers. Regulation NMS under the Act (the on the Exchange, the Exchange will In particular, the Exchange further ‘‘Limit Up-Limit Down Plan’’ or the provide (a) the stock symbol, option believes that it is necessary and ‘‘Plan’’).4 Specifically, pursuant to a symbol, time at the start of the Straddle appropriate in the interest of promoting pilot program adopted under Rule or Limit State, an indicator for whether fair and orderly markets to exclude 703A(d), the Exchange excludes it is a Straddle or Limit State, and (b) transactions executed during a Limit or transactions executed during a Limit for the trades on the Exchange, the Straddle State from certain aspects of State 5 or Straddle State 6 from the executed volume, time-weighted quoted Rule 720. The Exchange believes the obvious error provisions of Rule 720. bid-ask spread, time-weighted average application of the current rule will be The purpose of this filing is to extend quoted depth at the bid, time-weighted impracticable given the lack of a reliable the effectiveness of the pilot program to average quoted depth at the offer, high national best bid or offer in the options coincide with the proposed extension of execution price, low execution price, market during Limit and Straddle the Limit Up-Limit Down Plan to number of trades for which a request for States, and that the resulting actions October 23, 2015.7 review for error was received during (i.e., nullified trades or adjusted prices) The Exchange believes the benefits to Straddle and Limit States, an indicator may not be appropriate given market market participants from this provision variable for whether those options conditions. Extension of this pilot should continue on a pilot basis. The outlined above have a price change would ensure that limit orders that are Exchange continues to believe that exceeding 30% during the underlying filled during a Limit or Straddle State adding certainty to the execution of stock’s Limit or Straddle State compared would have certainty of execution in a orders in Limit or Straddle States will to the last available option price as manner that promotes just and equitable encourage market participants to reported by OPRA before the start of the principles of trade, removes continue to provide liquidity to the Limit or Straddle State (1 if observe impediments to, and perfects the Exchange, and, thus, promote a fair and 30% and 0 otherwise), and another mechanism of a free and open market orderly market during these periods. indicator variable for whether the and a national market system. Thus, the Barring this provision, the obvious error option price within five minutes of the Exchange believes that the protections provisions of Rule 720 would likely underlying stock leaving the Limit or of the pilot should continue while the apply in many instances during Limit Straddle State (or halt if applicable) is industry gains further experience and Straddle States. The Exchange 30% away from the price before the start operating the Plan. believes that continuing the pilot will of the Limit or Straddle State. protect against any unanticipated In addition, the Exchange will B. Self-Regulatory Organization’s provide to the Commission, and the Statement on Burden on Competition 3 The Securities and Exchange Commission public, no later than May 29, 2015, The Exchange does not believe that granted the Exchange’s application for registration the proposed rule change will impose as a national securities exchange on , 2013. assessments relating to the impact of the See Securities Exchange Act Release No. Release operation of the obvious error rules any burden on competition that is not No. 70050 (July 26, 2013), 78 FR 46622 (Aug. 1, during Limit and Straddle States necessary or appropriate in furtherance 2013). including: (1) An evaluation of the of the purposes of the Act. Specifically, 4 See Securities Exchange Act Release No. 67091 the Exchange believes that, by extending (May 31, 2012), 77 FR 33498 (June 6, 2012) (the statistical and economic impact of Limit ‘‘Limit Up-Limit Down Release’’). and Straddle States on liquidity and the expiration of the pilot, the proposed 5 The term ‘‘Limit State’’ means the condition market quality in the options markets, rule change will allow for further when the national best bid or national best offer for and (2) an assessment of whether the analysis of the pilot and a determination an underlying security equals an applicable price lack of obvious error rules in effect of how the pilot shall be structured in band, as determined by the primary listing exchange for the underlying security. See Rule during the Straddle and Limit States are the future. In doing so, the proposed 703A. problematic. rule change will also serve to promote 6 The term ‘‘Straddle State’’ means the condition regulatory clarity and consistency, when the national best bid or national best offer for 2. Statutory Basis thereby reducing burdens on the an underlying security is non-executable, as The Exchange believes that its determined by the primary listing exchange for the marketplace and facilitating investor underlying security, but the security is not in a proposal is consistent with the protection. Limit State. See Rule 703A. requirements of the Act and the rules C. Self-Regulatory Organization’s 7 See Exchange Act Release No. 74110 (January and regulations thereunder that are 21, 2015), 80 FR 4321 (January 27, 2015) (Eighth applicable to a national securities Statement on Comments on the Amendment to the Limit-Up Limit-Down Plan). The exchange, and, in particular, with the Proposed Rule Change Received From Exchange notes that the current text of Rule 703A Members, Participants, or Others mistakenly states a pilot period end date of April requirements of Section 6(b) of the Act.8 8, 2014, which was the prior end date selected by In particular, the proposal is consistent The Exchange has not solicited, and the options exchanges for this industry wide with Section 6(b)(5) of the Act,9 because does not intend to solicit, comments on initiative. The Exchange has maintained compliance with Rule 703A, including by this proposed rule change. The submitting applicable pilot reports subsequent to 8 15 U.S.C. 78f(b). this date. 9 15 U.S.C. 78f(b)(5). 10 Id.

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Exchange has not received any arguments concerning the foregoing, SECURITIES AND EXCHANGE unsolicited written comments from including whether the proposed rule COMMISSION members or other interested parties. change is consistent with the Act. Comments may be submitted by any of III. Date of Effectiveness of the [Release No. 34–74306; File No. SR–BOX– the following methods: Proposed Rule Change and Timing for 2015–13] Commission Action Electronic Comments Self-Regulatory Organizations; BOX Because the proposed rule change • Use the Commission’s Internet Options Exchange LLC; Notice of does not (i) significantly affect the comment form (http://www.sec.gov/ Filing and Immediate Effectiveness of protection of investors or the public rules/sro.shtml); or a Proposed Rule Change To Extend interest; (ii) impose any significant • Send an email to rule- the Pilot Program That Suspends burden on competition; and (iii) become [email protected]. Please include File Certain Obvious Error Provisions operative for 30 days from the date on Number SR–ISEGemini–2015–05 on the During Limit Up-Limit Down States in which it was filed, or such shorter time subject line. Securities That Underlie Options as the Commission may designate if Paper Comments Traded on the Exchange consistent with the protection of investors and the public interest, the • Send paper comments in triplicate February 19, 2015. proposed rule change has become to Brent J. Fields, Secretary, Securities Pursuant to Section 19(b)(1) of the effective pursuant to Section 19(b)(3)(A) and Exchange Commission, 100 F Street Securities Exchange Act of 1934 (the of the Act 11 and Rule 19b–4(f)(6)(iii) NE., Washington, DC 20549–1090. ‘‘Act’’),1 and Rule 19b–4 thereunder,2 thereunder.12 All submissions should refer to File notice is hereby given that on February The Exchange has asked the Number SR–ISEGemini–2015–05. This 18, 2015, BOX Options Exchange LLC Commission to waive the 30-day file number should be included on the (the ‘‘Exchange’’) filed with the operative delay so that the proposal may subject line if email is used. To help the Securities and Exchange Commission become operative immediately upon Commission process and review your (‘‘Commission’’) the proposed rule filing. The Commission believes that comments more efficiently, please use change as described in Items I and II waiving the 30-day operative delay is only one method. The Commission will below, which Items have been prepared consistent with the protection of post all comments on the Commission’s by the self-regulatory organization. The investors and the public interest, as it Internet Web site (http://www.sec.gov/ Commission is publishing this notice to will allow the obvious error pilot rules/sro.shtml). Copies of the solicit comments on the proposed rule program to continue uninterrupted submission, all subsequent change from interested persons. while the industry gains further amendments, all written statements experience operating under the Plan, with respect to the proposed rule I. Self-Regulatory Organization’s and avoid any investor confusion that change that are filed with the Statement of the Terms of the Substance could result from a temporary Commission, and all written of the Proposed Rule Change interruption in the pilot program. For communications relating to the The Exchange proposes to amend this reason, the Commission designates proposed rule change between the Interpretive Material 1 to Rule 7080 to the proposed rule change to be operative Commission and any person, other than extend, through October 23, 2015, the upon filing.13 those that may be withheld from the pilot program that suspends certain At any time within 60 days of the public in accordance with the obvious error provisions during limit filing of the proposed rule change, the provisions of 5 U.S.C. 552, will be up-limit down states in securities that Commission summarily may available for Web site viewing and underlie options traded on the temporarily suspend such rule change if printing in the Commission’s Public Exchange. The text of the proposed rule it appears to the Commission that such Reference Room, 100 F Street NE., change is available from the principal action is necessary or appropriate in the Washington, DC 20549 on official office of the Exchange, at the public interest, for the protection of business days between the hours of Commission’s Public Reference Room investors, or otherwise in furtherance of 10:00 a.m. and 3:00 p.m. Copies of such and also on the Exchange’s Internet Web the purposes of the Act. If the filing also will be available for site at http://boxexchange.com. Commission takes such action, the inspection and copying at the principal Commission shall institute proceedings office of the Exchange. All comments II. Self-Regulatory Organization’s to determine whether the proposed rule received will be posted without change; Statement of the Purpose of, and should be approved or disapproved. the Commission does not edit personal Statutory Basis for, the Proposed Rule identifying information from Change IV. Solicitation of Comments submissions. You should submit only In its filing with the Commission, the Interested persons are invited to information that you wish to make self-regulatory organization included submit written data, views, and available publicly. All submissions statements concerning the purpose of, should refer to File Number SR– and basis for, the proposed rule change 11 15 U.S.C. 78s(b)(3)(A). ISEGemini–2015–05, and should be 12 and discussed any comments it received 17 CFR 240.19b–4(f)(6)(iii). As required under submitted on or before March 18, 2015. Rule 19b–4(f)(6)(iii), the Exchange provided the on the proposed rule change. The text Commission with written notice of its intent to file For the Commission, by the Division of of these statements may be examined at the proposed rule change, along with a brief Trading and Markets, pursuant to delegated the places specified in Item IV below. description and the text of the proposed rule authority.14 change, at least five business days prior to the date The self-regulatory organization has of filing of the proposed rule change, or such Brent J. Fields, prepared summaries, set forth in shorter time as designated by the Commission. Secretary. Sections A, B, and C below, of the most 13 For purposes only of waiving the 30-day [FR Doc. 2015–03822 Filed 2–24–15; 8:45 am] significant aspects of such statements. operative delay, the Commission has also considered the proposed rule’s impact on BILLING CODE 8011–01–P efficiency, competition, and capital formation. See 1 15 U.S.C. 78s(b)(1). 15 U.S.C. 78c(f). 14 17 CFR 200.30–3(a)(12). 2 17 CFR 240.19b–4.

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A. Self-Regulatory Organization’s Straddle States. The Exchange also continues to be necessary and Statement of the Purpose of, and agrees to provide to the Commission appropriate in the interest of promoting Statutory Basis for, the Proposed Rule data requested to evaluate the impact of fair and orderly markets to exclude Change the elimination of the obvious error transactions executed during a Limit rule, including data relevant to State or Straddle State from the 1. Purpose assessing the various analyses noted provision of BOX Rule 7170. The Exchange proposes to extend above. Specifically the Exchange believes the through October 23, 2015 the pilot that Specifically, the Exchange agrees to application of the current rule will be permits the Exchange to suspend certain provide the following data to the impracticable given the lack of a reliable provisions in BOX Rule 7170 (Obvious Commission and the public to help national best bid or offer in the options and Catastrophic Errors) during limit evaluate the impact of the Pilot. By May market during Limit States and Straddle up-limit down states in securities that 29, 2015 the Exchange shall provide an States, and that the resulting actions underlie options traded on the Exchange assessment relating to the impact of the (i.e., busted trades or adjusted prices) (‘‘Pilot’’). The Pilot is currently Plan and calibration of the Percentage may not be appropriate given market scheduled to expire on February 20, Parameters. On a monthly basis, the conditions. 2015. Exchange shall provide both the The Pilot allows the Exchange to Commission and public a dataset B. Self-Regulatory Organization’s exclude transactions executed during a containing the data for each Straddle Statement on Burden on Competition Limit State or Straddle State from and Limit State in optionable stocks.3 Because the proposed rule change provisions in BOX Rule 7170. This does does not impose any new or additional not include Rule 7170(e) and (f), which 2. Statutory Basis burden on BOX Options Participants, specify when a trade resulting from an The Exchange believes that the and only extends the current Pilot, the erroneous print or quote in the proposal is consistent with the Exchange does not believe that the underlying security may be adjusted or requirements of Section 6(b) of the Act,4 proposed rule change will impose any busted. in general, and Section 6(b)(5) of the burden on competition not necessary or The remaining provisions in BOX Act,5 in particular, in that it is designed appropriate in furtherance of the Rule 7170 provide a process by which to foster cooperation and coordination purposes of the Act. a transaction may be busted or adjusted with persons engaged in regulating, when the execution price of a clearing, settling, processing C. Self-Regulatory Organization’s transaction deviates from the option’s information with respect to, and Statement on Comments on the theoretical price by a certain amount. facilitating transactions in securities, to Proposed Rule Change Received From Under these provisions, the theoretical remove impediments to and perfect the Members, Participants, or Others price is the national best bid price for mechanism for a free and open market The Exchange has neither solicited the option with respect to a sell order and a national market system and, in nor received comments on the proposed and the national best offer for the option general, to protect investors and the rule change. with respect to a buy order. During a public interest. In particular, the III. Date of Effectiveness of the Limit State or Straddle State, options proposed extension will allow the Pilot Proposed Rule Change and Timing for prices may deviate substantially from to remain in effect until the end of the Commission Action those available prior to or following the pilot period of the Plan to Address limit state. Consequently, the Exchange Extraordinary Market Volatility Because the proposed rule change believed that these provisions would be (‘‘Plan’’).6 The Exchange believes that it does not (i) significantly affect the impracticable given the lack of a reliable protection of investors or the public national best bid or offer in the options 3 The dataset will include the options for each interest; (ii) impose any significant market during Limit States and Straddle underlying security that reaches a limit or straddle burden on competition; and (iii) become States, and could produce undesirable state and has at least one (1) trade on the Exchange operative for 30 days from the date on during the straddle or limit state. For each of those which it was filed, or such shorter time effects. options affected the data record will contain the The Exchange proposes to extend the stock symbol, option symbol, time at the start of the as the Commission may designate if operation of this Pilot to analyze the straddle or limit state, an indicator for whether it consistent with the protection of impact of the Limit and Straddle States. is a straddle or limit state. For activity on the investors and the public interest, the Exchange the data record will contain the executed proposed rule change has become The Exchange will also continue to volume, time-weighted quoted bid-ask spread, time- evaluate whether adopting a provision weighted average quoted depth at the bid, time- effective pursuant to Section 19(b)(3)(A) 7 for reviewing trades on its own motion weighted average quoted depth at the offer, high of the Act and Rule 19b–4(f)(6)(iii) 8 during Limit and Straddle States is execution price, low execution price, number of thereunder. trades for which a request for review for error was necessary and appropriate. The Exchange has asked the received during straddle or limit states, an indicator Commission to waive the 30-day Additionally, the Exchange represents variable for whether those options outlined above that it will conduct its own analysis have a price change exceeding 30% during the operative delay so that the proposal may concerning the elimination of the underlying stock’s straddle or limit state compared become operative immediately upon to the last available option price as reported by obvious error rule during Limit and filing. The Commission believes that OPRA before the start of the straddle or limit state waiving the 30-day operative delay is Straddle States and agrees to provide (1 if observe 30% and 0 otherwise), and another the Commission with relevant data to indicator variable for whether the option price consistent with the protection of assess the impact of the Pilot. As part of within five minutes of the underlying stock leaving investors and the public interest, as it straddle or limit state (or halt if applicable) is 30% its analysis, the Exchange will evaluate away from the price before the start of the straddle 7 15 U.S.C. 78s(b)(3)(A). (1) the options market quality during or limit state. 8 17 CFR 240.19b–4(f)(6)(iii). As required under 4 Limit and Straddle States, (2) assess the 15 U.S.C. 78f(b). Rule 19b–4(f)(6)(iii), the Exchange provided the character of incoming order flow and 5 15 U.S.C. 78f(b)(5). Commission with written notice of its intent to file transactions during Limit and Straddle 6 See Securities Exchange Act Release No. 74110 the proposed rule change, along with a brief States, and (3) review any complaints (January 21, 2015), 80 FR 4321 (January 27, 2015) description and the text of the proposed rule (Joint Industry Plan; Notice of Filing of the Eighth change, at least five business days prior to the date from members and their customers Amendment to the National Market System Plan to of filing of the proposed rule change, or such concerning executions during Limit and Address Extraordinary Market Volatility). shorter time as designated by the Commission.

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will allow the obvious error pilot those that may be withheld from the Systems), Section 8 (BX Opening and program to continue uninterrupted public in accordance with the Halt Cross) of the Exchange’s Options while the industry gains further provisions of 5 U.S.C. 552, will be rules. The proposal would update or experience operating under the Plan, available for Web site viewing and add Section 1 and Section 8 definitions and avoid any investor confusion that printing in the Commission’s Public in respect of the BX Opening and Halt could result from a temporary Reference Room, 100 F Street NE., Cross. The proposal would also make interruption in the pilot program. For Washington, DC 20549 on official changes regarding: The criteria for this reason, the Commission designates business days between the hours of opening of trading or resumption of the proposed rule change to be operative 10:00 a.m. and 3:00 p.m. Copies of such trading after a halt; BX posting on its upon filing.9 filing also will be available for Web site any changes to the At any time within 60 days of the inspection and copying at the principal dissemination interval or prior Order filing of the proposed rule change, the office of the Exchange. All comments Imbalance Indicator; the procedure if Commission summarily may received will be posted without change; more than one price exists; the temporarily suspend such rule change if the Commission does not edit personal procedure if there are unexecuted it appears to the Commission that such identifying information from contracts; and the ability of firms to action is necessary or appropriate in the submissions. You should submit only elect that orders be returned in symbols public interest, for the protection of information that you wish to make that were not opened on BX before the investors, or otherwise in furtherance of available publicly. All submissions conclusion of the Opening Order Cancel the purposes of the Act. If the should refer to File Number SR–BOX– Timer. Commission takes such action, the 2015–13, and should be submitted on or The text of the proposed rule change Commission shall institute proceedings before March 18, 2015. is available on the Exchange’s Web site to determine whether the proposed rule For the Commission, by the Division of at http://nasdaqomxbx.cchwallstreet should be approved or disapproved. Trading and Markets, pursuant to delegated .com/, at the principal office of the 10 IV. Solicitation of Comments authority. Exchange, and at the Commission’s Brent J. Fields, Public Reference Room. Interested persons are invited to Secretary. submit written data, views, and II. Self-Regulatory Organization’s arguments concerning the foregoing, [FR Doc. 2015–03814 Filed 2–24–15; 8:45 am] Statement of the Purpose of, and including whether the proposed rule BILLING CODE 8011–01–P Statutory Basis for, the Proposed Rule change is consistent with the Act. Change Comments may be submitted by any of SECURITIES AND EXCHANGE In its filing with the Commission, the the following methods: COMMISSION Exchange included statements Electronic Comments concerning the purpose of and basis for [Release No. 34–74310; File No. SR–BX– the proposed rule change and discussed • Use the Commission’s Internet 2015–010] comment form (http://www.sec.gov/ any comments it received on the rules/sro.shtml); or Self-Regulatory Organizations; proposed rule change. The text of these • Send an email to rule-comments@ NASDAQ OMX BX, Inc.; Notice of Filing statements may be examined at the sec.gov. Please include File Number SR– and Immediate Effectiveness of places specified in Item IV below. The BOX–2015–13 on the subject line. Proposed Rule Change To Modify and Exchange has prepared summaries, set Reorganize Chapter VI (Trading forth in sections A, B, and C below, of Paper Comments Systems), Section 8 (BX Opening and the most significant aspects of such • Send paper comments in triplicate Halt Cross) of the Exchange’s Options statements. to Brent J. Fields, Secretary, Securities Rules A. Self-Regulatory Organization’s and Exchange Commission, 100 F Street February 19, 2015. Statement of the Purpose of, and NE., Washington, DC 20549–1090. Statutory Basis for, the Proposed Rule All submissions should refer to File Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 Change Number SR–BOX–2015–13. This file 1 2 number should be included on the (‘‘Act’’), and Rule 19b–4 thereunder, 1. Purpose notice is hereby given that on February subject line if email is used. To help the The purpose of the proposed rule 9, 2015, NASDAQ OMX BX, Inc. (‘‘BX’’ Commission process and review your change is to modify BX Chapter VI, or ‘‘Exchange’’) filed with the Securities comments more efficiently, please use Section 1 and Section 8 to update or add and Exchange Commission (‘‘SEC’’ or only one method. The Commission will definitions, which include Current ‘‘Commission’’) the proposed rule post all comments on the Commission’s Reference Price, BX Opening Cross, change as described in Items I and II Internet Web site (http://www.sec.gov/ Eligible Interest, Valid Width National below, which Items have been prepared rules/sro.shtml). Copies of the Best Bid or Offer (‘‘Valid Width by the Exchange. The Commission is submission, all subsequent NBBO’’), Away Best Bid or Offer publishing this notice to solicit amendments, all written statements (‘‘ABBO’’), and On the Open Order comments on the proposed rule change with respect to the proposed rule (‘‘OPG’’). The purpose is to also make from interested persons. change that are filed with the changes regarding: The criteria for Commission, and all written I. Self-Regulatory Organization’s opening of trading or resumption of communications relating to the Statement of the Terms of the Substance trading after a halt; BX posting on its proposed rule change between the of the Proposed Rule Change Web site any changes to the Commission and any person, other than The Exchange proposes to modify and dissemination interval or prior Order reorganize Chapter VI (Trading Imbalance Indicator; the procedure if 9 For purposes only of waiving the 30-day more than one price exists; the operative delay, the Commission has also considered the proposed rule’s impact on 10 17 CFR 200.30–3(a)(12). procedure if there are unexecuted efficiency, competition, and capital formation. See 1 15 U.S.C. 78s(b)(1). contracts; and the ability of firms to 15 U.S.C. 78c(f). 2 17 CFR 240.19b–4. elect that orders be returned in symbols

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that were not opened on BX before the Exchange; 9 provided that dissemination definition proposed for ‘‘Current conclusion of the Opening Order Cancel of a regular market hours quote or trade Reference Price’’ in Section 8(a)(2)(A) Timer.3 by the Market for the Underlying and proposed criteria for the Opening Section 8 of Chapter VI describes the Security has occurred (or, in the case of Cross price set forth in Section 8(b). BX opening and halt cross and opening index options, the Exchange has Thus, the Exchange proposes to delete imbalance process (‘‘Opening Cross’’). received the opening price of the current Section 8(a)(2)(E). Section 8(a) currently contains underlying index). This filing proposes The Exchange proposes a change to definitions that are applicable to Section several changes to enhance the usability the definition of ‘‘BX Opening Cross’’. 8. Section 8(b) currently states that for and effectiveness of Section 8 regarding Specifically, in proposed Section 8(a)(3) the opening of trading of System the opening and halt cross and the Exchange introduces a clarifying Securities,4 the Opening Cross shall imbalance process. change that references opening or occur at or after 9:30 a.m. Eastern Time 5 First, the Exchange proposes to resuming trading, and states that ‘‘BX if any of the following ‘‘conditions’’ update or add new Section 8 Opening Cross’’ shall mean the process occur: (1) There is no Imbalance; 6 (2) definitions. for opening or resuming trading The Exchange proposes a change to the dissemination of a regular market pursuant to this rule and shall include the definition of ‘‘Current Reference hours quote or trade (as determined by the process for determining the price at Price’’. Current Section 8(a)(2)(A) the Exchange on a class-by-class basis) which Eligible Interest, as discussed defines the ‘‘Current Reference Price’’ to by the Market for the Underlying below, shall be executed at the open of mean: (i) The single price at which the Security 7 has occurred (or, in the case trading for the day, or the open of maximum number of contracts of of index options, the Exchange has trading for a halted option, and the Eligible Interest can be paired at or process for executing that Eligible received the opening price of the within the NBBO; (ii) If more than one underlying index); or (3) in the case of Interest. price exists under subparagraph (i), the The Exchange proposes to define a a trading halt, when trading resumes Current reference Price shall mean the pursuant to Chapter V, Section 4, and a new order type in Section 1(e)(11), ‘‘On entered price at which contracts will the Open Order’’, which is an order certain number (as the Exchange may remain unexecuted in the cross; (iii) If determine from time to time) of other with a designated time-in-force of more than one price exists under 12 options exchanges have disseminated a OPG. An On the Open Order will be subparagraph (ii), the Current Reference executable only during the Opening firm quote on the Options Price Price shall mean the price that is closest Reporting Authority (‘‘OPRA’’).8 Market Cross. If such order is not executed in to the midpoint of the (1) National Best its entirety during the Opening Cross, hours trading on BX Options in specific Bid or the last offer on BX against which options commences, or in the case of the order, or any unexecuted portion of contracts will be traded whichever is such order, will be cancelled back to the specific halted options resumes, when higher, and (2) National Best Offer or the BX Opening Cross concludes. entering participant. the last bid on BX against which The Exchange proposes a change to Section 8(c) currently describes the contracts will be traded whichever is procedure if firm quotes are not the definition of ‘‘Eligible Interest’’ lower. Proposed Section 8(a)(2)(A) seeks contained in current Section 8(a)(4). disseminated for an option by the to simplify the definition of the predetermined number of options Specifically, in Section 8(a)(4) the ‘‘Current Reference Price’’ to state that Exchange proposes a change to reflect exchanges by a specific time during the ‘‘Current Reference Price’’ shall mean an day that is determined by the the addition of a new order type, On the indication of what the Opening Cross Open Order, with a time-in force of price would be at a particular point in OPG, so that ‘‘Eligible Interest’’ shall 3 The Exchange will explain the proposed change time. The ‘‘Current Reference Price’’ mean any quotation or any order that to its participants via an Options Trader Alert. determination will be substantively 4 ‘‘System Securities’’ means all options that are may be entered into the system and currently trading on BX Options pursuant to similar to what is currently described in designated with a time-in-force of IOC Chapter IV. All other options are ‘‘Non System Section 8(a)(2)(A), with the criteria for (immediate-or-cancel), DAY (day order), Securities.’’ Chapter VI, Section 1(b). the Opening Cross price, as discussed GTC (good-till-cancelled), and OPG. The 5 In this proposal, all time is Eastern Time unless below, set forth elsewhere in Section Exchange also proposes new language to otherwise noted. 8,10 according to various parameters 6 ‘‘Imbalance’’ means the number of contracts of indicate how certain time-in-force Eligible Interest that may not be equal. Chapter VI, (e.g. existence of opening interest, orders will be handled, to state that Section 8(a)(1). ‘‘Eligible Interest’’ means any existence of Valid Width NBBO, 11 orders received via FIX protocol prior to quotation or any order that may be entered into the whether the issue is open elsewhere). the BX Opening Cross designated with system and designated with a time-in-force of IOC, The Exchange believes that this DAY, GTC. Chapter VI, Section 8(a)(4). The a time-in-force of IOC will be rejected Exchange is deleting the reference to Imbalance construction makes the rule easier to and shall not be considered Eligible from Section 8(b) because, as discussed, the follow. In addition, this construction Interest. Orders received via SQF prior occurrence of the Opening Cross depends on the also makes the language contained in parameters proposed in Section 8(b) rather than on to the BX Opening Cross designated current Section 8(a)(2)(E) no longer with a time-in-force of IOC will remain whether there is an imbalance. necessary as it is replaced with the new 7 ‘‘Market for the Underlying Security’’ means in-force through the opening and shall either the primary listing market, the primary be cancelled immediately after the 9 volume market (defined as the market with the most The specific time of day, currently 9:45 a.m., is opening. The Exchange notes that FIX liquidity in that underlying security for the disseminated at https://www.nasdaqtrader.com/ previous two calendar months), or the first market Content/TechnicalSupport/BXOptions_ protocol users generally prefer a cancel to open the underlying security, as determined by SystemSettings.pdf. if an order is not executed immediately the Exchange on an issue-by-issue basis and 10 See proposed Section 8(b). in order that these users have an a announced to the membership on the Exchange’s 11 Simultaneously, the price parameters are opportunity to access other markets. Web site. Chapter VI, Section 8(a)(5). deleted from current Section 8(a)(2)(A). In a similar 8 For better readability, this part of Section 8(b) vein, current Section 8(a)(2)(E) indicative prices are SQF users are liquidity providers who is proposed to be broken into two sentences and the deleted. The Exchange is re-organizing Section 8 phrase ‘‘the Opening Cross shall occur’’ inserted. and thereby deleting the noted price parameters and 12 The term ‘‘On the Open Order’’ (OPG) is also Reference to firm quote on OPRA is proposed to be indicative prices in order to offer an integrated proposed to be added as a Time in Force to Chapter deleted from this part of Section 8(b) and is, as description of the opening process in proposed VI, Sec 1(g), and is added as an Order Type to discussed, put into proposed Section 8(b)(2)(B). Section 8(b). Chapter VI, Sec. 8(a)(4).

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prefer that the order lives throughout Following are examples to illustrate, crossing quotes are excluded from the the entire opening process, until it is among other things, the calculation of Valid Width NBBO calculation. clear their liquidity was not utilized in the Valid Width NBBO as proposed in However, assume Exchange 2 is quoting the opening. The Exchange believes that Section 8(a)(6) and the definition of the .95–1.10 and Exchange 3 is quoting .95– these changes help to clarify how ABBO as proposed in Section 8(a)(7). 1.05, resulting in an uncrossed ABBO of eligible quotations and orders are Example 1 (normal market .95–1.05. The ABBO of .95–1.05 meets handled in the opening process. conditions). Assume that the Valid the required .10 bid/ask differential and The Exchange proposes to add the Width NBBO bid/ask differential is set is considered a Valid Width NBBO. The concept of a Valid Width NBBO and by the Exchange at .10. MM1 is quoting Opening Cross will follow the rules set ABBO with respect to away and on- on the Exchange .90–1.15 and MM2 is forth in proposed Section 8(b)(4)(B) Exchange interest. Specifically, in quoting on the Exchange .80–.95, thus because MM1 and MM2 have 10 proposed Section 8(a)(6) the Exchange making the BX BBO .90–.95. Assume contracts each which cross and there is defines ‘‘Valid Width NBBO’’ as the the ABBO is .85–1.00. The Exchange more than one price at which those combination of all away market quotes considers all bid and all offers to contracts could execute. Thus, the and any combination of BX Options- determine the bid/ask differential; in Opening Cross will occur with 10 registered Market Maker (‘‘Market this example, the best bid/ask is .90–.95 contracts executing at 1.00, which is the Maker’’) orders and quotes received over which satisfies the required .10 bid/ask mid-point of the National Best Bid and the SQF Protocol within a specified bid/ differential and is considered a Valid the National Best Offer. At the end of ask differential as established and Width NBBO. Pursuant to the rule the opening process, only the quote published by the Exchange. The Valid proposed in Section 8(b)(2)(A), BX from MM3 remains so the BX Options Width NBBO will be configurable by Options will open with no trade and disseminated quote at the end of underlying, and a table with valid width BBO disseminated as .90–.95. opening process will be .90–1.15 (10x10 differentials will be posted by BX on its Example 2 (away markets are contracts). Web site. Away markets that are crossed crossed). Assume the Valid Width Second, in current Section 8(b) the (e.g. AMEX crosses AMEX, AMEX NBBO bid/ask differential is set by the Exchange proposes to remove language crosses CBOE) will void all Valid Width Exchange at .10. MM1 is quoting on the that ‘‘there is no Imbalance’’ and NBBO calculations. If any Market Maker Exchange 1.05–1.15 and MM2 is quoting language regarding ‘‘on a class-by-class orders or quotes on BX Options are on the Exchange 1.00–1.10, thus making basis’’, and proposes to add additional crossed internally, then all such orders the BX BBO 1.05–.1.10. Assume clarifying language pertaining to an and quotes will be excluded from the Exchange 2 is quoting .90–1.10 and Opening Cross after a trading halt. The Valid Width NBBO calculation. In Exchange 3 is quoting .70–.85. Since the Imbalance language is being removed addition, in proposed Section 8(a)(7), ABBO is crossed (.90–.85), Valid Width from the introductory sentence of the Exchange defines ‘‘ABBO’’ as the NBBO calculations are not taken into current Section 8(b) to make the displayed National Best Bid or Offer not account until the away markets are no language of the Processing of the including the Exchange’s Best Bid or longer crossed. Once the away markets Opening Cross apply more generally. Offer. are no longer crossed, the Exchange will The details surrounding the Opening The Exchange is making these determine if a Valid Width NBBO can Cross as it relates specifically to an proposals to ensure that all away market be calculated. Assume the ABBO Imbalance is currently provided for in quotes and any combination of Market uncrosses because Exchange 3 updates Section 8(b)(5) and is being added in 13 Maker orders and quotes, whether their quote to .90–1.15, the BX BBO of new proposed Section 8(b)(4)(C). The they include the Exchange’s Best Bid or 1.05–1.10 is considered a Valid Width Exchange proposes to remove the ‘‘on a Offer or not, are represented. The NBBO. Pursuant to the rule proposed in class-by-class basis’’ language because Exchange believes that including (or Section 8(b)(2)(A), BX Options will the Exchange will use a regular market adding) the proposed Valid Width open with no trade and BBO hours quote or trade (as determined by NBBO and ABBO within the opening disseminated as 1.05–1.10. the Exchange) for all classes on the rule should be beneficial to market Example 3 (BX Options orders/quotes Exchange for the Opening Cross, participants by offering a more robust are crossed, ABBO is Valid Width without distinguishing among different Opening Cross process. The proposed NBBO). Assume that the Valid Width classes. Additionally, the Exchange change will significantly enhance the NBBO bid/ask differential is set by the proposes to add language to current price discovery mechanism in the Exchange at .10. MM1 is quoting on the Section 8(b) to make it clear that an opening process to include not only Exchange 1.05–1.15 (10x10 contracts) Opening Cross shall occur after a Market Maker orders and quotes but and MM2 is quoting on the Exchange trading halt when trading resumes 14 also away market interest. .90–.95 (10x10 contracts), thus making pursuant to Chapter V, Section 4.15 the BX BBO crossed, 1.05–.95, while Third, the Exchange proposes to add 13 In respect of the Valid Width NBBO, the orders another MM3 is quoting on the certain criteria to current Section 8(b), and quotes on the Exchange would be received over Exchange at .90–1.15 (10x10 contracts). the SQF Protocol. in order to describe how the opening 14 Current Section 8(b)(2)(B) and (b)(2)(C) discuss Since the BX BBO is crossed, the process will differ depending on the Opening Cross procedure if more than one price whether a trade is possible or not on BX exists. As noted below, the Exchange proposes to Sections 8(b)(6) and 8(b)(7) other than re- Options. Provided that the ABBO is not add language to current Section 8(b)(2)(C) regarding numbering. Section 8 (b)(6) (renumbered from unexecuted contracts. Proposed Section 8(b)(5) and current Section 8(b)(4)) states that all Eligible crossed these criteria necessitate, per (b)(6) (renumbered from current Section 8(b)(3) and Interest executed in the BX Opening Cross shall be (b)(4), respectively) discuss how Eligible Interest executed at the BX Opening Cross price. Proposed 15 Chapter V, Section 4 states that trading in an would be handled vis a vis the Opening Cross; Section 8(b)(7) (renumbered from current Section option that has been the subject of a halt under proposed (b)(5) states that if the BX Opening Cross 8(b)(5)) discusses the procedure of disseminating Section 3 of Chapter V shall be resumed upon the price is selected and not all Eligible Interest one additional Order Imbalance Indicator, if the determination by BX Regulation, that the conditions available in BX Options is executed, then all conditions specified in proposed Section 8(b) have which led to the halt are no longer present or that Eligible Interest shall be executed at the BX occurred, but there is an imbalance containing the interests of a fair and orderly market are best Opening Cross price in accordance with the marketable routable interest; any remaining served by a resumption of trading. Trading shall execution algorithm assigned to the associated Imbalance will be canceled, posted, or routed as per resume according to the process set forth in underlying option. No changes are proposed to the directions on the customer’s order. proposed Chapter VI, Section 8 of the rules.

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proposed new Section 8(b)(1), that a believes that, like the other proposed which contracts will be traded Valid Width NBBO will always be changes, this proposed enhancement whichever is lower. In an effort to make required to open a series when there is regarding additional information the rule language more precise and to tradable interest on BX Options; and disclosure should prove to be very signify that to the extent possible the require, per proposed new Section helpful to market participants, Opening Cross will occur at the 8(b)(2), that in cases where there is no particularly those that are involved in midpoint price, the Exchange proposes tradable interest, any one of three adding liquidity during the Opening to delete the language ‘‘the price that is conditions could trigger a series on BX Cross process. closest to’’. New subparagraph (B), as Options to open. Those conditions are Fifth, the Exchange proposes to add proposed, will read that if more than listed in proposed new (b)(2) as: (A) A language regarding how the Opening one price exists under subparagraph Valid Width NBBO is present, (B) a Cross will occur in relation to the Valid (A) 19 and there are no contracts that certain number of other options Width NBBO, and further what would would remain unexecuted in the cross, exchanges (as determined by the happen if more than one price exists the BX Opening Cross shall occur at the Exchange) have disseminated a firm under certain circumstances. With this midpoint price, rounded to the penny quote on OPRA, or (C) a certain period proposal, current Section 8(b)(2)(B) will closest to the price of the last execution of time (as determined by the Exchange) be deleted and the determination of the in that series and in the absence of a has elapsed.16 The Exchange believes Opening Cross price will be more fully previous execution price, the price will that listing these criteria will, similarly described under proposed new Section round up, if necessary.20 The price is to other proposed changes, organize and 8(b)(4)(A)–(C). The new language added determined using the midpoint of (1) clarify the opening process and make it to current subparagraph (A) stipulates the National Best Bid or the last offer on more robust and protective for market that the Opening Cross shall occur at the BX Options against which contracts will participants. The requirement of a Valid price that maximizes the number of be traded whichever is higher, and (2) Width NBBO being present will help to contracts of Eligible Interest in BX National Best Offer or the last bid on BX ensure that opening execution prices are Options to be executed at or within the Options against which contracts will be rational based on what is present in the ABBO and within a defined range, as traded whichever is lower.21 The broader marketplace during the opening established and published by the Exchange believes the proposed process. Exchange, of the Valid Width NBBO. language more fully describes how Fourth, the Exchange proposes Current subparagraph (A) simply states rounding is applied to determine the changes to provide additional the Opening Cross shall occur at the opening execution price in place of a information during the opening process. price that maximizes the number of general statement of ‘‘the price that is Current Section 8(b)(1) indicates that BX contracts of Eligible Interest in BX closest to the midpoint price’’. In shall disseminate an Order Imbalance Options to be executed at or within the addition, the Exchange proposes new Indicator every 5 seconds and does not NBBO. The new proposed language subparagraph (C) to describe the price at allow for a shorter dissemination being added to (A) will require that the which the Opening Cross will occur interval. New proposed Section 8(b)(3) Opening Cross price not only be at a when more than one price exists under indicates that BX shall disseminate by price at or within the ABBO but also be subparagraph (A) and there are contracts electronic means an Order Imbalance within a defined range of the Valid which would remain unexecuted in the 17 Indicator every 5 seconds beginning Width NBBO. This addition will ensure cross which was previously described in between 9:20 a.m. and 9:28 a.m., or a that the Exchange does not open at a Section 8(b)(2)(B) with less granularity shorter dissemination interval as price too far away from the best interest and without consideration of the new established by BX Options, with the available in the marketplace as a whole. Valid Width NBBO. New proposed default being set at 9:25 a.m. The start The new proposed Section 8(b)(4)(B) subparagraph (C) will state if more than of dissemination, dissemination and (C) describe in detail at what price one price exists under subparagraph (A), interval, and changes to prior Order the Opening Cross will occur if there and contracts would remain unexecuted Imbalance Indicators, if any, shall be exists more than one price under in the cross, then the opening price will posted on the Exchange Web site. To Section 8(b)(4)(A) at which the be the highest/lowest price, in the case further enhance price discovery and maximum number of contracts could be of a buy/sell imbalance, at which the disclosure regarding the Opening Cross executed at or within the ABBO and maximum number of contracts can trade process, the Exchange proposes to add equal to or within a defined range of the which is equal to or within a defined the ability for it to disseminate Valid Width NBBO. Current Section range as established and published by imbalances more frequently, which the 8(b)(2)(C) (renumbered as proposed to the Exchange,22 of the Valid Width rule currently does not allow for. The (b)(4)(B)) states that if more than one Exchange will indicate start of price exists under subparagraph (B),18 19 The Exchange proposes to change the dissemination and the dissemination the BX Opening Cross shall occur at the subparagraph reference from (B) to (A) as current interval on its Web site. The Exchange subparagraph (B) is being deleted and expanded price that is closest to the midpoint upon with new subparagraphs (B) and (C). price of (1) the National Best Bid or the 20 16 In the case of a crossed ABBO, the conditions The Exchange notes that rounding will be set forth in new proposed Section (8)(b)(1) and last offer on BX Options against which applied, if needed, in the following manner: If the (b)(2) will become operative when the ABBO contracts will be traded whichever is previous closing price is less than the midpoint, becomes uncrossed. then the opening price rounds down; and if the higher, and (2) the National Best Offer previous closing price is greater than the midpoint, 17 ‘‘Order Imbalance Indicator’’ means a message or the last bid on BX Options against disseminated by electronic means containing or if there is no closing price, then the opening information about Eligible Interest and the price in price rounds up. For example, if there is a midpoint penny increments at which such interest would 18 Current Section 8(b)(2)(B) currently states that of 1.045, the opening price would be rounded to execute at the time of dissemination. For the if more than one price exists under subparagraph 1.04 if the previous closing price was 1.00, and information disseminated by the Order Imbalance (A), the BX Opening Cross shall occur at the entered would be rounded to 1.05 if the previous closing Indicator (e.g. Current Reference Price, number of price at which contracts will remain unexecuted in price was 1.10. paired contracts, size and buy/sell direction of the cross. Subparagraph (A) states that the BX 21 A reference to BX OPTIONS is being corrected Imbalance, indicative prices), see Chapter VI, Opening Cross shall occur at the price that to read BX Options. No change in meaning is Section 8(a)(2). The term ‘‘order’’ means a firm maximizes the number of contracts of Eligible intended. commitment to buy or sell options contracts. Interest in BX Options to be executed at or within 22 The Exchange notes that the system will also Chapter 1, Section 1(a)(5). the National Best Bid and Offer. calculate a defined range to limit the range of prices

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NBBO on the contra side of the with 10 contracts executing and BX BX Options 1.15–1.20 quote. There is imbalance that would not trade through BBO disseminated as .99–1.15. more than one price at which the the ABBO. Where there is more than Example 5 (no imbalance and more Exchange can maximize the number of one price and there is an imbalance, in than one possible price). Assume a contracts executed, 10 contracts, during Section 8(b)(4)(C) the Exchange is Valid Width NBBO bid/ask differential the Opening Cross and there exist proposing that the Opening Cross price allowance of .10 and a defined range of multiple prices at which 20 contracts also be within a defined range of the .10. Assume the ABBO is 1.00–1.10 will remain unexecuted in the Opening Valid Width NBBO on the contra side of (10x10 contracts) and the BX BBO is Cross. Thus, the Opening Cross price the imbalance, to help ensure that the .99–1.11 (10x10 contracts) which will be determined under proposed opening price does not stray too far from represents a quote from MM1. Assume Section 8(b)(4)(C). In this example, the the best prices available and that the that a Customer Order 1 comes in to Buy Valid Width NBBO is 1.15–1.20 which opening price is rational. In addition, 10 contracts for 1.08, and a Customer is the best bid and best offer of the MM1 the Opening Cross price will be the Order 2 comes in to Sell 10 contracts at quote and the ABBO and is tighter than highest price, in the case of a buy 1.00. Once regular markets hours have the allowed differential of .10. With a imbalance, where the maximum number begun and the underlying security has defined range of .10 of the Valid Width of contracts can trade which is equal to opened, the system determines if there NBBO on the contra side of the or within the defined range of the Valid is a Valid Width Quote present. While imbalance (1.20 +.10), and a buy Width NBBO. Similarly, in the case of the BX BBO of .99–1.11 is wider than imbalance, the Opening Cross price will a sell imbalance, the Opening Cross the allowed bid/ask differential to be 1.30 with Order 1 buying 10 price will be the lowest price at which qualify as a Valid Width NBBO on its contracts from MM1. The Opening Cross the maximum number of contracts can own, the ABBO market of 1.00–1.10 price of 1.30 represents the highest price trade which is equal to or within the does qualify as a Valid Width NBBO. In at which the maximum number of defined range of the Valid Width NBBO. this scenario, there is not an imbalance contracts, 10 contracts, can trade which This serves to provide opening as there are 10 contracts to buy and 10 is equal to or within the defined range execution price protections as well as an contracts to sell, however, there exist of the Valid Width NBBO on the contra Opening Cross price which will not multiple price points at which those 10 side of the imbalance that would not have residual unexecuted interest contracts could execute within the trade through the ABBO. The remaining reflected in the marketplace, after the ABBO and within a .10 range of the unexecuted contracts will be posted on Opening Cross execution, at a price Valid Width NBBO. Thus, the Opening the book and reflected in the BX which crosses the Opening Cross Cross will follow the rules set forth in Options quote as a 1.30 bid with BX execution price. proposed Section 8(b)(4)(B) and the BBO disseminated as 1.30–150 [sic] The following examples illustrate, Opening Cross will occur with 10 with offer as non-firm, as proposed in among other things, the determination contracts executing at 1.04. 1.04 Section 8(b)(4)(C)(iii). If this example of the Opening Cross price. represents the midpoint of 1.00 (the last were changed slightly such that the Example 4 (no imbalance and one offer on BX Options against which ABBO was 1.05–1.25, the opening price possible price). Assume a Valid Width contracts will be traded or the National would be 1.25 since the Opening Cross NBBO bid/ask differential allowance of Best Bid since the two are equal) and cannot occur at a price outside of the .10 and a defined range of .10. Also, 1.08 (the last bid on BX Options against ABBO. assume that the ABBO is 1.00–1.10 which contracts will be traded). If the Because new proposed subsections (10x10 contracts) and the BX BBO is example is changed slightly such that (b)(1) and (b)(2) are added, current .99–1.15 (10x10 contracts) which Order 1 is a market order to Buy 10 subsections (b)(1) through (b)(5) are re- represents a quote from MM1. Assume contracts, the Opening Cross will occur numbered to (b)(3) through (b)(7), and that a Customer Order 1 comes in to Buy with 10 contracts executing at 1.05 the reference to (b)(2) in current (b)(7) 10 contracts for 1.05 and a Customer which represents the midpoint of 1.00 is re-numbered to (b)(4). Order 2 comes in to Sell 10 contracts at (the last offer on BX Options against Sixth, the Exchange is proposing new 1.05. Once regular markets hours have which contracts will be traded or the language to indicate the price at which begun and the underlying security has National Best Bid since the two are remaining unexecuted contracts will be opened, the system determines if there equal) and 1.10 (the National Best Offer posted. Specifically, in proposed is a Valid Width Quote present. While against which contracts will be traded). Section 8(b)(4)(C), formerly covered in the BX BBO of .99–1.15 is wider than The market order is considered to be a (b)(2), the Exchange proposes to state the allowed bid/ask differential to price higher than the National Best Offer that if more than one price exists under qualify as a Valid Width NBBO on its and outside of the NBBO therefore, the subparagraph (A), and contracts would own, the ABBO market of 1.00–1.10 National Best Offer is used in remain unexecuted in the cross, then does qualify as a Valid Width NBBO. In determining the Opening Cross price. the opening price will be the price at this scenario, there is not an opening The BX BBO disseminated after the which the maximum number of imbalance since there are 10 contracts opening in either case will be .99–1.11. contracts can trade that are equal to or on both the buy and sell side which Example 6 (imbalance and more than within the defined range of the Valid could possibly trade. Thus, the Opening one possible price). Assume that the Width NBBO on the contra side of the Cross will follow the rules set forth in ABBO is 1.05–1.50 (10x10 contracts) imbalance that would not trade through proposed Section 8(b)(4)(A). Under this and MM1 is quoting on BX Options the ABBO. New proposed subsections rule, the Opening Cross will occur at the 1.15–1.20 (10x10 contracts) as well as (i)–(iv) to Section 8(b)(4)(C) indicate the price which maximizes the number of MM2 is quoting on BX Options 1.05– price at which unexecuted contracts contracts of Eligible Interest at or within 1.50 (10x10 contracts). Also assume that will be posted on the book following the the ABBO and within a defined range of the Valid Width NBBO bid/ask Opening Cross and the subsequent the Valid Width NBBO. In this scenario, differential allowance and defined range handling of the residual unexecuted the Opening Cross price will be 1.05 are each .10. Also assume a Customer contracts, as follows: (i) If unexecuted Order 1 is entered to Buy 30 contracts contracts remain with a limit price that at which an order will be allowed to execute. for 1.45. In this example, the Valid is equal to the opening price, then the Chapter VI, Section 10 (7). Width NBBO is comprised solely of the remaining unexecuted contracts will be

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posted at the opening price, displayed to access the next allowable range of maximum number of contracts (10) can one minimum price variation (MPV) prices. execute equal to or within the ABBO away if displaying at the opening price Following are examples illustrating and within a defined range of the Valid would lock or cross the ABBO, with the the proposed rule text regarding the Width NBBO without trading through contra-side BX BBO reflected as firm; handling of unexecuted contracts. the ABBO, the Opening Cross will occur (ii) if unexecuted contracts remain with Example 7 (proposed Section at a price determined under Section a limit price that is through the opening 8(b)(4)(C)(i)). Assume the ABBO is 1.00– 8(b)(4)(C). The Opening Cross would price, and there is a contra side ABBO 1.10 (10x10 contracts), and the BX BBO result in 10 contracts being executed at at the opening price, then the remaining is .99–1.11 (10x10 contracts). Assume 1.00. The 40 remaining unexecuted unexecuted contracts will be posted at there is a Customer order to Buy 10 contracts will be posted as a 1.00 offer contracts at the market and a Customer the opening price, displayed one and be displayed at 1.01 so as not to order to Sell 50 contracts at 1.00. minimum price variation (MPV) away lock the away market bid under Further assume the Valid Width NBBO from the ABBO, with the contra side BX proposed Section 8(b)(4)(C)(ii). Since is defined as .10 and the defined range the residual interest is posted at a price BBO reflected as firm and order is also .10. The Valid Width NBBO in handling of any remaining interest will which internally locks the ABBO and this example is comprised solely of the therefore would not be permitted to be done in accordance with the routing ABBO which has a bid/ask differential and time-in-force instructions of such execute at more aggressive prices until equal to the allowance of .10. Since the ABBO moves, the contra-side BX interest and shall follow the Acceptable there is (1) an imbalance, (2) multiple Trade Range mechanism set forth in BBO is reflected as firm. The resulting prices at which the maximum number displayed BX BBO would be .99–1.01, Chapter VI, Section 10; (iii) if of contracts (10) can execute equal to or unexecuted contracts remain with a reflected as firm on both sides of the within the ABBO and, (3) multiple market, and the remaining interest limit price that is through the opening prices at which the maximum number price, and there is no contra side ABBO would be handled in accordance with of contracts can execute equal to or the routing and time-in-force at the opening price, then the remaining within a defined range of the Valid instructions of the residual interest and contracts will be posted at the opening Width NBBO on the contra side of the in accordance with Chapter VI, Section price, with the contra-side BX BBO imbalance that would not trade through 10 of the BX Options rules, and the reflected as non-firm; and (iv) order the ABBO, the Opening Cross will occur contra-side BBO will be marked as firm handling of any residual unexecuted at a price determined under Section or non-firm in accordance with the same contracts will be done in accordance 8(b)(4)(C). The Opening Cross will result Section 10 rule. with the reference price set forth in in 10 contracts being executed at 1.00. Chapter VI, Section 10, with the The 40 remaining unexecuted contracts Example 9 (proposed Section opening price representing the reference will be posted as a 40 contract offer at 8(b)(4)(C)(iii)). Assume the ABBO is price. This proposed behavior ensures 1.00 and displayed at 1.01 (one MPV .00–5.00 (0x10 contracts). Also assume the Valid Width NBBO bid/ask that residual unexecuted contracts from away from the away market bid of 1.00) differential is defined as 0.10 and the the Opening Cross, regardless of their in order to not display at a price which defined range as described in proposed limit prices, are posted on the book at locks the ABBO under proposed Section Section 8(b)(4)(C) is .10. Further, the opening price before subsequently 8(b)(4)(C)(i). The resulting displayed BX assume BX Options has received a quote being routed pursuant to Chapter VI, BBO would be .99–1.01, reflected as firm on both sides of the market, and the of .99–1.09 (10x10), a Customer order to Section 11 or walked to the next Buy 10 contracts at the market, a potential execution price(s) under the remaining interest would be handled in accordance with the routing and time Customer order to Buy 10 contracts for Acceptable Trade Range set forth in .70, and a Customer order to Sell 50 Chapter VI, Section 10(7), with the in-force instructions of the residual interest.23 Since the residual interest is contracts at .85. There is a Valid Width opening price representing the NBBO present with the BX Options ‘‘reference price’’ of that rule. This posted at its limit and therefore would not be permitted to execute at more quote of .99–1.09, which is equal to the enhancement to the BX Opening Cross aggressive prices, the contra-side BX defined bid/ask differential of .10. The ensures that aggressively priced interest BBO is reflected as firm. Opening Cross has an imbalance on the does not immediately post at prices Example 8 (proposed Section sell side. Since there is more than one which may be considered to be 8(b)(4)(C)(ii)). Assume the ABBO is price at which contracts would remain egregious if the interest were to post and 1.00–1.10 (10x10 contracts), and the BX unexecuted in the cross, the Opening execute immediately following the BBO is .99–1.11 (10x10 contracts). Cross price is determined using the Opening Cross. The ‘firm’ versus ‘non- Assume there is a Customer order to logic included in proposed Section firm’ tagging of contra-side interest Buy 10 contracts at the market and a 8(b)(4)(C). This will result in an when residual Opening Cross interest is Customer order to Sell 50 contracts at execution of 20 contracts at .89, since posted follows the construct currently .85. Further assume the Valid Width the Valid Width NBBO on the bid side in place on the Exchange when NBBO is defined as .10 and the defined (contra to the imbalance side) is .99 less aggressive interest is received and range is also .10. The Valid Width the defined range of .10, with the triggers an Acceptable Trade Range NBBO in this example is comprised residual contracts of the .85 Sell Order (ATR) process. Contra-side BX BBO solely of the ABBO which has a bid/ask posted on the book at .89. The resulting interest is reflected as non-firm when differential equal to the allowance of BX BBO would be reflected as .70–.89, the Exchange has interest with a limit .10. Since there is an imbalance and reflected as non-firm on the bid, firm on price (or market order) that is more multiple prices exist at which the the offer, and the remaining unexecuted aggressive than the Opening Cross price. interest would be handled in The purpose behind this is to ensure 23 As set forth in proposed Section 8(b)(4)(C)(iv), accordance with the routing and time- that aggressively priced residual interest order handling of any residual interest in the in-force instructions of the residual maintains priority should other Opening Cross will also be done in accordance with the reference price set forth in Chapter VI, Section interest. The .70 bid is reflected as non- aggressively priced interest be entered 10, with the opening price representing the firm to ensure that incoming interest before the residual interest is permitted reference price. will not be permitted to immediately

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execute ahead of the more aggressively each other. The deleted provisions are Cross. The proposal would also, as priced Opening Cross residual interest. now being more thoroughly described in discussed, make changes in Section 8 The residual interest from the Opening proposed Section 8(b). regarding: The criteria for opening of Cross will been handled in accordance The Exchange believes that the trading or resumption of trading after a with Chapter VI, Section 10 of the BX proposed changes significantly improve halt; BX posting on its Web site any Options rules, and the contra-side BBO the quality of execution of BX Options’ changes to the dissemination interval or will be marked as firm or non-firm in opening. The proposed changes give prior Order Imbalance Indicator; the accordance with the same Section 10 participants more choice about where, procedure if more than one price exists; rule. and when, they can send orders for the the procedure if there are unexecuted Seventh, the Exchange is proposing opening that would afford them the best contracts; and the ability of firms to new language to indicate the use of experience. The Exchange believes that elect that orders be returned in symbols execution algorithms assigned to the this should attract new order flow. The that were not opened on BX Options underlying options. Specifically, in proposed changes should prove to be before the conclusion of the Opening proposed Section 8(b)(5) (formerly very helpful to market participants, Order Cancel Timer. (b)(3)), the Exchange proposes to delete particularly those that are involved in The proposal is designed to remove price/time priority and add the use of adding liquidity during the Opening impediments to and perfect the execution algorithms by stating that if Cross. Absent these proposed mechanism of a free and open market the BX Opening Cross price is selected enhancements, BX Options’ opening and a national market system. In and fewer than all contracts of Eligible quality will remain less robust than on particular, the Exchange proposes in Interest that are available in BX Options other exchanges. Chapter VI, Section 8(b) to remove the would be executed, all Eligible Interest 2. Statutory Basis class-by-class quote or trade shall be executed at the BX Opening characteristic because for the Opening Cross price in accordance with the The Exchange believes that its Cross the Exchange will use a regular execution algorithm assigned to the proposal is consistent with Section 6(b) market hours quote or trade (as associated underlying option. By of the Act 25 in general, and furthers the determined by the Exchange) for all substituting language indicating use of objectives of Section 6(b)(5) of the Act 26 underylings [sic] on the Exchange, execution algorithms rather than price/ in particular, in that the proposal is without distinguishing among time priority, the Exchange recognizes designed to promote just and equitable underlying symbols, or, in the case of a that there are now multiple execution principles of trade, to remove allocation models,24 and these are impediments to and perfect the trading halt the Opening Cross shall factored into the Opening Cross. mechanism of a free and open market occur when trading resumes pursuant to Lastly, the Exchange proposes to add and a national market system, and, in Chapter V, Section 4. The Exchange a provision regarding the return of general to protect investors and the proposes to set forth in Section 8(b) orders in un-opened symbols in the public interest. clear language describing under what absence of an Opening Cross. Proposed The proposal is consistent with the circumstances an Opening Cross will new Section 8(c) is substituted for goals of the Act because it will enhance occur, and how the Opening Cross will current Section 8(c) and provides the and clarify the Opening Cross process, occur if more than one price exists procedure if an Opening Cross in a minimize or negate unnecessary under certain circumstances. Thus, for symbol is not initiated before the complexity, and encourage liquidity at example, proposed Section 8(b)(4) conclusion of the Opening Order Cancel the crucial time of market open. The specifies that if more than one price Timer. Specifically, proposed new proposed change will also enhance the exists under subparagraph (A), and Section 8(c) states that if an Opening price discovery mechanism in the contracts would remain unexecuted in Cross is not initiated under such opening process to include not only the cross, then the opening price will be circumstances, a firm may elect to have Market Maker orders and quotes but the highest/lowest price, in the case of orders returned by providing written also away market interest as represented a buy/sell imbalance, at which the notification to the Exchange. These by quotes. The Exchange believes this maximum number of contracts can trade orders include all non GTC orders change will make the transition from the which is equal to or within a defined received over the FIX protocol. The Opening Cross period to regular market range, as established and published by Opening Order Cancel Timer represents trading more efficient and thus promote the Exchange, of the Valid Width NBBO a period of time since the underlying just and equitable principles of trade on the contra side of the imbalance that market has opened, and shall be and serve to protect investors and the would not trade through the ABBO. The established and disseminated by BX on public interest. Exchange proposes, in Section its Web site. Proposed Section 8(c) will The proposal is designed to promote 8(b)(4)(C), three alternatives for how provide participants the ability to have just and equitable principles of trade by remaining unexecuted contracts will be their orders returned to them if BX updating and clarifying the rules handled. These include: If unexecuted Options is unable to initiate an Opening regarding the BX Opening and Halt contracts remain with a limit price that Cross within a reasonable time of the Cross. In particular, the proposal would is equal to the opening price, if opening of the underlying market. In update or add Chapter VI, Section 8 unexecuted contracts remain with a addition, proposed Section 8(c) deletes definitions regarding BX Opening Cross, limit price that is through the opening language which is present in current Eligible Interest, NBBO, and ABBO in price and there is a contra side ABBO Section 8(c) regarding how the Opening respect of the Opening Cross and at the opening price, and if unexecuted Cross operates in relation to the resuming options trading after a halt. contracts remain with a limit price that presence or absence of a regular market The Exchange would add to Chapter VI, is through the opening price and there hour quote or trade by the Market for Section 1 the definition of ‘‘On the is no contra side ABBO at the opening the Underlying and the process of the Opening Order’’ (OPG) as used in price. The Exchange also proposes to Opening Cross in relation to opening Section 8 in respect of the Opening clarify what happens if an Opening quotes or orders which lock or cross Cross in a symbol is not initiated before 25 15 U.S.C. 78f(b). the conclusion of the Opening Order 24 See, e.g., Chapter VI, Section 10(1). 26 15 U.S.C. 78f(b)(5). Cancel Timer. In that case, proposed

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Section 8(c)(2) [sic] indicates that a firm experience. The Exchange believes that At any time within 60 days of the may elect to have orders returned by this should attract new order flow. The filing of the proposed rule change, the providing written notification to the proposed changes should prove to be Commission summarily may Exchange. These orders include all non more robust and helpful to market temporarily suspend such rule change if GTC orders received over the FIX participants, particularly those that are it appears to the Commission that such protocol. The Opening Order Cancel involved in adding liquidity during the action is: (i) Necessary or appropriate in Timer represents a period of time since Opening Cross. the public interest; (ii) for the protection the underlying market has opened, and of investors; or (iii) otherwise in B. Self-Regulatory Organization’s shall be established and disseminated furtherance of the purposes of the Act. Statement on Burden on Competition by the Exchange on its Web site. If the Commission takes such action, the The proposal is designed in general to The Exchange does not believe that Commission shall institute proceedings protect investors and the public interest. the proposed rule change will impose to determine whether the proposed rule The Exchange proposes to add certain any burden on competition not should be approved or disapproved. criteria to current Section 8(b), in order necessary or appropriate in furtherance to describe how the opening process of the purposes of the Act. While the IV. Solicitation of Comments will differ depending on whether a trade Exchange does not believe that the Interested persons are invited to is possible or not on BX Options. proposal should have any direct impact submit written data, views, and Assuming that ABBO is not crossed, on competition, it believes the proposal arguments concerning the foregoing, proposed new Chapter VI, Section should help to further clarify the including whether the proposed rule 8(b)(1) states that if there is a possible Opening Cross process and make it change is consistent with the Act. trade on BX, a Valid Width NBBO must more efficient, reduce order entry Comments may be submitted by any of be present. Assuming that ABBO is not complexity, enhance market liquidity, the following methods: and be beneficial to market participants. crossed, proposed Section 8(b)(2) states Electronic Comments that if no trade is possible on BX, then Moreover, the Exchange believes that • BX will open dependent upon one of the proposed changes significantly Use the Commission’s Internet the following: A Valid Width NBBO is improve the quality of execution of the comment form (http://www.sec.gov/ BX Options opening. The proposed rules/sro.shtml); or present; a certain number of other • options exchanges (as determined by the changes give participants more choice Send an email to rule-comments@ Exchange) have disseminated a firm about where, and when, they can send sec.gov. Please include File Number SR– quote on OPRA; or a certain period of orders for the opening that would afford BX–2015–010 on the subject line. time (as determined by the Exchange) them the best experience. The Exchange Paper Comments has elapsed. The Exchange proposes to believes that this should attract new • Send paper comments in triplicate further enhance price discovery and order flow. Absent these proposed to Brent J. Fields, Secretary, Securities disclosure regarding the Opening Cross enhancements, BX Options’ opening and Exchange Commission, 100 F Street process, by proposing in current Section quality will remain less robust than on NE., Washington, DC 20549–1090. (b)(1) (renumbered to be (b)(3)) that BX other exchanges, and the Exchange will may choose to establish a dissemination remain at a competitive disadvantage. All submissions should refer to File interval that is shorter than every 5 Number SR–BX–2015–010. This file C. Self-Regulatory Organization’s number should be included on the seconds; and that the Exchange will Statement on Comments on the indicate the interval on its Web site in subject line if email is used. To help the Proposed Rule Change Received From Commission process and review your conjunction to other information Members, Participants, or Others regarding the Opening Process. comments more efficiently, please use Moreover, the Exchange proposes to add No written comments were either only one method. The Commission will language in current Section 8(c)(2) solicited or received. post all comments on the Commission’s Internet Web site (http://www.sec.gov/ regarding the return of orders in un- III. Date of Effectiveness of the rules/sro.shtml). Copies of the opened symbols in the absence of an Proposed Rule Change and Timing for submission, all subsequent Opening Cross. Thus, if an Opening Commission Action Cross in a symbol is not initiated before amendments, all written statements the conclusion of the Opening Order Because the foregoing proposed rule with respect to the proposed rule Cancel Timer, a firm may elect to have change does not: (i) Significantly affect change that are filed with the orders returned by providing written the protection of investors or the public Commission, and all written notification to the Exchange. These interest; (ii) impose any significant communications relating to the orders include all non GTC orders burden on competition; and (iii) become proposed rule change between the received over the FIX protocol. The operative for 30 days from the date on Commission and any person, other than Opening Order Cancel Timer represents which it was filed, or such shorter time those that may be withheld from the a period of time since the underlying as the Commission may designate, it has public in accordance with the become effective pursuant to Section provisions of 5 U.S.C. 552, will be market has opened, and shall be 27 established and disseminated by BX on 19(b)(3)(A) of the Act and available for Web site viewing and subparagraph (f)(6) of Rule 19b–4 printing in the Commission’s Public its Web site. 28 For the above reasons, BX believes the thereunder. Reference Room, 100 F Street NE., proposed rule change is consistent with Washington, DC 20549, on official the requirements of Section 6(b)(5) of 27 15 U.S.C. 78s(b)(3)(a). business days between the hours of 28 17 CFR 240.19b–4(f)(6). In addition, Rule 19b– the Act. The Exchange believes that the 4(f)(6)(iii) requires a self-regulatory organization to 10:00 a.m. and 3:00 p.m. Copies of such proposed changes significantly improve give the Commission written notice of its intent to filing also will be available for the quality of execution of BX Options’ file the proposed rule change, along with a brief inspection and copying at the principal opening. The proposed changes give description and the text of the proposed rule offices of the Exchange. All comments change, at least five business days prior to the date participants more choice about where, of filing of the proposed rule change, or such received will be posted without change; and when, they can send orders for the shorter time as designated by the Commission. The the Commission does not edit personal opening that would afford them the best Exchange has satisfied this requirement. identifying information from

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submissions. You should submit only II. Self-Regulatory Organization’s Amendment’’).5 The purpose of this information that you wish to make Statement of the Purpose of, and proposed extension is to provide time available publicly. All submissions Statutory Basis for, the Proposed Rule for the Participants to prepare a should refer to File Number SR–BX– Change supplemental assessment and 2015–010, and should be submitted on In its filing with the Commission, the recommendation regarding the Plan and or before March 18, 2015. self-regulatory organization included for the public to comment on such statements concerning the purpose of, assessment for the purpose of For the Commission, by the Division of determining whether there should be Trading and Markets, pursuant to delegated and basis for, the proposed rule change any modifications to the Plan. authority.29 and discussed any comments it received on the proposed rule change. The text In order to align the pilot period for Brent J. Fields, of those statements may be examined at Rule 6.65A(c) with the proposed pilot Secretary. the places specified in Item IV below. period for the Plan, the Exchange [FR Doc. 2015–03819 Filed 2–24–15; 8:45 am] The Exchange has prepared summaries, similarly proposes to extend the pilot BILLING CODE 8011–01–P set forth in sections A, B, and C below, period until October 23, 2015. The of the most significant parts of such Exchange believes the benefits afforded statements. to market participants under Rule SECURITIES AND EXCHANGE 6.65A(c) should continue on a pilot COMMISSION A. Self-Regulatory Organization’s basis during the same period as the Plan Statement of the Purpose of, and pilot. The Exchange continues to believe Statutory Basis for, the Proposed Rule that adding certainty to the execution of [Release No. 34–74308; File No. SR– Change NYSEArca–2015–07] orders in Limit or Straddle States would 1. Purpose encourage market participants to Self-Regulatory Organizations; NYSE The Exchange proposes to extend the continue to provide liquidity to the Arca, Inc.; Notice of Filing and pilot period applicable to Rule 6.65A(c), Exchange, and thus, promote a fair and Immediate Effectiveness of Proposed which addresses how the Exchange orderly market during those periods. Rule Change Extending the Pilot treats Obvious and Catastrophic Errors Thus, the Exchange believes that the Period Applicable to Rule 6.65A(c), during periods of extreme market protections of current Rule 6.65A(c) Obvious and Catastrophic Errors, Until volatility, until October 23, 2015. The should continue while the industry October 23, 2015 pilot period is currently set to expire on gains further experience operating the February 20, 2015. Plan. In addition, the Exchange believes February 19, 2015. In April 2013, in connection with the that extending the pilot period for Rule Pursuant to Section 19(b)(1) of the Plan to Address Extraordinary Market 6.65A(c) would allow the Exchange to continue to collect and evaluate data, as Securities Exchange Act of 1934 (the Volatility Pursuant to Rule 608 of 3 well as to conduct further data analyses, ‘‘Act’’),1 and Rule 19b–4 thereunder,2 Regulation NMS (the ‘‘Plan’’), the related to this provision. notice is hereby given that on February Exchange adopted Rule 6.65A(c) to Specifically, in connection with the 18, 2015, NYSE Arca, Inc. (the provide that options executions would adoption of Rule 6.65A(c), the Exchange ‘‘Exchange’’ or ‘‘NYSE Arca’’) filed with not be adjusted or nullified if the committed to review the operation of the Securities and Exchange execution occurs during periods of 4 this provision and to analyze the impact Commission (‘‘Commission’’) the extreme market volatility. Specifically, Rule 6.65A(c) provides that, during the of Limit and Straddle States proposed rule change as described in accordingly.6 The Exchange agreed to Items I and II below, which Items have pilot period, electronic transactions in options that overlay an NMS Stock that and has been providing to the been prepared by the self-regulatory occur during a Limit State or a Straddle Commission and the public data for organization. The Commission is State (as defined by the Plan) are not each Straddle State and Limit State in publishing this notice to solicit subject to review under Rule 6.87(a) for NMS Stocks underlying options traded comments on the proposed rule change Obvious Errors or Rule 6.87(d) for on the Exchange beginning in April from interested persons. Catastrophic Errors. Nothing in Rule 2013, limited to those option classes I. Self-Regulatory Organization’s 6.65A(c) prevents electronic that have at least one (1) trade on the Statement of the Terms of the Substance transactions in options that overlay an Exchange during a Straddle State or 7 of the Proposed Rule Change NMS Stock that occur during a Limit Limit State. For each of those option State or a Straddle State from being classes affected, each data record The Exchange proposes to extend the reviewed on Exchange motion pursuant contains the following information: pilot period applicable to Rule 6.65A(c), to 6.87(b)(3). • Stock symbol, option symbol, time which addresses how the Exchange The Plan has been amended several at the start of the Straddle or Limit treats Obvious and Catastrophic Errors times since inception and was not during periods of extreme market implemented until February 24, 2014. 5 See Securities Exchange Act Release No. 74110 volatility, until October 23, 2015. The The Participants to the Plan recently (January 21, 2015), 80 FR 4321 (January 27, 2015) filed to extend the Plan’s pilot period (File No. 4–631) (notice of proposed Eighth pilot period is currently set to expire on Amendment to the Plan). February 20, 2015. The text of the until October 23, 2015 (the ‘‘Eighth 6 Specifically, the Exchange committed to: ‘‘(1) proposed rule change is available on the Evaluate the options market quality during Limit Exchange’s Web site at www.nyse.com, 3 See Securities Exchange Act Release No. 67091 States and Straddle States; (2) assess the character (May 31, 2012), 77 FR 33498 (June 6, 2012) (File of incoming order flow and transactions during at the principal office of the Exchange, No. 4–631) (Order Approving, on a Pilot Basis, the Limit States and Straddle States; and (3) review any and at the Commission’s Public Plan). The Plan is designed to prevent trades in complaints from members and their customers Reference Room. individual NMS Stocks from occurring outside of concerning executions during Limit States and specified Price Bands, which are described in more Straddle States.’’ See Approval Order, 78 FR at detail in the Plan. 22008. 29 17 CFR 200.30–3(a)(12). 4 See Securities and Exchange Act Release No. 7 See Securities Exchange Act Release No. 71869 1 15 U.S.C. 78s(b)(1). 69340 (April 8, 2013), 78 FR 22004 (April 12, 2013) (April 4, 2014), 79 FR 19689 (April 9, 2014) (SR– 2 17 CFR 240.19b–4. (SR–NYSEArca–2013–10) (‘‘Approval Order’’). NYSEArca–2014–36).

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State, an indicator for whether it is a system and, in general, to protect protection of investors or the public Straddle or Limit State. investors and the public interest. interest; (ii) impose any significant • For activity on the Exchange: Specifically, the proposal to extend burden on competition; and (iii) become • executed volume, time-weighted the pilot program of Rule 6.65A(c) until operative for 30 days from the date on quoted bid-ask spread, time-weighted October 23, 2015 would align that pilot which it was filed, or such shorter time average quoted depth at the bid, time- program with the Pilot Period for the as the Commission may designate if weighted average quoted depth at the Plan, as proposed in the Eighth consistent with the protection of offer; Amendment to the Plan. The Exchange investors and the public interest, the • high execution price, low execution believes that aligning the pilot periods proposed rule change has become price; would ensure that trading in options effective pursuant to Section 19(b)(3)(A) • number of trades for which a that overlay NMS Stocks continues to be of the Act 10 and Rule 19b–4(f)(6)(iii) request for review for error was received appropriately modified to reflect market thereunder.11 during Straddle and Limit States; conditions that occur during a Limit The Exchange has asked the • an indicator variable for whether State or a Straddle State in a manner Commission to waive the 30-day those options outlined above have a that promotes just and equitable operative delay so that the proposal may price change exceeding 30% during the principles of trade and removes become operative immediately upon underlying stock’s Limit or Straddle impediments to, and perfects the filing. The Commission believes that state compared to the last available mechanism of, a free and open market waiving the 30-day operative delay is option price as reported by OPRA before and a national market system. The consistent with the protection of the start of the Limit or Straddle State Exchange believes that the extension of investors and the public interest, as it (1 if observe 30% and 0 otherwise). Rule 6.65A(c) would help encourage will allow the obvious error pilot Another indicator variable for whether market participants to continue to program to continue uninterrupted the option price within five minutes of provide liquidity during extraordinary while the industry gains further the underlying stock leaving the Limit market volatility. experience operating under the Plan, or Straddle state (or halt if applicable) Moreover, the Exchange believes that and avoid any investor confusion that is 30% away from the price before the extending the pilot period for Rule could result from a temporary start of the Limit or Straddle state. 6.65A(c) would remove impediments to, interruption in the pilot program. For In addition, the Exchange has and perfect the mechanisms of, a free this reason, the Commission designates committed to provide to the and open market because it would the proposed rule change to be operative Commission by May 29, 2015 enable the Exchange to continue to upon filing.12 assessments relating to the impact of the continue to conduct its assessments At any time within 60 days of the operation of the Obvious Error rules relating to the impact of the operation filing of the proposed rule change, the during Limit and Straddle States as of the Obvious Error rules during Limit Commission summarily may follows: (1) Evaluate the statistical and and Straddle States as set forth above, temporarily suspend such rule change if economic impact of Limit and Straddle which, in turn, provides the Exchange it appears to the Commission that such States on liquidity and market quality in with more information from which to action is necessary or appropriate in the the options markets; and (2) Assess assess the impact of Rule 6.65A(c). public interest, for the protection of whether the lack of Obvious Error rules investors, or otherwise in furtherance of in effect during the Straddle and Limit B. Self-Regulatory Organization’s the purposes of the Act. If the States are problematic. The Exchange Statement on Burden on Competition Commission takes such action, the notes that, to date, there have not been The Exchange does not believe that Commission shall institute proceedings any requests for review of Obvious Error the proposed rule change will impose to determine whether the proposed rule of options trades that occur during a any burden on competition that is not should be approved or disapproved. Limit or Straddle State in the necessary or appropriate in furtherance IV. Solicitation of Comments underlying security. of the purposes of the Act. The The Exchange believes that the proposed changes will not impose any Interested persons are invited to extension of the pilot period of Rule burden on competition and will instead submit written data, views, and 6.65A(c) would allow the Exchange to provide certainty regarding the arguments concerning the foregoing, continue to observe the operation of the treatment and execution of options including whether the proposed rule pilot and conduct its assessments orders, specifically the treatment of change is consistent with the Act. relating to the impact of the operation Obvious and Catastrophic Errors during Comments may be submitted by any of of the Rule during Limit and Straddle periods of extraordinary volatility in the the following methods: States, which information will continue underlying NMS Stock, and will Electronic Comments to be shared with the Commission and facilitate appropriate liquidity during a • Use the Commission’s Internet the public as set forth above. Limit State or Straddle State. comment form (http://www.sec.gov/ 2. Statutory Basis C. Self-Regulatory Organization’s rules/sro.shtml); or The Exchange believes the proposed Statement on Comments on the Proposed Rule Change Received From 10 15 U.S.C. 78s(b)(3)(A). rule change is consistent with Section 11 17 CFR 240.19b–4(f)(6)(iii). As required under 8 Members, Participants, or Others 6(b) of the Act in general, and furthers Rule 19b–4(f)(6)(iii), the Exchange provided the the objectives of Section 6(b)(5),9 in No written comments were solicited Commission with written notice of its intent to file particular, in that it is designed to or received with respect to the proposed the proposed rule change, along with a brief description and the text of the proposed rule promote just and equitable principles of rule change. change, at least five business days prior to the date trade, remove impediments to and III. Date of Effectiveness of the of filing of the proposed rule change, or such perfect the mechanisms of, a free and shorter time as designated by the Commission. Proposed Rule Change and Timing for 12 open market and a national market For purposes only of waiving the 30-day Commission Action operative delay, the Commission has also considered the proposed rule’s impact on 8 15 U.S.C. 78f(b). Because the proposed rule change efficiency, competition, and capital formation. See 9 15 U.S.C. 78f(b)(5). does not (i) significantly affect the 15 U.S.C. 78c(f).

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• Send an email to rule- SECURITIES AND EXCHANGE The Exchange represents that the [email protected]. Please include File COMMISSION Adviser and Sub-Adviser are not registered as broker-dealers, and the Number SR–NYSEArca–2015–07 on the [Release No. 34–74303; File No. SR– subject line. NASDAQ–2014–127] Sub-Adviser it not affiliated with a broker-dealer; however, the Exchange Paper Comments Self-Regulatory Organizations; The represents that the Adviser is affiliated with a broker-dealer. The Exchange • Send paper comments in triplicate NASDAQ Stock Market LLC; Order states that the Adviser has implemented to Brent J. Fields, Secretary, Securities Granting Approval of Proposed Rule Change Relating to the Listing and a fire wall with respect to its broker and Exchange Commission, 100 F Street dealer affiliate regarding access to NE., Washington, DC 20549–1090. Trading of the Shares of the Tuttle Tactical Management U.S. Core ETF of information concerning the composition All submissions should refer to File ETFis Series Trust I of or changes to the portfolio.5 The Number SR–NYSEArca–2015–07. This Exchange also represents that the Shares file number should be included on the February 19, 2015. will be subject to Nasdaq Rule 5735, subject line if email is used. To help the I. Introduction which sets forth the initial and continued listing criteria applicable to Commission process and review your On December 19, 2014, The NASDAQ comments more efficiently, please use Managed Fund Shares, and that for Stock Market LLC (‘‘Nasdaq’’ or initial and continued listing, the Fund only one method. The Commission will ‘‘Exchange’’) filed with the Securities must be in compliance with Rule 10A– post all comments on the Commission’s and Exchange Commission 3 under the Act.6 Internet Web site (http://www.sec.gov/ (‘‘Commission’’), pursuant to Section The Exchange has made the following rules/sro.shtml). Copies of the 19(b)(1) of the Securities Exchange Act representations and statements in submission, all subsequent of 1934 (‘‘Act’’) 1 and Rule 19b–4 describing the Fund and its investment amendments, all written statements thereunder,2 a proposed rule change to strategy, including, among other things, with respect to the proposed rule list and trade the shares (‘‘Shares’’) of portfolio holdings and investment change that are filed with the the Tuttle Tactical Management U.S. restrictions. Commission, and all written Core ETF (‘‘Fund’’) under Nasdaq Rule A. Principal Investments of the Fund communications relating to the 5735. The proposed rule change was proposed rule change between the published for comment in the Federal According to the Exchange, the 3 Commission and any person, other than Register on January 6, 2015. The Fund’s investment objective will be to those that may be withheld from the Commission received no comments on provide long-term capital appreciation, the proposal. This order grants approval public in accordance with the while maintaining a secondary of the proposed rule change. provisions of 5 U.S.C. 552, will be emphasis on capital preservation, primarily through investments in the available for Web site viewing and II. Description of the Proposed Rule U.S. equity market. The Sub-Adviser printing in the Commission’s Public Change will employ four tactical models in Reference Room, 100 F Street NE., The Exchange proposes to list and seeking to achieve the Fund’s Washington, DC 20549 on official trade Shares of the Fund under Nasdaq investment objective: ‘‘S&P 500 business days between the hours of Rule 5735, which governs the listing Absolute Momentum,’’ ‘‘Relative 10:00 a.m. and 3:00 p.m. Copies of such and trading of Managed Fund Shares on Strength Equity,’’ ‘‘Beta Opportunities,’’ filing also will be available for the Exchange. The Shares will be and ‘‘Short-Term S&P 500 Counter inspection and copying at the principal offered by ETFis Series Trust I Trend.’’ While the Sub-Adviser will office of the Exchange. All comments (‘‘Trust’’), which is registered with the generally seek to maintain an equal received will be posted without change; Commission as an investment weighting among these four tactical the Commission does not edit personal company.4 The Fund is a series of the models, market movements may result identifying information from Trust. in the Fund being overweight or submissions. You should submit only Etfis Capital LLC will be the underweight one or more of the tactical investment adviser (‘‘Adviser’’), and information that you wish to make models. The Fund will be an actively Tuttle Tactical Management, LLC will available publicly. All submissions managed exchange-traded fund (‘‘ETF’’) be the investment sub-adviser (‘‘Sub- should refer to File Number SR– that seeks to achieve its investment Adviser’’), to the Fund. ETF Distributors objective by utilizing a long-only, multi- NYSEArca–2015–07, and should be LLC will be the principal underwriter submitted on or before March 18, 2015. strategy, tactically-managed exposure to and distributor of the Fund’s Shares, the U.S. equity market. To obtain such For the Commission, by the Division of and Bank of New York Mellon will act exposure, the Sub-Adviser will invest, Trading and Markets, pursuant to delegated as the administrator, accounting agent, under normal circumstances, not less authority.13 custodian, and transfer agent to the Brent J. Fields, Fund. 5 See Nasdaq Rule 5735(g). The Exchange states Secretary. that, in the event (a) the Adviser or the Sub-Adviser 1 15 U.S.C. 78s(b)(1). becomes newly affiliated with a broker-dealer or [FR Doc. 2015–03816 Filed 2–24–15; 8:45 am] 2 17 CFR 240.19b–4. registers as a broker-dealer, or (b) any new adviser BILLING CODE 8011–01–P 3 See Securities Exchange Act Release No. 73960 or sub-adviser is a registered broker-dealer or (Dec. 30, 2014), 80 FR 540 (‘‘Notice’’). becomes affiliated with a broker-dealer, the 4 According to the Exchange, the Trust has filed Adviser, the Sub-Adviser, or any new adviser or a registration statement on Form N–1A sub-adviser, as the case may be, will implement a (‘‘Registration Statement’’) with the Commission. fire wall with respect to its relevant personnel and See Registration Statement on Form N–1A for the its broker-dealer affiliate, as applicable, regarding Trust filed on July 24, 2014 (File Nos. 333–187668 access to information concerning the composition and 811–22819). In addition, the Exchange states of or changes to the portfolio, and will be subject that the Trust has obtained certain exemptive relief to procedures designed to prevent the use and under the 1940 Act. See Investment Company Act dissemination of material, non-public information Release No. 30607 (, 2013) (‘‘Exemptive regarding the portfolio. 13 17 CFR 200.30–3(a)(12). Order’’). 6 See 17 CFR 240.10A–3.

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than 80% of the Fund’s assets in: (1) C. Investment Restrictions of the Fund III. Discussion and Commission Other ETFs; 7 (2) exchange-traded notes Findings 8 As stated above, the Fund will invest (‘‘ETNs’’); (3) exchange-traded trusts After careful review, the Commission that hold commodities (‘‘ETTs,’’ and not less than 80% of its total assets in shares of ETPs, individually selected finds that the proposed rule change is together with ETFs and ETNs, consistent with the requirements of U.S. exchange-traded common stocks collectively, ‘‘ETPs’’); (4) individually Section 6 of the Act 11 and the rules and (when the Sub-Adviser determines that selected U.S. exchange-traded common regulations thereunder applicable to a it is more efficient or otherwise stocks (when the Sub-Adviser national securities exchange.12 In advantageous to do so), money market determines that it is more efficient or particular, the Commission finds that funds, U.S. treasuries, or money market otherwise advantageous to do so); (5) the proposed rule change is consistent money market funds; (6) U.S. treasuries; instruments. The Fund will not with the requirements of Section 6(b)(5) or (7) money market instruments.9 To purchase securities of open-end or of the Act,13 which requires, among the extent that the Fund invests in ETFs closed-end investment companies other things, that the Exchange’s rules or money market funds to gain domestic except in compliance with the 1940 Act. be designed to prevent fraudulent and exposure, the Fund is considered, in In addition, the Fund will not use manipulative acts and practices, to part, a ‘‘fund of funds.’’ derivative instruments, including promote just and equitable principles of options, swaps, forwards, and futures B. Other Investments of the Fund trade, to foster cooperation and contracts, either listed or over-the- coordination with persons engaged in In order to seek its investment counter. Under normal circumstances, facilitating transactions in securities, to objective, the Fund will not employ the Fund will not invest more than 25% remove impediments to and perfect the other strategies outside of the above- of its total assets in leveraged ETPs. The mechanism of a free and open market described ‘‘Principal Investments.’’ Fund does not presently intend to and a national market system, and, in However, the Fund may, from time to engage in any form of borrowing for general, to protect investors and the time, take temporary defensive positions investment purposes, and will not be public interest. that are inconsistent with the Fund’s operated as a ‘‘leveraged ETF,’’ i.e., it The Commission finds that the principal investment strategies in an will not be operated in a manner proposal to list and trade the Shares on attempt to respond to adverse market, designed to seek a multiple of the the Exchange is consistent with Section economic, political, or other conditions. performance of an underlying reference 11A(a)(1)(C)(iii) of the Act,14 which sets In such circumstances, the Fund may index. forth the finding of Congress that it is in also hold up to 100% of its portfolio in The Fund may hold up to an aggregate the public interest and appropriate for cash or other short-term, highly liquid amount of 15% of its net assets in the protection of investors and the investments, such as money market illiquid securities and other illiquid maintenance of fair and orderly markets instruments, U.S. government assets (calculated at the time of to assure the availability to brokers, obligations, commercial paper, investment). The Fund will monitor its dealers, and investors of information repurchase agreements, or other cash portfolio liquidity on an ongoing basis with respect to quotations for, and equivalents. When the Fund takes a to determine whether, in light of current transactions in, securities. Quotation temporary defensive position, the Fund circumstances, an adequate level of and last-sale information for the Shares will be available via Nasdaq proprietary may not be able to achieve its liquidity is being maintained, and will quote and trade services, as well as in investment objective. consider taking appropriate steps in accordance with the Unlisted Trading order to maintain adequate liquidity if, Privileges and the Consolidated Tape 7 The Exchange states that ETFs included in the through a change in values, net assets, Association plans for the Shares and Fund will be listed and traded in the U.S. on or other circumstances, more than 15% registered exchanges. The Fund may invest in the any underlying ETPs.15 In addition, the of the Fund’s net assets are held in securities of ETFs in excess of the limits imposed Intraday Indicative Value (as defined in under the 1940 Act pursuant to exemptive orders illiquid securities or other illiquid Nasdaq Rule 5735(c)(3)), which will be obtained by other ETFs and their sponsors from the assets. Illiquid securities and other based upon the current value of the Commission. The ETFs in which the Fund may illiquid assets include securities subject invest include Index Fund Shares (as described in components of the Disclosed Portfolio Nasdaq Rule 5705), Portfolio Depositary Receipts to contractual or other restrictions on (as defined in Nasdaq Rule 5735(c)(2)), (as described in Nasdaq Rule 5705), and Managed resale and other instruments that lack Fund Shares (as described in Nasdaq Rule 5735). will be available on the NASDAQ OMX readily available markets, as determined Information LLC proprietary index data While the Fund may invest in leveraged ETFs (e.g., in accordance with Commission staff 2X or 3X), the Fund will not invest in inverse or service 16 and will be updated and inverse leveraged ETFs. The shares of ETFs in guidance. widely disseminated and broadly which a Fund may invest will be limited to Additional information regarding the securities that trade in markets that are members of displayed at least every 15 seconds the Intermarket Surveillance Group (‘‘ISG’’), which Trust, Fund, and Shares, including during the Regular Market Session.17 On includes all U.S. national securities exchanges, or investment strategies and restrictions, each business day, before are parties to a comprehensive surveillance sharing risks, creation and redemption agreement with the Exchange. procedures, fees, portfolio holdings 11 15 U.S.C. 78(f). 8 The Exchange represents that ETNs will be 12 In approving this proposed rule change, the limited to those described in Nasdaq Rule 5710. disclosure policies, distributions and Commission notes that it has considered the 9 taxes, calculation of net asset value per According to the Exchange, money market proposed rule’s impact on efficiency, competition, instruments will include securities that are issued share (‘‘NAV’’), availability of and capital formation. See 15 U.S.C. 78c(f). or guaranteed by the U.S. Treasury, by various information, trading rules and halts, and 13 15 U.S.C. 78f(b)(5). agencies of the U.S. government, or by various 14 instrumentalities that have been established or surveillance procedures, among other 15 U.S.C. 78k–1(a)(1)(C)(iii). sponsored by the U.S. government. U.S. Treasury things, can be found in the Notice, 15 See Notice, supra note 3, 80 FR at 544. obligations are backed by the ‘‘full faith and credit’’ Registration Statement, and Exemptive 16 According to the Exchange, the NASDAQ OMX of the U.S. government. Securities issued or Order, as applicable.10 Global Index Data Service offers real-time updates, guaranteed by federal agencies and U.S. daily summary messages, and access to widely government-sponsored instrumentalities may or followed indexes and Intraday Indicative Values for may not be backed by the full faith and credit of 10 See Notice, supra note 3; see also Registration ETFs. See id., 80 FR at 543. the U.S. government. Statement and Exemptive Order, supra note 4. 17 See id.

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commencement of trading in Shares in other investors.23 In addition, BNY material, non-public information the Regular Market Session on the Mellon, through the National Securities regarding the actual components of the Exchange, the Fund will disclose on its Clearing Corporation, will also make portfolio.29 The Exchange states that it Web site the Disclosed Portfolio, which available on each business day, prior to has a general policy prohibiting the will form the basis for the Fund’s the opening of business of the Exchange distribution of material, non-public calculation of NAV at the end of the (currently 9:30 a.m., E.T.), the list of the information by its employees.30 The business day.18 The NAV of the Fund names and the quantity of each security Exchange also states that the Adviser is will be determined once each business to be included (based on information at affiliated with a broker-dealer, and that day, normally as of the close of trading the end of the previous business day), the Adviser has implemented a fire wall on the New York Stock Exchange subject to any adjustments as described with respect to its broker-dealer affiliate (normally 4:00 p.m. Eastern time or below, in order to effect redemptions of regarding access to information ‘‘E.T.’’).19 Information regarding market Creation Unit aggregations of the Fund concerning the composition of or price and volume of the Shares will be until such time as the next-announced changes to the portfolio.31 The Financial continually available on a real-time composition of the Fund Securities is Industry Regulatory Authority basis throughout the day on brokers’ made available.24 The Fund’s Web site (‘‘FINRA’’), on behalf of the Exchange, computer screens and other electronic will include a form of the prospectus for will communicate as needed regarding services.20 Information regarding the the Fund and additional data relating to trading in the Shares and other previous day’s closing price and trading NAV and other applicable quantitative exchange-traded securities and volume information for the Shares will information.25 instruments held by the Fund with be published daily in the financial The Commission further believes that other markets and other entities that are section of newspapers.21 Price the proposal to list and trade the Shares ISG members, and FINRA, on behalf of information regarding the ETPs, equity is reasonably designed to promote fair the Exchange, may obtain trading securities, U.S. treasuries, money disclosure of information that may be information regarding trading in the market instruments, and money market necessary to price the Shares Shares and other exchange-traded funds held by the Fund will be available appropriately and to prevent trading securities and instruments held by the through the U.S. exchanges trading such when a reasonable degree of Fund from such markets and other assets, in the case of exchange-traded transparency cannot be assured. The entities. In addition, the Exchange may securities, as well as automated Commission notes that the Exchange obtain information regarding trading in quotation systems, published or other will obtain a representation from the the Shares and other exchange-traded issuer of the Shares that the NAV will public sources, or on-line information securities and instruments held by the be calculated daily and that the NAV services such as Bloomberg or Reuters.22 Fund from markets and other entities and the Disclosed Portfolio will be made Intra-day price information will also be that are members of ISG or with which available to all market participants at available through subscription services, the Exchange has in place a the same time.26 Further, trading in the such as Bloomberg, Markit, and comprehensive surveillance sharing Shares will be subject to Nasdaq Thomson Reuters, which can be agreement.32 5735(d)(2)(D), which sets forth accessed by authorized participants and The Exchange represents that it deems circumstances under which trading in the Shares to be equity securities, thus the Shares may be halted.27 The 18 rendering trading in the Shares subject On a daily basis, the Disclosed Portfolio will Exchange also may halt trading in the include each portfolio security and other financial instruments of the Fund with the following Shares if trading is not occurring in the 29 See Nasdaq Rule 5735(d)(2)(B)(ii). information on the Fund’s Web site: (1) ticker securities or the financial instruments 30 See Notice, supra note 3, 80 FR at 544. symbol (if applicable); (2) name of security and constituting the Disclosed Portfolio or if 31 See supra note 5 and accompanying text. The financial instrument; (3) number of shares (if other unusual conditions or Exchange further represents that an investment applicable); (4) dollar value of securities and circumstances detrimental to the adviser to an open-end fund is required to be financial instruments held in the Fund; and (5) registered under the Investment Advisers Act of percentage weighting of the security and financial maintenance of a fair and orderly 1940 (‘‘Advisers Act’’). As a result, the Adviser, the instrument in the Fund. The Web site information market are present.28 Further, the Sub-Adviser, and their related personnel are subject will be publicly available at no charge. See id. Commission notes that the Reporting to the provisions of Rule 204A–1 under the 19 See id., 80 FR at 542. The Exchange notes that, Authority that provides the Disclosed Advisers Act relating to codes of ethics. This Rule for purposes of calculating NAV, the Fund’s requires investment advisers to adopt a code of investments will be valued at market value (i.e., the Portfolio must implement and maintain, ethics that reflects the fiduciary nature of the price at which a security is trading and could or be subject to, procedures designed to relationship to clients as well as compliance with presumably be purchased or sold) or, in the absence prevent the use and dissemination of applicable federal securities laws as defined in Rule of market value with respect to any investment, at 204A–1(e)(4). Accordingly, procedures designed to fair value in accordance with valuation procedures prevent the communication and misuse of 23 See id. adopted by the Board and in accordance with the nonpublic information by an investment adviser 24 1940 Act. Common stocks and equity securities See id., 80 FR at 542. must be consistent with Rule 204A–1 under the (including shares of ETPs) will be valued at the last 25 See id., 80 FR at 543. Advisers Act. In addition, Rule 206(4)-7 under the sales price on that exchange. Portfolio securities 26 See id. at 544. Advisers Act makes it unlawful for an investment traded on more than one securities exchange will 27 See id. adviser to provide investment advice to clients be valued at the last sale price or, if so disseminated 28 See id. See also Nasdaq Rule 5735(d)(2)(C) unless such investment adviser has (i) adopted and by an exchange, the official closing price, as (providing additional considerations for the implemented written policies and procedures applicable, at the close of the exchange representing suspension of trading in or removal from listing of reasonably designed to prevent violation, by the the principal exchange or market for such securities Managed Fund Shares on the Exchange). With investment adviser and its supervised persons, of on the business day as of which such value is being respect to trading halts, the Exchange may consider the Advisers Act and the Commission rules adopted determined. U.S. Treasuries are valued using all relevant factors in exercising its discretion to thereunder; (ii) implemented, at a minimum, an quoted market prices, and money market funds are halt or suspend trading in the Shares of the Fund. annual review regarding the adequacy of the valued at the net asset value reported by the funds. Nasdaq will halt or pause trading in the Shares policies and procedures established pursuant to For all security types in which the Fund may under the conditions specified in Nasdaq Rules subparagraph (i) above and the effectiveness of their invest, the Fund’s primary pricing source is IDC; its 4120 and 4121, including the trading pauses under implementation; and (iii) designated an individual secondary source is Reuters; and its tertiary source Nasdaq Rules 4120(a)(11) and (12). Trading also (who is a supervised person) responsible for is Bloomberg. may be halted because of market conditions or for administering the policies and procedures adopted 20 See id., 80 FR at 544. reasons that, in the view of the Exchange, make under subparagraph (i) above. 21 See id. trading in the Shares inadvisable. See Notice, supra 32 For a list of the current members of ISG, see 22 See id., 80 FR at 543. note 3, 80 FR at 544. www.isgportal.org.

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to the Exchange’s existing rules traded common stocks (when the Sub- SECURITIES AND EXCHANGE governing the trading of equity Adviser determines that it is more COMMISSION securities. In support of this proposal, efficient or otherwise advantageous to the Exchange has also made the do so), money market funds, U.S. [Release No. 34–74312; File No. SR–CBOE– following representations: treasuries, or money market 2015–18] (1) The Shares will be subject to Rule instruments. In order to seek its 5735, which sets forth the initial and investment objective, the Fund will not Self-Regulatory Organizations; continued listing criteria applicable to employ other strategies outside of the Chicago Board Options Exchange, Managed Fund Shares. above-described ‘‘Principal Incorporated; Notice of Filing and (2) The Exchange has appropriate Investments.’’ rules to facilitate transactions in the Immediate Effectiveness of a Proposed (8) The Fund may hold up to an Rule Change Relating to Exchange Shares during all trading sessions. aggregate amount of 15% of its net (3) Prior to the commencement of Rule 6.25 assets in illiquid assets (calculated at trading, the Exchange will inform its the time of investment) and will February 19, 2015. members in an Information Circular of monitor its portfolio liquidity on an the special characteristics and risks Pursuant to Section 19(b)(1) of the ongoing basis to determine whether, in associated with trading the Shares. Securities Exchange Act of 1934 (the light of current circumstances, an Specifically, the Information Circular ‘‘Act’’),1 and Rule 19b–4 thereunder,2 adequate level of liquidity is being will discuss the following: (a) The notice is hereby given that, on February maintained. The Fund will consider procedures for purchases and taking appropriate steps in order to 19, 2015, Chicago Board Options redemptions of Shares in Creation Units maintain adequate liquidity if, through Exchange, Incorporated (the ‘‘Exchange’’ (and that Shares are not individually or ‘‘CBOE’’) filed with the Securities redeemable); (b) Nasdaq Rule 2111A, a change in values, net assets, or other circumstances, more than 15% of the and Exchange Commission (the which imposes suitability obligations on ‘‘Commission’’) the proposed rule Nasdaq members with respect to Fund’s net assets are held in illiquid assets. change as described in Items I and II recommending transactions in the below, which Items have been prepared Shares to customers; (c) how (9) While the Fund may invest in by the Exchange. The Commission is information regarding the Intraday leveraged ETFs (e.g., 2X or 3X), the publishing this notice to solicit Indicative Value and Disclosed Portfolio Fund will not invest in inverse or is disseminated; (d) the risks involved inverse leveraged ETFs. Under normal comments on the proposed rule change in trading the Shares during the Pre- circumstances, the Fund will not invest from interested persons. Market and Post-Market Sessions when more than 25% of its total assets in I. Self-Regulatory Organization’s an updated Intraday Indicative Value leveraged ETPs. The Fund will not be Statement of the Terms of the Substance operated in a manner designed to seek will not be calculated or publicly of the Proposed Rule Change disseminated; (e) the requirement that a multiple of the performance of an members deliver a prospectus to underlying reference index. The Exchange proposes to extend a investors purchasing newly issued (10) The Fund will not use derivative pilot program related to Rule 6.25 Shares prior to or concurrently with the instruments, including options, swaps, (Nullification and Adjustment of confirmation of a transaction; and (f) forwards, and futures contracts. Options Transactions). The text of the trading information. (11) The Fund’s investments will be proposed rule change is available on the (4) Trading in the Shares will be consistent with the Fund’s investment Exchange’s Web site (http:// subject to the existing trading objective. www.cboe.com/AboutCBOE/ surveillances, administered by both The Commission notes that the Fund CBOELegalRegulatoryHome.aspx), at 33 Nasdaq and FINRA, on behalf of the and the Shares must comply with the the Exchange’s Office of the Secretary, Exchange. The trading surveillance requirements of Nasdaq Rule 5735 to be and at the Commission’s Public procedures are designed to detect initially and continuously listed and Reference Room. violations of Exchange rules and traded on the Exchange. This approval applicable federal securities laws. These order is based on all of the Exchange’s II. Self-Regulatory Organization’s procedures are adequate to properly representations and description of the Statement of the Purpose of, and monitor Exchange trading of the Shares Fund, including those set forth above Statutory Basis for, the Proposed Rule in all trading sessions and to deter and and in the Notice. Change detect violations of Exchange rules and applicable federal securities laws. IV. Conclusion In its filing with the Commission, the (5) For initial and continued listing, It is therefore ordered, pursuant to Exchange included statements the Fund must be in compliance with Section 19(b)(2) of the Act,35 that the concerning the purpose of and basis for 34 Rule 10A–3 under the Act. proposed rule change (SR–NASDAQ– the proposed rule change and discussed (6) A minimum of 100,000 Shares will 2014–127), be, and it hereby is, any comments it received on the be outstanding at the commencement of approved. proposed rule change. The text of these trading on the Exchange. statements may be examined at the For the Commission, by the Division of (7) The Fund will invest at least 80% places specified in Item IV below. The of its assets under normal market Trading and Markets, pursuant to delegated 36 Exchange has prepared summaries, set conditions in shares of ETPs, authority. forth in sections A, B, and C below, of individually selected U.S. exchange- Brent J. Fields, Secretary. the most significant aspects of such 33 According to the Exchange, FINRA surveils [FR Doc. 2015–03812 Filed 2–24–15; 8:45 am] statements. trading on the Exchange pursuant to a regulatory BILLING CODE 8011–01–P services agreement. The Exchange is responsible for FINRA’s performance under this regulatory services agreement. See Notice, supra note 3, 80 FR at 544. 35 15 U.S.C. 78s(b)(2). 1 15 U.S.C. 78s(b)(1). 34 17 CFR 240.10A–3. 36 17 CFR 200.30–3(a)(12). 2 17 CFR 240.19b–4.

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A. Self-Regulatory Organization’s to the last available option price as in regulating, clearing, settling, Statement of the Purpose of, and reported by OPRA before the start of the processing information with respect to, Statutory Basis for, the Proposed Rule limit or straddle state (1 if observe 30% and facilitating transactions in Change and 0 otherwise), and another indicator securities, to remove impediments to variable for whether the option price and perfect the mechanism of a free and 1. Purpose within five minutes of the underlying open market and a national market The purpose of this filing is to extend stock leaving the limit or straddle state system, and, in general, to protect the effectiveness of the Exchange’s (or halt if applicable) is 30% away from investors and the public interest. current rule applicable to obvious the price before the start of the limit or Additionally, the Exchange believes the errors. Interpretation and Policy .06 to straddle state. proposed rule change is consistent with Rule 6.25, explained in further detail In addition, the Exchange will the Section 6(b)(5)5 requirement that the below, is currently operating on a pilot provide to the Commission and the rules of an exchange not be designed to program set to expire on February 20, public, no later than May 29, 2015, permit unfair discrimination between 2015. The Exchange proposes to extend assessments relating to the impact of the customers, issuers, brokers, or dealers. the pilot program to October 23, 2015. operation of the obvious error rules In particular, the Exchange further On , 2013, the Commission during limit and straddle states believes that it is necessary and approved, on a pilot basis, amendments including: (1) An evaluation of the appropriate in the interest of promoting to Exchange Rule 6.25 that stated that statistical and economic impact of limit fair and orderly markets to exclude options executions will not be adjusted and straddle states on liquidity and transactions executed during a limit or or nullified if the execution occurs market quality in the options markets, straddle state from certain aspects of the while the underlying security is in a and (2) an assessment of whether the Exchange Rule 6.25. The Exchange limit or straddle state as defined by the lack of obvious error rules in effect believes the application of the current Plan. Under the terms of this current during the straddle and limit states are rule will be impracticable given the lack pilot program, though options problematic. of a reliable NBBO in the options market executions will generally not be The Exchange is now proposing to during limit and straddle states, and adjusted or nullified while the extend the pilot period until October 23, that the resulting actions (i.e., nullified underlying security is in a limit or 2015. The Exchange believes the trades or adjusted prices) may not be straddle state, such executions may be benefits to market participants from this appropriate given market conditions. reviewed by the Exchange should the provision should continue on a pilot Extension of this pilot would ensure Exchange decide to do so under its own basis. The Exchange continues to that limit orders that are filled during a motion. believe that adding certainty to the limit or straddle state would have Pursuant to a comment letter filed in execution of orders in limit or straddle certainty of execution in a manner that connection with the order approving the states will encourage market promotes just and equitable principles establishment of the pilot, the Exchange participants to continue to provide of trade, removes impediments to, and committed to submit monthly data liquidity to the Exchange, and, thus, perfects the mechanism of a free and regarding the program. In addition, the promote a fair and orderly market open market and a national market Exchange agreed to submit an overall during these periods. Barring this system. Thus, the Exchange believes analysis of the pilot in conjunction with provision, the provisions of Rule 6.25 that the protections of the pilot should the data submitted under the Plan and would likely apply in many instances continue while the industry gains any other data as requested by the during limit and straddle states. The further experience operating the Plan. Commission. Pursuant to a rule filing, Exchange believes that continuing the approved on , 2014, each month, pilot will protect against any B. Self-Regulatory Organization’s the Exchange committed to provide the unanticipated consequences in the Statement on Burden on Competition Commission, and the public, a dataset options markets during a limit or CBOE does not believe that the containing the data for each straddle straddle state. Thus, the Exchange proposed rule change will impose any and limit state in optionable stocks that believes that the protections of current burden on competition that is not had at least one trade on the Exchange. Rule should continue while the industry necessary or appropriate in furtherance The Exchange will continue to provide gains further experience operating the of the purposes of the Act. Specifically, the Commission with this data on a Plan. the Exchange believes that, by extending monthly basis from February 2015 the expiration of the pilot, the proposed through the end of the pilot. For each 2. Statutory Basis rule change will allow for further trade on the Exchange, the Exchange The Exchange believes the proposed analysis of the pilot and a determination will provide (a) the stock symbol, option rule change is consistent with the of how the pilot shall be structured in symbol, time at the start of the straddle Securities Exchange Act of 1934 (the the future. In doing so, the proposed or limit state, an indicator for whether ‘‘Act’’) and the rules and regulations rule change will also serve to promote it is a straddle or limit state, and (b) for thereunder applicable to the Exchange regulatory clarity and consistency, the trades on the Exchange, the and, in particular, the requirements of thereby reducing burdens on the executed volume, time-weighted quoted Section 6(b) of the Act.3 Specifically, marketplace and facilitating investor bid-ask spread, time-weighted average the Exchange believes the proposed rule protection. quoted depth at the bid, time-weighted change is consistent with the Section average quoted depth at the offer, high 6(b)(5) 4 requirements that the rules of C. Self-Regulatory Organization’s execution price, low execution price, an exchange be designed to prevent Statement on Comments on the number of trades for which a request for fraudulent and manipulative acts and Proposed Rule Change Received From review for error was received during practices, to promote just and equitable Members, Participants, or Others straddle and limit states, an indicator principles of trade, to foster cooperation The Exchange neither solicited nor variable for whether those options and coordination with persons engaged received comments on the proposed outlined above have a price change rule change. exceeding 30% during the underlying 3 15 U.S.C. 78f(b). stock’s limit or straddle state compared 4 15 U.S.C. 78f(b)(5). 5 Id.

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III. Date of Effectiveness of the Comments may be submitted by any of SECURITIES AND EXCHANGE Proposed Rule Change and Timing for the following methods: COMMISSION Commission Action Electronic Comments [Release No. 34–74304; File Nos. SR–MIAX– Because the proposed rule change 2014–30 and SR–MIAX–2014–39] does not (i) significantly affect the • Use the Commission’s Internet protection of investors or the public comment form (http://www.sec.gov/ Self-Regulatory Organizations; Miami interest; (ii) impose any significant rules/sro.shtml); or International Securities Exchange LLC; burden on competition; and (iii) become Order Disapproving Proposed Rule • Send an email to rule-comments@ operative for 30 days from the date on Changes To List and Trade Options on sec.gov. Please include File Number SR– which it was filed, or such shorter time Shares of the iShares ETFs and Market as the Commission may designate if CBOE–2015–18 on the subject line. Vectors ETFs consistent with the protection of Paper Comments investors and the public interest, the February 19, 2015. proposed rule change has become • Send paper comments in triplicate I. Introduction effective pursuant to Section 19(b)(3)(A) to Secretary, Securities and Exchange On June 17, 2014, Miami International of the Act 6 and Rule 19b–4(f)(6)(iii) Commission, 100 F Street NE., Securities Exchange LLC (‘‘MIAX’’ or thereunder.7 Washington, DC 20549–1090. The Exchange has asked the ‘‘Exchange’’) filed with the Securities Commission to waive the 30-day All submissions should refer to File and Exchange Commission operative delay so that the proposal may Number SR–CBOE–2015–18. This file (‘‘Commission’’), pursuant to Section become operative immediately upon number should be included on the 19(b)(1) of the Securities Exchange Act 1 filing. The Commission believes that subject line if email is used. To help the of 1934 (‘‘Exchange Act’’ or ‘‘Act’’) and 2 waiving the 30-day operative delay is Commission process and review your Rule 19b–4 thereunder, a proposed rule consistent with the protection of comments more efficiently, please use change to list and trade options on investors and the public interest, as it only one method. The Commission will shares of the iShares MSCI Brazil will allow the obvious error pilot post all comments on the Commission’s Capped ETF, iShares MSCI Chile program to continue uninterrupted Internet Web site (http://www.sec.gov/ Capped ETF, iShares MSCI Peru Capped while the industry gains further rules/sro.shtml). Copies of the ETF, and iShares MSCI Spain Capped ETF (collectively ‘‘iShares ETFs’’). The experience operating under the Plan to submission, all subsequent proposed rule change was published for Address Extraordinary Market amendments, all written statements Volatility, and avoid any investor comment in the Federal Register on July with respect to the proposed rule 3, 2014.3 On , 2014, the confusion that could result from a change that are filed with the temporary interruption in the pilot Commission extended the time period Commission, and all written in which to either approve the proposed program. For this reason, the communications relating to the Commission designates the proposed rule change, disapprove the proposed proposed rule change between the rule change to be operative upon filing.8 rule change, or institute proceedings to At any time within 60 days of the Commission and any person, other than determine whether to approve or filing of the proposed rule change, the those that may be withheld from the disapprove the proposed rule change, to Commission summarily may public in accordance with the October 1, 2014.4 On , temporarily suspend such rule change if provisions of 5 U.S.C. 552, will be 2014, the Commission instituted it appears to the Commission that such available for Web site viewing and proceedings to determine whether to action is necessary or appropriate in the printing in the Commission’s Public approve or disapprove the proposed public interest, for the protection of Reference Room, 100 F Street NE., rule change.5 The Commission received investors, or otherwise in furtherance of Washington, DC 20549 on official a letter from MIAX on the proposal.6 On the purposes of the Act. If the business days between the hours of December 17, 2014, the Commission Commission takes such action, the 10:00 a.m. and 3:00 p.m. Copies of such issued a notice of designation of a Commission shall institute proceedings filing also will be available for longer period for Commission action on to determine whether the proposed rule inspection and copying at the principal proceedings to determine whether to should be approved or disapproved. office of the Exchange. All comments approve or disapprove the proposed rule change.7 IV. Solicitation of Comments received will be posted without change; the Commission does not edit personal In addition, on July 28, 2014, the Interested persons are invited to identifying information from Exchange filed with the Commission a submit written data, views, and submissions. You should submit only proposed rule change to list and trade arguments concerning the foregoing, information that you wish to make options on shares of the Market Vectors including whether the proposed rule available publicly. All submissions 1 change is consistent with the Act. should refer to File Number SR–CBOE– 15 U.S.C. 78s(b)(1). 2 17 CFR 240.19b–4. 2015–18, and should be submitted on or 6 15 U.S.C. 78s(b)(3)(A). 3 See Securities Exchange Act Release No. 72492 7 17 CFR 240.19b–4(f)(6)(iii). As required under before March 18, 2015. (June 27, 2014), 79 FR 38099 (SR–MIAX–2014–30) (‘‘iShares ETFs Proposal’’). Rule 19b–4(f)(6)(iii), the Exchange provided the For the Commission, by the Division of 4 See Securities Exchange Act Release No. 72835, Commission with written notice of its intent to file Trading and Markets, pursuant to delegated the proposed rule change, along with a brief 79 FR 49140 (, 2014). 9 description and the text of the proposed rule authority. 5 See Securities Exchange Act Release No. 73211, change, at least five business days prior to the date Brent J. Fields, 79 FR 59338 (October 1, 2014). of filing of the proposed rule change, or such 6 See Letter to Elizabeth M. Murphy, Secretary, shorter time as designated by the Commission. Secretary. Commission, from Brian O’Neill, Vice President 8 For purposes only of waiving the 30-day [FR Doc. 2015–03820 Filed 2–24–15; 8:45 am] and Senior Counsel, MIAX, dated , 2014 (providing comment on SR–MIAX–2014–30 and operative delay, the Commission has also BILLING CODE 8011–01–P considered the proposed rule’s impact on SR–MIAX–2014–39) (‘‘MIAX Letter’’). efficiency, competition, and capital formation. See 7 See Securities Exchange Act Release No. 73856, 15 U.S.C. 78c(f). 9 17 CFR 200.30–3(a)(12). 79 FR 77075 (December 23, 2014).

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Brazil Small-Cap ETF, Market Vectors Exchange; the Market Vectors Poland Mobiliarios (‘‘CVM’’),17 which has Indonesia Index ETF, Market Vectors Index (‘‘Poland Index’’), which consists responsibility for the Brazilian Poland ETF, and Market Vectors Russia of stocks traded primarily on the exchanges and over-the-counter ETF (collectively ‘‘Market Vectors Warsaw Stock Exchange; and the Market markets; the Superintendencia de ETFs’’). The proposed rule change was Vectors Russia Index (‘‘Russia Index’’), Valores y Seguros de Chile (‘‘SVS’’),18 published for comment in the Federal which consists of stocks traded which has the responsibility for the Register on , 2014.8 On primarily on the Moscow Exchange.13 Chilean securities markets; the September 25, 2014, the Commission MIAX Rule 402 establishes the Comision Nacional del Mercado de instituted proceedings to determine Exchange’s initial listing standards for Valores (‘‘CNMV’’),19 which has the whether to approve or disapprove the equity options (the ‘‘Listing Standards’’) responsibility for the Spanish stock proposed rule change.9 The Commission pursuant to which the Exchange can list exchanges; and the Federal Commission received a letter from MIAX on the and trade options on the shares of open- on Securities and the Capital Market of proposal.10 On January 27, 2015, the end investment companies, such as the the Government of the Russian Commission issued a notice of iShares ETFs and Market Vectors Federation (‘‘FCSCM’’), a forerunner of designation of a longer period for ETFs.14 According to the Exchange, the Federal Commission on Securities Commission action on proceedings to options on the iShares ETFs and Market Market of Russia, which has determine whether to approve or Vectors ETFs do not meet the Listing responsibility for the Russian stock disapprove the proposed rule change.11 Standards. In particular, options on the exchanges.20 In addition, the Exchange This order disapproves the iShares ETFs iShares ETFs and Market Vectors ETFs noted that the Indonesia Financial Proposal and the Market Vectors ETFs do not meet the requirement that the Services Authority, which has Proposal. component securities of an index or responsibility for the Indonesian stock II. Description of the Proposal portfolio of securities on which the exchanges; the Polish Financial Exchange Traded Fund Shares are Supervision Authority, which has The Exchange proposes to list for based, for which the primary market is responsibility for the Polish stock trading on the Exchange options on in any one country that is not subject to exchanges; the Superintendencia del shares of the iShares and Market Vectors a comprehensive surveillance sharing Mercado de Valores, which has ETFs. According to the Exchange, the agreement (‘‘CSSA’’), not represent 20% responsibility for the Peruvian stock iShares ETFs are registered pursuant to or more of the weight of the index.15 exchanges, and the Commission are the Investment Company Act of 1940 as signatories to the International management investment companies Accordingly, the Exchange may not list and trade options on the iShares ETFs Organization of Securities Commissions designed to hold a portfolio of securities Multilateral Memorandum of that track the MSCI Brazil 25/50 Index or Market Vectors ETFs without a separate proposed rule change filed Understanding.21 (‘‘Brazil Index’’), which consists of In its letter, MIAX stated its belief that stocks traded primarily on with and approved by the 16 the proposals were consistent with the BM&FBOVESPA; MSCI Chile Investable Commission. According to the Exchange, it has requirements of the Act and that the Market Index (IMI) 25/50 (‘‘Chile Commission should approve the filings. Index’’), which consists of stocks traded attempted, but not entered into, CSSAs with the applicable foreign markets. In In addition, MIAX believes that its primarily on the Santiago Stock proposals are consistent with the Exchange; MSCI All Peru Capped Index its proposals, the Exchange requested that the Commission allow it to rely on approach previously allowed by the (‘‘Peru Index’’), which consists of stocks Commission. Specifically, MIAX noted traded primarily on Bolsa de Valores de agreements between the Commission and the applicable foreign regulators, in that the Commission has, in the past, Lima; and MSCI Spain 25/50 Index allowed exchanges to rely on (‘‘Spain Index’’), which consists of place of the requirement to have a CSSA, with respect to the listing and agreements between the Commission stocks traded primarily on Bolsa de and foreign regulators in lieu of a CSSA 12 trading of options on shares of the Madrid. between an exchange and the applicable Similarly, according to the Exchange, iShares ETFs and Market Vectors ETFs. foreign market.22 The Exchange believes the Market Vectors ETFs are registered Specifically, the Exchange cited to the pursuant to the Investment Company agreements between the Commission 17 See iShares ETFs Proposal, supra note 3, and Act of 1940 as management investment and the Comissao de Valores Market Vectors ETFs Proposal, supra note 8 (citing companies designed to hold a portfolio to Memorandum of Understanding with the CVM of securities that track the Market 13 See Market Vectors ETFs Proposal, supra note dated as of July 24, 2012). Vectors Brazil Small-Cap Index (‘‘Brazil 8. Market Vectors Index Solutions created and 18 See iShares ETFs Proposal, supra note 3 (citing Small-Cap Index’’), which consists of maintains the Brazil Small-Cap Index, Indonesia to Memorandum of Understanding with the SVS Index, Poland Index, and Russia Index. dated as of June 3, 1993). stocks traded primarily on 14 MIAX Rule 402(i) provides the listing standards 19 See iShares ETFs Proposal, supra note 3 (citing BM&FBOVESPA; the Market Vectors for options on shares or other securities to Memorandum of Understanding with the CNMV Indonesia Index (‘‘Indonesia Index’’), (‘‘Exchange-Traded Fund Shares’’) that are traded dated as of , 2013). which consists of stocks traded on a national securities exchange and are defined 20 See Market Vectors ETFs Proposal, supra note primarily on the Indonesia Stock as an ‘‘NMS stock’’ under Rule 600 of Regulation 8 (citing to the Memorandum of Understanding NMS. If an option on Exchange-Traded Fund Shares with the FCSCM dated , 1995). meets these listing standards, it can be listed 21 See iShares ETFs Proposal, supra note 3, and 8 See Securities Exchange Act Release No. 72777 without the filing of a proposed rule change with Market Vectors ETFs Proposal, supra note 8. (, 2014), 79 FR 47165 (SR–MIAX–2014–39) the Commission, but the Exchange must comply 22 The following agreements were at issue in the (‘‘Market Vectors ETFs Proposal’’). with the requirements of Rule 19b–4(e). See 17 CFR orders cited by MIAX: Memorandum of 9 See Securities Exchange Act Release No. 73212, 240.19b–4(e). Understanding with the CVM, see Securities 79 FR 59332 (October 1, 2014). 15 See MIAX Rule 402(i)(5)(ii)(B). The Exchange Exchange Act Release No. 40298 (August 3, 1998), 10 See MIAX Letter, supra note 6. represents that each of the iShares ETFs and Market 63 FR 43435 (August 13, 1998) (SR–Amex–98–28; 11 See Securities Exchange Act Release No. 74150, Vectors ETFs are comprised of component SR–CBOE–98–32; and SR–Phlx–98–33) (citing a 80 FR 5597 (February 2, 2015). securities for which the primary market is a single separate agreement with the CVM than the 12 See iShares ETFs Proposal, supra note 3. foreign market, and that, for each ETF, MIAX does agreement relied upon by MIAX in the iShares ETFs Morgan Stanley Capital International Inc. (‘‘MSCI’’) not have a CSSA with its foreign counterpart in the and Market Vectors ETFs Proposals); and created and maintains the Brazil Index, Chile Index, applicable foreign market. Memorandum of Understanding with the Mexican Peru Index, and Spain Index. 16 See supra note 14. Continued

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the proposed rule changes are consistent with the requirements of the Act and the the ETFs compliant with all of the with Section 6 of the Act ‘‘by avoiding rules and regulations thereunder applicable Listing Standards.31 the regulatory compliance issue of applicable to a national securities The Commission notes that Rule improperly listing the ETFs without exchange.26 In particular, the 700(b)(3) of its Rules of Practice CSSAs, or without Commission Commission does not find that the reiterates that ‘‘[t]he burden to approval, while providing a clear proposed rule changes are consistent demonstrate that a proposed rule change mechanism to acquire surveillance and with Section 6(b)(5) of the Act, which is consistent with the Exchange Act . . . trading information when necessary requires that the rules of a national is on the self-regulatory organization from a foreign regulator via the securities exchange be designed, among that proposed the rule change.’’ 32 For Commission.’’ 23 other things, ‘‘to promote just and the reasons articulated above, the equitable principles of trade, to foster III. Discussion Commission does not believe that MIAX cooperation and coordination with has met that burden in this case. Under section 19(b)(2)(C) of the Act, persons engaged in regulating, clearing, the Commission shall approve a settling, processing information with IV. Conclusion proposed rule change of a self- respect to, and facilitating transactions For the foregoing reasons, the regulatory organization (‘‘SRO’’) if it in securities, to remove impediments to Commission does not find that the finds that such proposed rule change is and perfect the mechanism of a free and proposed rule changes are consistent consistent with the requirements of the open market and a national market with the Act and the rules and Act, and the rules and regulations system, and, in general, to protect regulations thereunder applicable to a thereunder that are applicable to such investors and the public interest.’’ 27 national securities exchange, and, in organization.24 The Commission shall As noted by MIAX, the Commission particular, with Section 6(b)(5) of the disapprove a proposed rule change if it has permitted an SRO to rely on an Act. does not make such a finding.25 agreement between the Commission and It is therefore ordered, pursuant to After careful consideration, the the applicable foreign regulator in the section 19(b)(2) of the Act, that the Commission does not find that the absence of a CSSA only if the SRO proposed rule changes (SR–MIAX– proposed rule changes are consistent receives an assurance from the 2014–30 and SR–MIAX–2014–39) be, Commission that such an agreement can and hereby are, disapproved. National Commission for Banking and Securities dated as of October 18, 1990, see Securities be relied on for surveillance purposes For the Commission, by the Division of Exchange Act Release Nos. 53824 (May 17, 2006), and provides, at a minimum, for the Trading and Markets, pursuant to delegated 71 FR 30003 (, 2006) (SR–Amex–2006–43), exchange of transaction, clearing and authority.33 56324 (, 2007), 72 FR 50426 (August 31, customer information necessary to Brent J. Fields, 2007) (SR–ISE–2007–72), 56778 (November 9, 28 2007), 72 FR 65113 (November 19, 2007) (SR– conduct an investigation. This Secretary. assurance is necessary, because the Amex–2007–100), 57013 (December 20, 2007), 72 [FR Doc. 2015–03813 Filed 2–24–15; 8:45 am] FR 73923 (, 2007) (SR–CBOE–2007– Commission may enter into a variety of 140), and 57014 (December 20, 2007), 72 FR 73934 agreements with foreign regulators some BILLING CODE 8011–01–P (December 28, 2007) (SR–ISE–2007–111). See MIAX Letter, supra note 6, at 3 nn.7–9 and accompanying of which may be unrelated to the text. The Commission notes that these agreements sharing of surveillance information. SECURITIES AND EXCHANGE are not at issue in the present proposed rule After carefully and thoroughly COMMISSION changes. MIAX also noted that it had previously reviewing the agreements cited by the filed another proposed rule change that was immediately effective using a similar approach to Exchange in its proposals, the [Release No. 34–74307; File No. SR–MIAX– list options on shares of the iShares MSCI Mexico Commission is unable to provide the 2015–11] Index Fund. See Securities Exchange Act Release necessary assurance that such No. 72213 (, 2014), 79 FR 30669 (, agreements can be relied on for Self-Regulatory Organizations; Miami 2014) (SR–MIAX–2014–19). In that instance, the 29 Exchange relied on an agreement between The surveillance purposes. Accordingly, International Securities Exchange LLC; National Commission for Banking and Securities the Commission cannot approve MIAX’s Notice of Filing and Immediate and the Commission dated as of October 18, 1990. request to allow the listing and trading Effectiveness of a Proposed Rule The Commission notes that the Commission had Change To Extend the Pilot Period previously determined that this agreement could be of options on iShares ETFs and Market used for surveillance purposes. See Securities Vectors ETFs, upon reliance on Applicable to Rule 530 Relating To Exchange Act Release No. 36415 (, 1995), agreements entered into between the Limit Up/Limit Down 60 FR 55620 (November 1, 1995) (SR–CBOE–95– Commission and the applicable foreign 45). regulators in place of a CSSA, in February 19, 2015. 23 See MIAX Letter, supra note 6 at 4. Pursuant to Section 19(b)(1) of the 24 See 15 U.S.C. 78s(b)(2)(C)(i). satisfaction of the Exchange’s Listing 30 Securities Exchange Act of 1934 (the 25 Standards. According to MIAX, such See 15 U.S.C. 78s(b)(2)(C)(ii); see also 17 CFR 1 2 201.700(b)(3) (‘‘The burden to demonstrate that a approval would be necessary to make ‘‘Act’’), and Rule 19b–4 thereunder, proposed rule change is consistent with the notice is hereby given that on February Exchange Act and the rules and regulations issued 26 In disapproving the proposed rule changes, the 18, 2015, Miami International Securities thereunder . . . is on the self-regulatory Commission has considered the proposed rule’s Exchange LLC (‘‘MIAX’’ or ‘‘Exchange’’) organization that proposed the rule change.... A impact on efficiency, competition, and capital mere assertion that the proposed rule change is filed with the Securities and Exchange formation. See 15 U.S.C. 78c(f). consistent with those requirements . . . is not Commission (‘‘Commission’’) the 27 sufficient.’’). The description of a proposed rule 15 U.S.C. 78f(b)(5). proposed rule change as described in 28 See Securities Exchange Act Release No. 40761 change, its purpose and operation, its effect, and a Items I and II below, which Items have legal analysis of its consistency with applicable (, 1998), 63 FR 70952, 70959 n.101 requirements must all be sufficiently detailed and (December 22, 1998). been prepared by the Exchange. The specific to support an affirmative Commission 29 The Commission also notes that the particular Commission is publishing this notice to finding. See 17 CFR 201.700(b)(3). Any failure of a agreements referenced in MIAX’s letter, which the SRO to provide the information elicited by Form Commission has previously allowed exchanges to 31 Id. 19b–4 may result in the Commission not having a rely on in lieu of a CSSA between an exchange and 32 sufficient basis to make an affirmative finding that the applicable foreign market, are not at issue in the 17 CFR 201.700(b)(3). a proposed rule change is consistent with the present proposed rule changes. See supra note 22. 33 17 CFR 200.30–3(a)(12). Exchange Act and the rules and regulations issued 30 See iShares ETFs Proposal, supra note 3, and 1 15 U.S.C. 78s(b)(1). thereunder that are applicable to the SRO. Id. Market Vectors ETFs Proposal, supra note 8. 2 17 CFR 240.19b–4.

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solicit comments on the proposed rule Rule 530(j) until February 20, 2015.4 the underlying stock leaving the Limit change from interested persons. The Exchange now proposes to extend or Straddle state (or halt if applicable) the pilot period for Rule 530(j) until I. Self-Regulatory Organization’s is 30% away from the price before the October 23, 2015 in order to allow the Statement of the Terms of the Substance start of the Limit or Straddle state. Exchange and the Commission of the Proposed Rule Change additional time to collect and analyze 2. Statutory Basis The Exchange is filing a proposal to data regarding the impact of Rule 530(j) MIAX believes that its proposed rule amend Exchange Rule 530 to extend the on liquidity and market quality in the pilot period for the treatment of change is consistent with Section 6(b) of options markets. 5 erroneous transactions during a Limit or To assist the Commission in its the Act in general, and furthers the Straddle State. analysis, the Exchange will provide the objectives of Section 6(b)(5) of the Act 6 The text of the proposed rule change Commission and the public with data in particular, in that it is designed to is available on the Exchange’s Web site and analysis during the duration of the prevent fraudulent and manipulative at http://www.miaxoptions.com/filter/ pilot in order to evaluate the impact of acts and practices, to promote just and wotitle/rule_filing, at MIAX’s principal Limit and Straddle States on liquidity equitable principles of trade, to foster office, and at the Commission’s Public and market quality in the options cooperation and coordination with Reference Room. markets. Specifically, by May 29, 2015, persons engaged in facilitating II. Self-Regulatory Organization’s the Exchange represents that it shall transactions in securities, to remove Statement of the Purpose of, and provide the Commission and the public impediments to and perfect the Statutory Basis for, the Proposed Rule assessments relating to the impact of the mechanisms of a free and open market Change obvious error Rules during Limit and and a national market system and, in Straddle States that (i) evaluate the general, to protect investors and the In its filing with the Commission, the statistical and economic impact of Limit public interest. Specifically, the Exchange included statements and Straddle States on liquidity and concerning the purpose of and basis for proposal supports the objectives of market quality in the options markets; perfecting the mechanism of a free and the proposed rule change and discussed and (ii) assess whether the lack of open market and the national market any comments it received on the obvious error rules in effect during the system because it promotes uniformity proposed rule change. The text of these Straddle and Limit States are statements may be examined at the problematic. Additionally, each month across markets concerning when and places specified in Item IV below. The during the pilot period the Exchange how to halt trading in all stock options Exchange has prepared summaries, set shall provide to the Commission and the as a result of extraordinary market forth in sections A, B, and C below, of public a dataset containing the data for volatility. In addition, the Exchange the most significant aspects of such each Straddle and Limit State in believes that the extension of the pilot statements. optionable stocks. For each stock that will help ensure that market participants continue to benefit from the A. Self-Regulatory Organization’s reaches a Straddle or Limit State, the Statement of the Purpose of, and number of options included in the protections of the Limit Up-Limit Down Statutory Basis for, the Proposed Rule dataset can be reduced by selecting Rules which will protect investors and Change options in which at least one (1) trade the public interest while allowing the occurred on the Exchange during the Exchange and the Commission 1. Purpose Straddle or Limit State. For each of additional time to collect and analyze The Exchange proposes to amend those options affected, each data record data regarding the impact of Rules on Rule 530 (Limit Up-Limit Down) in should contain the following liquidity and market quality in the order to extend the pilot period for the information: (i) Stock symbol, option options markets. treatment of erroneous transactions that symbol, time at the start of the straddle occur in a Limit or Straddle State until or limit state, an indicator for whether B. Self-Regulatory Organization’s October 23, 2015. it is a straddle or limit state; and (ii) for Statement on Burden on Competition Exchange Rule 530(j) provides for the activity on the exchange—(A) executed The Exchange does not believe that treatment of erroneous transactions volume, time-weighted quoted bid-ask the proposed rule change will impose occurring during Limit and Straddle spread, time-weighted average quoted States. Specifically, once an NMS Stock depth at the bid, time-weighted average any burden on competition that is not has entered a Limit or Straddle State, quoted depth at the offer, (B) high necessary or appropriate in furtherance the Exchange will nullify a transaction execution price, low execution price, (C) of the purposes of the Act. The in an option overlying such an NMS number of trades for which a request for proposed changes are being made to Stock as provided in the Rule 530(j). review for error was received during extend the pilot program that provides This provision was adopted for a one Straddle and Limit States, (D) an for how the Exchange shall treat orders year pilot period beginning on the date indicator variable for whether those and quotes in options overlying NMS of the implementation of the Plan to options outlined above have a price stocks when the Limit Up-Limit Down Address Extraordinary Market Volatility change exceeding 30% during the Plan is in effect and will not impose any Pursuant to Rule 608 of Regulation underlying stock’s Limit or Straddle burden on competition while providing NMS, April 8, 2013.3 The Exchange state compared to the last available certainty of treatment and execution of previously extended the pilot period for option price as reported by OPRA before options orders during periods of the start of the Limit or Straddle state (1 extraordinary volatility in the 3 See Exchange Rule 503(j). See also Securities if observe 30% and 0 otherwise) and underlying NMS stock, and facilitating Exchange Act Release Nos. 69210 (, 2013), another indicator variable for whether appropriate liquidity during a Limit 78 FR 18637 (March 27, 2013) (SR–MIAX–2013– 12); 69342 (April 8, 2013), 78 FR 22017 (April 12, the option price within five minutes of State or Straddle State. 2013) (SR–MIAX–2013–12); 69234 (March 25, 2013), 78 FR 19344 (March 29, 2013) (SR–MIAX– 4 See Securities Exchange Act Release No. 71881 2013–15); 69354 (April 9, 2013), 78 FR 22357 (April (April 4, 2014), 79 FR 19956 (, 2014) (SR– 5 15 U.S.C. 78f(b). 15, 2013) (SR–MIAX–2013–15). MIAX–2014–14). 6 15 U.S.C. 78f(b)(5).

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C. Self-Regulatory Organization’s IV. Solicitation of Comments For the Commission, by the Division of Statement on Comments on the Trading and Markets, pursuant to delegated Proposed Rule Change Received From Interested persons are invited to authority.10 Members, Participants, or Others submit written data, views, and Brent J. Fields, arguments concerning the foregoing, Written comments were neither Secretary. solicited nor received. including whether the proposed rule [FR Doc. 2015–03815 Filed 2–24–15; 8:45 am] change is consistent with the Act. BILLING CODE 8011–01–P III. Date of Effectiveness of the Comments may be submitted by any of Proposed Rule Change and Timing for the following methods: Commission Action SECURITIES AND EXCHANGE Electronic Comments Because the proposed rule change COMMISSION does not (i) significantly affect the • Use the Commission’s Internet [Release No. 34–74309; File No. SR– protection of investors or the public comment form (http://www.sec.gov/ NYSEMKT–2015–10] interest; (ii) impose any significant rules/sro.shtml); or burden on competition; and (iii) become • Self-Regulatory Organizations; NYSE operative for 30 days from the date on Send an email to rule-comments@ MKT LLC; Notice of Filing and which it was filed, or such shorter time sec.gov. Please include File Number SR– Immediate Effectiveness of Proposed as the Commission may designate if MIAX–2015–11 on the subject line. Rule Change Extending the Pilot consistent with the protection of Paper Comments Period Applicable to Rule 953.1NY(c), investors and the public interest, the Obvious and Catastrophic Errors, Until proposed rule change has become • Send paper comments in triplicate October 23, 2015 effective pursuant to Section 19(b)(3)(A) to Brent J. Fields, Secretary, Securities of the Act 7 and Rule 19b–4(f)(6)(iii) and Exchange Commission, 100 F Street February 19, 2015. thereunder.8 NE., Washington, DC 20549–1090. Pursuant to Section 19(b)(1) of the The Exchange has asked the Securities Exchange Act of 1934 (the Commission to waive the 30-day All submissions should refer to File ‘‘Act’’),1 and Rule 19b–4 thereunder,2 operative delay so that the proposal may Number SR–MIAX–2015–11. This file notice is hereby given that on February become operative immediately upon number should be included on the 18, 2015, NYSE MKT LLC (the filing. The Commission believes that subject line if email is used. To help the ‘‘Exchange’’ or ‘‘NYSE MKT’’) filed with waiving the 30-day operative delay is Commission process and review your the Securities and Exchange consistent with the protection of comments more efficiently, please use Commission (‘‘Commission’’) the investors and the public interest, as it only one method. The Commission will proposed rule change as described in will allow the obvious error pilot post all comments on the Commission’s Items I and II below, which Items have program to continue uninterrupted Internet Web site (http://www.sec.gov/ been prepared by the self-regulatory while the industry gains further rules/sro.shtml). Copies of the organization. The Commission is experience operating under the Plan to submission, all subsequent publishing this notice to solicit Address Extraordinary Market amendments, all written statements comments on the proposed rule change Volatility, and avoid any investor with respect to the proposed rule from interested persons. confusion that could result from a change that are filed with the I. Self-Regulatory Organization’s temporary interruption in the pilot Commission, and all written Statement of the Terms of the Substance program. For this reason, the of the Proposed Rule Change Commission designates the proposed communications relating to the rule change to be operative upon filing.9 proposed rule change between the The Exchange proposes to extend the At any time within 60 days of the Commission and any person, other than pilot period applicable to Rule filing of the proposed rule change, the those that may be withheld from the 953.1NY(c), which addresses how the Commission summarily may public in accordance with the Exchange treats Obvious and temporarily suspend such rule change if provisions of 5 U.S.C. 552, will be Catastrophic Errors during periods of it appears to the Commission that such available for Web site viewing and extreme market volatility, until October action is necessary or appropriate in the printing in the Commission’s Public 23, 2015. The pilot period is currently public interest, for the protection of Reference Room, 100 F Street NE., set to expire on February 20, 2015. The investors, or otherwise in furtherance of Washington, DC 20549 on official text of the proposed rule change is the purposes of the Act. If the business days between the hours of available on the Exchange’s Web site at Commission takes such action, the 10:00 a.m. and 3:00 p.m. Copies of such www.nyse.com, at the principal office of Commission shall institute proceedings filing also will be available for the Exchange, and at the Commission’s to determine whether the proposed rule inspection and copying at the principal Public Reference Room. should be approved or disapproved. office of the Exchange. All comments II. Self-Regulatory Organization’s received will be posted without change; 7 Statement of the Purpose of, and 15 U.S.C. 78s(b)(3)(A). the Commission does not edit personal Statutory Basis for, the Proposed Rule 8 17 CFR 240.19b–4(f)(6)(iii). As required under Rule 19b–4(f)(6)(iii), the Exchange provided the identifying information from Change Commission with written notice of its intent to file submissions. You should submit only In its filing with the Commission, the the proposed rule change, along with a brief information that you wish to make description and the text of the proposed rule self-regulatory organization included change, at least five business days prior to the date available publicly. All submissions statements concerning the purpose of, of filing of the proposed rule change, or such should refer to File Number SR–MIAX– and basis for, the proposed rule change shorter time as designated by the Commission. 2015–11, and should be submitted on or and discussed any comments it received 9 For purposes only of waiving the 30-day before March 18, 2015. operative delay, the Commission has also considered the proposed rule’s impact on 10 17 CFR 200.30–3(a)(12). efficiency, competition, and capital formation. See 1 15 U.S.C. 78s(b)(1). 15 U.S.C. 78c(f). 2 17 CFR 240.19b–4.

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on the proposed rule change. The text assessment for the purpose of • high execution price, low execution of those statements may be examined at determining whether there should be price; the places specified in Item IV below. any modifications to the Plan. • number of trades for which a The Exchange has prepared summaries, In order to align the pilot period for request for review for error was received set forth in sections A, B, and C below, Rule 953.1NY(c) with the proposed pilot during Straddle and Limit States; • of the most significant parts of such period for the Plan, the Exchange an indicator variable for whether statements. similarly proposes to extend the pilot those options outlined above have a period until October 23, 2015. The price change exceeding 30% during the A. Self-Regulatory Organization’s underlying stock’s Limit or Straddle Statement of the Purpose of, and Exchange believes the benefits afforded to market participants under Rule state compared to the last available Statutory Basis for, the Proposed Rule option price as reported by OPRA before Change 953.1NY(c) should continue on a pilot basis during the same period as the Plan the start of the Limit or Straddle State 1. Purpose pilot. The Exchange continues to believe (1 if observe 30% and 0 otherwise). The Exchange proposes to extend the that adding certainty to the execution of Another indicator variable for whether pilot period applicable to Rule orders in Limit or Straddle States would the option price within five minutes of 953.1NY(c), which addresses how the encourage market participants to the underlying stock leaving the Limit Exchange treats Obvious and continue to provide liquidity to the or Straddle state (or halt if applicable) Catastrophic Errors during periods of Exchange, and thus, promote a fair and is 30% away from the price before the extreme market volatility, until October orderly market during those periods. start of the Limit or Straddle state. 23, 2015. The pilot period is currently Thus, the Exchange believes that the In addition, the Exchange has set to expire on February 20, 2015. protections of current Rule 953.1NY(c) committed to provide to the In April 2013, in connection with the should continue while the industry Commission by May 29, 2015 Plan to Address Extraordinary Market gains further experience operating the assessments relating to the impact of the Volatility Pursuant to Rule 608 of Plan. In addition, the Exchange believes operation of the Obvious Error rules Regulation NMS (the ‘‘Plan’’),3 the that extending the pilot period for Rule during Limit and Straddle States as Exchange adopted Rule 953.1NY(c) to 953.1NY(c) would allow the Exchange follows: (1) Evaluate the statistical and provide that options executions would to continue to collect and evaluate data, economic impact of Limit and Straddle not be adjusted or nullified if the as well as to conduct further data States on liquidity and market quality in execution occurs during periods of analyses, related to this provision. the options markets; and (2) Assess extreme market volatility.4 Specifically, Specifically, in connection with the whether the lack of Obvious Error rules Rule 953.1NY(c) provides that, during adoption of Rule 953.1NY(c), the in effect during the Straddle and Limit the pilot period, electronic transactions Exchange committed to review the States are problematic. The Exchange in options that overlay an NMS Stock operation of this provision and to notes that, to date, there have not been that occur during a Limit State or a analyze the impact of Limit and any requests for review of Obvious Error Straddle State (as defined by the Plan) Straddle States accordingly.6 The of options trades that occur during a are not subject to review under Rule Exchange agreed to and has been Limit or Straddle State in the 975NY(a) for Obvious Errors or Rule providing to the Commission and the underlying security. The Exchange believes that the 975NY(d) for Catastrophic Errors. public data for each Straddle State and extension of the pilot period of Rule Nothing in Rule 953.1NY(c) prevents Limit State in NMS Stocks underlying 953.1NY(c) would allow the Exchange electronic transactions in options that options traded on the Exchange to continue to observe the operation of overlay an NMS Stock that occur during beginning in April 2013, limited to the pilot and conduct its assessments a Limit State or a Straddle State from those option classes that have at least relating to the impact of the operation being reviewed on Exchange motion one (1) trade on the Exchange during a of the Rule during Limit and Straddle pursuant to 975NY(b)(3). Straddle State or Limit State.7 For each States, which information will continue The Plan has been amended several of those option classes affected, each to be shared with the Commission and times since inception and was not data record contains the following the public as set forth above. implemented until February 24, 2014. information: The Participants to the Plan recently • Stock symbol, option symbol, time 2. Statutory Basis filed to extend the Plan’s pilot period at the start of the Straddle or Limit The Exchange believes the proposed until October 23, 2015 (the ‘‘Eighth State, an indicator for whether it is a Amendment’’).5 The purpose of this rule change is consistent with Section Straddle or Limit State. 6(b) of the Act 8 in general, and furthers proposed extension is to provide time • For activity on the Exchange: the objectives of Section 6(b)(5),9 in for the Participants to prepare a • supplemental assessment and executed volume, time-weighted particular, in that it is designed to recommendation regarding the Plan and quoted bid-ask spread, time-weighted promote just and equitable principles of for the public to comment on such average quoted depth at the bid, time- trade, remove impediments to and weighted average quoted depth at the perfect the mechanisms of, a free and 3 See Securities Exchange Act Release No. 67091 offer; open market and a national market (May 31, 2012), 77 FR 33498 (June 6, 2012) (File system and, in general, to protect No. 4–631) (Order Approving, on a Pilot Basis, the 6 Specifically, the Exchange committed to: ‘‘(1) investors and the public interest. Plan). The Plan is designed to prevent trades in Evaluate the options market quality during Limit Specifically, the proposal to extend individual NMS Stocks from occurring outside of States and Straddle States; (2) assess the character specified Price Bands, which are described in more of incoming order flow and transactions during the pilot program of Rule 953.1NY(c) detail in the Plan. Limit States and Straddle States; and (3) review any until October 23, 2015 would align that 4 See Securities and Exchange Act Release No. complaints from members and their customers pilot program with the Pilot Period for 69339 (April 8, 2013), 78 FR 22011 (April 12, 2013) concerning executions during Limit States and the Plan, as proposed in the Eighth (SR–NYSEMKT–2013–10) (‘‘Approval Order’’). Straddle States.’’ See Approval Order, 78 FR at Amendment to the Plan. The Exchange 5 See Securities Exchange Act Release No. 74110 22015. (January 21, 2015), 80 FR 4321 (January 27, 2015) 7 See Securities Exchange Act Release No. 71870 (File No. 4–631) (notice of proposed Eighth (April 4, 2014), 79 FR 19692 (April 9, 2014) (SR– 8 15 U.S.C. 78f (b). Amendment to the Plan). NYSEMKT–2014–31). 9 15 U.S.C. 78f(b)(5).

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believes that aligning the pilot periods proposed rule change has become and Exchange Commission, 100 F Street would ensure that trading in options effective pursuant to Section 19(b)(3)(A) NE., Washington, DC 20549–1090. that overlay NMS Stocks continues to be of the Act 10 and Rule 19b–4(f)(6)(iii) All submissions should refer to File appropriately modified to reflect market thereunder.11 Number SR–NYSEMKT–2015–10. This conditions that occur during a Limit The Exchange has asked the file number should be included on the State or a Straddle State in a manner Commission to waive the 30-day subject line if email is used. To help the that promotes just and equitable operative delay so that the proposal may Commission process and review your principles of trade and removes become operative immediately upon comments more efficiently, please use impediments to, and perfects the filing. The Commission believes that only one method. The Commission will mechanism of, a free and open market waiving the 30-day operative delay is post all comments on the Commission’s and a national market system. The consistent with the protection of Internet Web site (http://www.sec.gov/ Exchange believes that the extension of investors and the public interest, as it rules/sro.shtml). Copies of the Rule 953.1NY(c) would help encourage will allow the obvious error pilot submission, all subsequent market participants to continue to program to continue uninterrupted amendments, all written statements provide liquidity during extraordinary while the industry gains further with respect to the proposed rule market volatility. experience operating under the Plan, change that are filed with the Moreover, the Exchange believes that and avoid any investor confusion that Commission, and all written extending the pilot period for Rule could result from a temporary communications relating to the 953.1NY(c) would remove impediments interruption in the pilot program. For proposed rule change between the to, and perfect the mechanisms of, a free this reason, the Commission designates Commission and any person, other than and open market because it would the proposed rule change to be operative 12 those that may be withheld from the enable the Exchange to continue to upon filing. public in accordance with the At any time within 60 days of the continue to conduct its assessments provisions of 5 U.S.C. 552, will be filing of the proposed rule change, the relating to the impact of the operation available for Web site viewing and Commission summarily may of the Obvious Error rules during Limit printing in the Commission’s Public temporarily suspend such rule change if and Straddle States as set forth above, Reference Room, 100 F Street NE., it appears to the Commission that such which, in turn, provides the Exchange Washington, DC 20549 on official action is necessary or appropriate in the with more information from which to business days between the hours of public interest, for the protection of assess the impact of Rule 953.1NY(c). 10:00 a.m. and 3:00 p.m. Copies of such investors, or otherwise in furtherance of B. Self-Regulatory Organization’s the purposes of the Act. If the filing also will be available for Statement on Burden on Competition Commission takes such action, the inspection and copying at the principal office of the Exchange. All comments The Exchange does not believe that Commission shall institute proceedings received will be posted without change; the proposed rule change will impose to determine whether the proposed rule the Commission does not edit personal any burden on competition that is not should be approved or disapproved. identifying information from necessary or appropriate in furtherance IV. Solicitation of Comments submissions. You should submit only of the purposes of the Act. The information that you wish to make proposed changes will not impose any Interested persons are invited to available publicly. All submissions burden on competition and will instead submit written data, views, and should refer to File Number SR– provide certainty regarding the arguments concerning the foregoing, NYSEMKT–2015–10, and should be treatment and execution of options including whether the proposed rule submitted on or before March 18, 2015. orders, specifically the treatment of change is consistent with the Act. Obvious and Catastrophic Errors during Comments may be submitted by any of For the Commission, by the Division of periods of extraordinary volatility in the the following methods: Trading and Markets, pursuant to delegated authority.13 underlying NMS Stock, and will Electronic Comments facilitate appropriate liquidity during a Brent J. Fields, • Use the Commission’s Internet Limit State or Straddle State. Secretary. comment form (http://www.sec.gov/ [FR Doc. 2015–03817 Filed 2–24–15; 8:45 am] C. Self-Regulatory Organization’s rules/sro.shtml); or BILLING CODE 8011–01–P Statement on Comments on the • Send an email to rule- Proposed Rule Change Received From [email protected]. Please include File Members, Participants, or Others Number SR–NYSEMKT–2015–10 on the SECURITIES AND EXCHANGE subject line. No written comments were solicited COMMISSION or received with respect to the proposed Paper Comments [File No. 500–1] rule change. • Send paper comments in triplicate III. Date of Effectiveness of the to Brent J. Fields, Secretary, Securities In the Matter of Calypte Biomedical Proposed Rule Change and Timing for Corporation, EC Development, Inc., Commission Action 10 15 U.S.C. 78s(b)(3)(A). and Information Architects 11 17 CFR 240.19b–4(f)(6)(iii). As required under Corporation (n/k/a Dakota Creative Because the proposed rule change Rule 19b–4(f)(6)(iii), the Exchange provided the Group Corporation); Order of does not (i) significantly affect the Commission with written notice of its intent to file Suspension of Trading protection of investors or the public the proposed rule change, along with a brief description and the text of the proposed rule interest; (ii) impose any significant change, at least five business days prior to the date February 20, 2015. burden on competition; and (iii) become of filing of the proposed rule change, or such It appears to the Securities and operative for 30 days from the date on shorter time as designated by the Commission. Exchange Commission that there is a which it was filed, or such shorter time 12 For purposes only of waiving the 30-day lack of current and accurate information operative delay, the Commission has also as the Commission may designate if considered the proposed rule’s impact on concerning the securities of Calypte consistent with the protection of efficiency, competition, and capital formation. See investors and the public interest, the 15 U.S.C. 78c(f). 13 17 CFR 200.30–3(a)(12).

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Biomedical Corporation because it has The Commission is of the opinion that listed companies is suspended for the not filed any periodic reports since the the public interest and the protection of period from 9:30 a.m. EST on February period ended December 31, 2012. investors require a suspension of trading 20, 2015, through 11:59 p.m. EST on It appears to the Securities and in the securities of the above-listed March 5, 2015. Exchange Commission that there is a companies. By the Commission. lack of current and accurate information Therefore, it is ordered, pursuant to Jill M. Peterson, concerning the securities of EC Section 12(k) of the Securities Exchange Assistant Secretary. Development, Inc. because it has not Act of 1934, that trading in the filed any periodic reports since the securities of the above-listed companies [FR Doc. 2015–03872 Filed 2–24–15; 8:45 am] period ended September 30, 2012. is suspended for the period from 9:30 BILLING CODE 8011–01–P It appears to the Securities and a.m. EST on February 20, 2015, through Exchange Commission that there is a 11:59 p.m. EST on March 5, 2015. SECURITIES AND EXCHANGE lack of current and accurate information By the Commission. COMMISSION concerning the securities of Information Jill M. Peterson, Architects Corporation (n/k/a Dakota [File No. 500–1] Creative Group Corporation) because it Assistant Secretary. has not filed any periodic reports since [FR Doc. 2015–03874 Filed 2–24–15; 8:45 am] In the Matter of Revonergy Inc., the period ended September 30, 2012. BILLING CODE 8011–01–P Siberian Energy Group Inc., Tao The Commission is of the opinion that Minerals Ltd., (n/k/a Canam Gold the public interest and the protection of Corp.), and Todays Alternative Energy investors require a suspension of trading SECURITIES AND EXCHANGE Corp.; Order of Suspension of Trading COMMISSION in the securities of the above-listed February 20, 2015. companies. Therefore, it is ordered, [File No. 500–1] It appears to the Securities and pursuant to Section 12(k) of the Exchange Commission that there is a In the Matter of Innovative Software Securities Exchange Act of 1934, that lack of current and accurate information Technologies, Inc., National Health trading in the securities of the above- concerning the securities of Revonergy Partners, Inc., The Laguna Group, Inc. listed companies is suspended for the Inc. because it has not filed any periodic period from 9:30 a.m. EST on February (a/k/a Eco Energy Pumps, Inc.), and reports since the period ended 20, 2015, through 11:59 p.m. EST on TYIN Group Holdings Limited; Order of September 30, 2011. March 5, 2015. Suspension of Trading It appears to the Securities and By the Commission. February 20, 2015. Exchange Commission that there is a Jill M. Peterson, It appears to the Securities and lack of current and accurate information Assistant Secretary. Exchange Commission that there is a concerning the securities of Siberian Energy Group Inc. because it has not [FR Doc. 2015–03871 Filed 2–24–15; 8:45 am] lack of current and accurate information filed any periodic reports since the BILLING CODE 8011-01-P concerning the securities of Innovative Software Technologies, Inc. because it period ended June 30, 2012. It appears to the Securities and has not filed any periodic reports since Exchange Commission that there is a SECURITIES AND EXCHANGE the period ended , 2010. lack of current and accurate information COMMISSION It appears to the Securities and concerning the securities of Tao Exchange Commission that there is a [File No. 500–1] Minerals Ltd. (n/k/a Canam Gold Corp.) lack of current and accurate information because it has not filed any periodic concerning the securities of National In the Matter of Akesis reports since the period ended October Health Partners, Inc. because it has not Pharmaceuticals, Inc., Stellar 31, 2011. Resources, Ltd., and Thwapr, Inc.; filed any periodic reports since the It appears to the Securities and Order of Suspension of Trading period ended September 30, 2012. Exchange Commission that there is a It appears to the Securities and lack of current and accurate information February 20, 2015. Exchange Commission that there is a concerning the securities of Todays It appears to the Securities and lack of current and accurate information Alternative Energy Corp. because it has Exchange Commission that there is a concerning the securities of The Laguna not filed any periodic reports since the lack of current and accurate information Group, Inc. (a/k/a Eco Energy Pumps, period ended July 31, 2012. concerning the securities of Akesis Inc.) because it has not filed any The Commission is of the opinion that Pharmaceuticals, Inc. because it has not periodic reports since the period ended the public interest and the protection of filed any periodic reports since the , 2011. investors require a suspension of trading period ended September 30, 2008. It appears to the Securities and in the securities of the above-listed It appears to the Securities and Exchange Commission that there is a companies. Exchange Commission that there is a lack of current and accurate information Therefore, it is ordered, pursuant to lack of current and accurate information concerning the securities of TYIN Group Section 12(k) of the Securities Exchange concerning the securities of Stellar Holdings Limited because it has not Act of 1934, that trading in the Resources, Ltd. because it has not filed filed any periodic reports since the securities of the above-listed companies any periodic reports since the period period ended December 31, 2012. is suspended for the period from 9:30 ended January 31, 2012. The Commission is of the opinion that a.m. EST on February 20, 2015, through It appears to the Securities and the public interest and the protection of 11:59 p.m. EST on March 5, 2015. Exchange Commission that there is a investors require a suspension of trading lack of current and accurate information in the securities of the above-listed By the Commission. concerning the securities of Thwapr, companies. Therefore, it is ordered, Jill M. Peterson, Inc. because it has not filed any periodic pursuant to Section 12(k) of the Assistant Secretary. reports since the period ended June 30, Securities Exchange Act of 1934, that [FR Doc. 2015–03873 Filed 2–24–15; 8:45 am] 2012. trading in the securities of the above- BILLING CODE 8011–01–P

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SMALL BUSINESS ADMINISTRATION Compliance, SBA Forms 25PCGP, SBA necessary for the agency to properly Form 25 PIGP, SBA Form 33, SBA Form perform its functions; (b) whether the Reporting and Recordkeeping 34, SBA Form 1065. burden estimates are accurate; (c) Requirements Under OMB Review Description of Respondents: Eligible whether there are ways to minimize the SBIC’s. burden, including through the use of AGENCY: Small Business Administration. Form Numbers: SBA Forms 25, PC, automated techniques or other forms of ACTION: 30-Day Notice. PCGP, PIGP, 33, 34, 1065. information technology; and (d) whether SUMMARY: The Small Business Estimated Annual Respondents: 48. there are ways to enhance the quality, Administration (SBA) is publishing this Estimated Annual Responses: 48. utility, and clarity of the information. Estimated Annual Hour Burden: 47. notice to comply with requirements of Summary of Information Collection the Paperwork Reduction Act (PRA) (44 Curtis B. Rich, Title: Disclosures Statement U.S.C. chapter 35), which requires Management Analyst. agencies to submit proposed reporting Leveraged Licensees; Disclosure [FR Doc. 2015–03808 Filed 2–24–15; 8:45 am] Statement Non-leveraged Licensees. and recordkeeping requirements to BILLING CODE 8025–01–P OMB for review and approval, and to Description of Respondents: SBA publish a notice in the Federal Register Examiners. Form Numbers: SBA Forms 856 and notifying the public that the agency has SMALL BUSINESS ADMINISTRATION made such a submission. This notice 856A. Total Estimated Annual Responses: also allows an additional 30 days for Data Collection Available for Public 600. public comments. Comments Total Estimated Annual Hour Burden: DATES: Submit comments on or before ACTION: 276. March 27, 2015. 60-Day notice and request for comments. ADDRESSES: Comments should refer to Curtis B. Rich, the information collection by name and/ SUMMARY: The Small Business Management Analyst. or OMB Control Number and should be Administration (SBA) intends to request [FR Doc. 2015–03818 Filed 2–24–15; 8:45 am] sent to: Agency Clearance Officer, Curtis approval, from the Office of BILLING CODE 8025–01–P Rich, Small Business Administration, Management and Budget (OMB) for the 409 3rd Street SW., 5th Floor, collection of information described Washington, DC 20416; and SBA Desk below. The Paperwork Reduction Act SMALL BUSINESS ADMINISTRATION Officer, Office of Information and (PRA) of 1995, 44 U.S.C. chapter 35 Data Collection Available for Public Regulatory Affairs, Office of requires federal agencies to publish a Comments Management and Budget, New notice in the Federal Register Executive Office Building, Washington, concerning each proposed collection of ACTION: 60-Day notice and request for DC 20503. information before submission to OMB, comments. FOR FURTHER INFORMATION CONTACT: and to allow 60 days for public Curtis Rich, Agency Clearance Officer, comment in response to the notice. This SUMMARY: The Small Business (202) 205–7030 [email protected] notice complies with that requirement. Administration (SBA) intends to request Copies: A copy of the Form OMB 83– DATES: Submit comments on or before approval, from the Office of 1, supporting statement, and other April 27, 2015. Management and Budget (OMB) for the documents submitted to OMB for ADDRESSES: Send all comments to Louis collection of information described review may be obtained from the Cupp, New Markets Policy Analyst, below. The Paperwork Reduction Act Agency Clearance Officer. Office of Investment, Small Business (PRA) of 1995, 44 U.S.C. chapter 35 SUPPLEMENTARY INFORMATION: Administration, 409 3rd Street, 7th requires federal agencies to publish a Applicants for SBA-guaranteed Floor, Washington, DC 20416. notice in the Federal Register commitment must complete these forms concerning each proposed collection of FOR FURTHER INFORMATION CONTACT: as part of the application process. SBA Louis Cupp, New Markets Policy information before submission to OMB, uses the information to make informed Analyst, Office of Investment, 202–619– and to allow 60 days for public and proper credit decisions and to 0511, or Curtis B. Rich, Management comment in response to the notice. This establish the SBIC’s eligibility for Analyst, 202–205–7030, curtis.rich@ notice complies with that requirement. leverage and need for funds. sba.gov; DATES: Submit comments on or before April 27, 2015. Solicitation of Public Comments SUPPLEMENTARY INFORMATION: Small ADDRESSES: Send all comments to Gina Comments may be submitted on (a) Business Administration (SBA) Forms Beyer, Program Analyst, Office of whether the collection of information is 856 and 856A are used by SBA Disaster Assistance, Small Business necessary for the agency to properly examiners as part of their examination Administration, 409 3rd Street, 6th perform its functions; (b) whether the of licensed small business investment Floor, Washington, DC 20416. burden estimates are accurate; (c) companies (SBICs). This information whether there are ways to minimize the collection obtains representations from FOR FURTHER INFORMATION CONTACT: Gina burden, including through the use of an SBIC’s management regarding certain Beyer, Program Analyst, Disaster automated techniques or other forms of obligations, transactions and Assistance, [email protected] 202– information technology; and (d) whether relationships of the SBIC and helps SBA 205–6458, or Curtis B. Rich, there are ways to enhance the quality, to evaluate the SBIC’s financial Management Analyst, 202–205–7030, utility, and clarity of the information. condition and compliance with [email protected]; applicable laws and regulations. SUPPLEMENTARY INFORMATION: Small Summary of Information Collections Business Administration Form 700 Title: 25-Model Corp. Resol. Or GP Solicitation of Public Comments provides a record of interviews Certif., 33-Model Letter to Selling Agent, SBA is requesting comments on (a) conducted by SBA personnel with small 34-Bank ID, 1065-Appl. Lic. Assure. of whether the collection of information is business owners, homeowners and

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renters (disaster victims) who seek Executive Office Building, Washington, ADDRESSES: The hearing will be at the financial assistance to help in the DC 20503. Administrative Offices for Chaffee recovery from physical or economic FOR FURTHER INFORMATION CONTACT: County Colorado, 104 Crestone Avenue, disasters. The basic information Curtis Rich, Agency Clearance Officer, 2nd Floor, Salida, CO 81201. collected helps the Agency to make (202) 205–7030 [email protected]. SUPPLEMENTARY INFORMATION: Pursuant preliminary eligibility assessment. Copies: A copy of the Form OMB 83– to the Small Business Regulatory 1, supporting statement, and other Solicitation of Public Comments Enforcement Fairness Act (Pub. L. 104– documents submitted to OMB for 121), Sec. 222, SBA announces the SBA is requesting comments on (a) review may be obtained from the hearing for Small Business Owners, whether the collection of information is Agency Clearance Officer. Business Organizations, Trade necessary for the agency to properly SUPPLEMENTARY INFORMATION: This Associations, Chambers of Commerce perform its functions; (b) whether the information collection is provided by and related organizations serving small burden estimates are accurate; (c) SBA lenders and borrowers to provide business concerns to report experiences whether there are ways to minimize the basic loan information and certifications regarding unfair or excessive Federal burden, including through the use of regarding the disbursement of loan regulatory enforcement issues affecting automated techniques or other forms of proceeds. SBA relies on this information their members. information technology; and (d) whether during the guaranty purchase review FOR FURTHER INFORMATION CONTACT: The there are ways to enhance the quality, process as a component in determining utility, and clarity of the information. hearing is open to the public; however, whether to honor a loan guaranty. advance notice of attendance is Summary of Information Collection: Solicitation of Public Comments requested. Anyone wishing to attend Title: Disaster Home/Business Loan and/or make a presentation at the Comments may be submitted on (a) Salida, CO hearing must contact Dr. Inquiry Record. whether the collection of information is Description of Respondents: Disaster Alison Brown by March 11, 2015 in necessary for the agency to properly writing, by phone, or email in order to Recovery Victims. perform its functions; (b) whether the Form Number: SBA Form 700. be placed on the agenda. For further Total Estimated Annual Responses: burden estimates are accurate; (c) information, please contact Dr. Alison 2,988. whether there are ways to minimize the Brown at NAVSYS Corporation, 14960 Total Estimated Annual Hour Burden: burden, including through the use of Woodcarver Road, Colorado Springs, CO 747. automated techniques or other forms of 80921, by phone at (719) 481–4877, ext. information technology; and (d) whether 124, or email at [email protected]. Curtis B. Rich, there are ways to enhance the quality, Additionally, if you need Management Analyst. utility, and clarity of the information. accommodations because of a disability, [FR Doc. 2015–03823 Filed 2–24–15; 8:45 am] Summary of Information Collections translation services, or require BILLING CODE 8025–01–P Title: Settlement Sheet. additional information, please contact Description of Respondents: SBA Jose´ Me´ndez, Case Management Specialist at (202) 205–6178. SMALL BUSINESS ADMINISTRATION Lenders and Borrowers. Form Number: SBA Form 1050. For more information on the Office of Reporting and Recordkeeping Estimated Annual Respondents: the National Ombudsman, see our Web Requirements Under OMB Review 15,000. site at www.sba.gov/ombudsman. Estimated Annual Responses: 15,000. Dated: February 11, 2015. AGENCY: Small Business Administration. Estimated Annual Hour Burden: Diana Doukas, ACTION: 30-Day notice. 3,800. SBA Committee Management Officer. SUMMARY: The Small Business Curtis B. Rich, [FR Doc. 2015–03809 Filed 2–24–15; 8:45 am] Administration (SBA) is publishing this Management Analyst. BILLING CODE P notice to comply with requirements of [FR Doc. 2015–03827 Filed 2–24–15; 8:45 am] the Paperwork Reduction Act (PRA) (44 BILLING CODE 8025–01–P U.S.C. Ch. 35), which requires agencies DEPARTMENT OF TRANSPORTATION to submit proposed reporting and recordkeeping requirements to OMB for SMALL BUSINESS ADMINISTRATION Federal Aviation Administration review and approval, and to publish a notice in the Federal Register notifying Regulatory Fairness Hearing; Region Agency Information Collection the public that the agency has made VIII—Salida, Colorado Activities: Requests for Comments; such a submission. This notice also Clearance of Renewed Approval of AGENCY: U.S. Small Business Information Collection: Airport Noise allows an additional 30 days for public Administration, SBA. comments. Compatibility Planning ACTION: Notice of open Hearing of DATES: Submit comments on or before Region VIII Small Business Owners in AGENCY: Federal Aviation March 27, 2015. Salida, CO. Administration (FAA), DOT. ADDRESSES: Comments should refer to ACTION: Notice and request for SUMMARY: the information collection by name and/ The SBA, Office of the comments. or OMB Control Number and should be National Ombudsman is issuing this sent to: Agency Clearance Officer, Curtis notice to announce the location, date SUMMARY: In accordance with the Rich, Small Business Administration, and time of the Salida, CO Regulatory Paperwork Reduction Act of 1995, FAA 409 3rd Street SW., 5th Floor, Fairness Hearing. This hearing is open invites public comments about our Washington, DC 20416; and SBA Desk to the public. intention to request the Office of Officer, Office of Information and DATES: The hearing will be held on Management and Budget (OMB) Regulatory Affairs, Office of Wednesday, March 18, 2015, from 2:30 approval to renew an information Management and Budget, New p.m. to 4:30 p.m. (MDT). collection. The Federal Register Notice

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with a 60-day comment period soliciting Estimated Total Annual Burden: hearing. If any interested party desires comments on the following collection of 56,160 hours. an opportunity for oral comment, they information was published on December Issued in Washington, DC on February 19, should notify FRA, in writing, before 4, 2014. The respondents are those 2015. the end of the comment period and airport operators voluntarily submitting Albert R. Spence, specify the basis for their request. noise exposure maps and noise FAA Assistant Information Collection All communications concerning these compatibility programs to the FAA for Clearance Officer, IT Enterprises Business proceedings should identify the review and approval. Services Division, ASP–110. appropriate docket number and may be DATES: Written comments should be [FR Doc. 2015–03927 Filed 2–24–15; 8:45 am] submitted by any of the following submitted by March 27, 2015. methods: BILLING CODE 4910–13–P • ADDRESSES: Send comments to the FAA Web site: http:// at the following address: Ms. Kathy www.regulations.gov. Follow the online DePaepe, Room 126B, Federal Aviation DEPARTMENT OF TRANSPORTATION instructions for submitting comments. • Administration, ASP–110, 6500 S. Fax: 202–493–2251. Federal Railroad Administration • MacArthur Blvd., Oklahoma City, OK Mail: Docket Operations Facility, 73169. [Docket Number FRA–2015–0006] U.S. Department of Transportation, 1200 Public Comments Invited: You are New Jersey Avenue SE., W12–140, asked to comment on any aspect of this Notice of Application for Approval of Washington, DC 20590. • information collection, including (a) Discontinuance or Modification of a Hand Delivery: 1200 New Jersey Whether the proposed collection of Railroad Signal System Avenue SE., Room W12–140, Washington, DC 20590, between 9 a.m. information is necessary for FAA’s In accordance with Part 235 of Title performance; (b) the accuracy of the and 5 p.m., Monday through Friday, 49 Code of Federal Regulations (CFR) except Federal Holidays. estimated burden; (c) ways for FAA to and 49 U.S.C. 20502(a), this document enhance the quality, utility and clarity Communications received by April provides the public notice that by a 13, 2015 will be considered by FRA of the information collection; and (d) document dated December 30, 2014, ways that the burden could be before final action is taken. Comments CSX Transportation (CSX) has received after that date will be minimized without reducing the quality petitioned the Federal Railroad of the collected information. The agency considered as far as practicable. Administration (FRA) seeking approval Anyone is able to search the will summarize and/or include your for the discontinuance or modification comments in the request for OMB’s electronic form of any written of a signal system. FRA assigned the communications and comments clearance of this information collection. petition Docket Number FRA–2015– FOR FURTHER INFORMATION CONTACT: received into any of our dockets by the 0006. name of the individual submitting the Kathy DePaepe at (405) 954–9362, or by Applicant: CSX Transportation, Mr. comment (or signing the document, if email at: [email protected]. David B. Olson, Chief Engineer submitted on behalf of an association, SUPPLEMENTARY INFORMATION: Communications and Signals, 500 Water business, labor union, etc.). In OMB Control Number: 2120–0517 Street, Speed Code J–350, Jacksonville, accordance with 5 U.S.C. 553(c), DOT Title: Airport Noise Compatibility FL 32202. solicits comments from the public to Planning CSX seeks approval of the proposed Form Numbers: There are no FAA discontinuance of a traffic control better inform its processes. DOT posts forms associated with this collection. system (TCS) between Control Point these comments, without edit, including Type of Review: Extension without (CP) SW Cabin, Milepost (MP) CLS 67.1, any personal information the change of an information collection. and CP Man, MP CLS 78.6, on the Logan commenter provides, to Background: The Federal Register Subdivision, Huntington East Division, www.regulations.gov, as described in Notice with a 60-day comment period at Man, WV. the system of records notice (DOT/ALL– soliciting comments on the following The reason given for the proposed 14 FDMS), which can be reviewed at collection of information was published discontinuance is that TCS is no longer www.dot.gov/privacy. See also http:// on December 4, 2014 (79 FR 72055). The needed due to traffic level reductions. www.regulations.gov/#!privacyNotice voluntarily submitted information from The TCS will be discontinued and for the privacy notice of regulations.gov. the current CFR part 150 collection, e.g., replaced with track warrant control D– Issued in Washington, DC, on February 19, airport noise exposure maps and airport 505 rules. 2015. noise compatibility programs, or their A copy of the petition, as well as any Ron Hynes, revisions, is used by the FAA to conduct written communications concerning the Director, Office of Technical Oversight. reviews of the submissions to determine petition, is available for review online at [FR Doc. 2015–03786 Filed 2–24–15; 8:45 am] if an airport sponsor’s noise www.regulations.gov and in person at BILLING CODE 4910–06–P compatibility program is eligible for the U.S. Department of Transportation’s Federal grant funds. If airport operators (DOT) Docket Operations Facility, 1200 did not voluntarily submit noise New Jersey Avenue SE., W12–140, DEPARTMENT OF TRANSPORTATION exposure maps and noise compatibility Washington, DC 20590. The Docket programs for FAA review and approval, Operations Facility is open from 9 a.m. Federal Railroad Administration the airport operator would not be to 5 p.m., Monday through Friday, [Docket Number FRA–2014–0126] eligible for the set aside of discretionary except Federal Holidays. grant funds. Interested parties are invited to Notice of Application for Approval of Respondents: Approximately 15 participate in these proceedings by Discontinuance or Modification of a airport operators. submitting written views, data, or Railroad Signal System Frequency: Information is collected comments. FRA does not anticipate on occasion. scheduling a public hearing in In accordance with Part 235 of Title Estimated Average Burden per connection with these proceedings since 49 Code of Federal Regulations (CFR) Response: 3882.6 hours. the facts do not appear to warrant a and 49 U.S.C. 20502(a), this document

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provides the public notice that by a Anyone is able to search the A copy of the petition, as well as any document dated , 2014, the electronic form of any written written communications concerning the Union Pacific Railroad (UP) petitioned communications and comments petition, is available for review online at the Federal Railroad Administration received into any of our dockets by the www.regulations.gov and in person at (FRA) seeking approval for the name of the individual submitting the the U.S. Department of Transportation’s discontinuance or modification of a comment (or signing the document, if (DOT) Docket Operations Facility, 1200 signal system. FRA assigned the petition submitted on behalf of an association, New Jersey Avenue SE., W12–140, Docket Number FRA–2014–0126. business, labor union, etc.). In Washington, DC 20590. The Docket Applicants: Union Pacific Railroad accordance with 5 U.S.C. 553(c), DOT Operations Facility is open from 9 a.m. Company, Mr. Neal Hathaway, AVP solicits comments from the public to to 5 p.m., Monday through Friday, Engineering—Signal, 1400 Douglas better inform its processes. DOT posts except Federal Holidays. Street, MS 0910, Omaha, NE 68179. these comments, without edit, including Interested parties are invited to UP seeks approval of the any personal information the participate in these proceedings by discontinuance of the automatic cab commenter provides, to submitting written views, data, or signal (ACS) system between Milepost www.regulations.gov, as described in comments. FRA does not anticipate (MP) 81.7 and MP 84.1 on the Portland the system of records notice (DOT/ALL– scheduling a public hearing in Subdivision, near The Dalles, OR. The 14 FDMS), which can be reviewed at connection with these proceedings since purpose of the discontinuance is to www.dot.gov/privacy. See also http:// the facts do not appear to warrant a establish a consistent limit for the ACS www.regulations.gov/#!privacyNotice hearing. If any interested party desires system. The affected trackage will be for the privacy notice of regulations.gov. an opportunity for oral comment, they converted to traffic control system Issued in Washington, DC, on February 19, should notify FRA, in writing, before operation. 2015. the end of the comment period and A copy of the petition, as well as any Ron Hynes, specify the basis for their request. written communications concerning the Director, Office of Technical Oversight. All communications concerning these petition, is available for review online at [FR Doc. 2015–03767 Filed 2–24–15; 8:45 am] proceedings should identify the www.regulatons.gov and in person at the BILLING CODE 4910–06–P appropriate docket number and may be U.S. Department of Transportation’s submitted by any of the following (DOT) Docket Operations Facility, 1200 methods: New Jersey Avenue SE., W12–140, DEPARTMENT OF TRANSPORTATION Washington, DC 20590. The Docket • Web site: http:// Operations Facility is open from 9 a.m. Federal Railroad Administration www.regulations.gov. Follow the online to 5 p.m., Monday through Friday, instructions for submitting comments. except Federal Holidays. [Docket Number FRA–2015–0004] • Fax: 202–493–2251. Interested parties are invited to Notice of Application for Approval of • Mail: Docket Operations Facility, participate in these proceedings by Discontinuance or Modification of a U.S. Department of Transportation, 1200 submitting written views, data, or Railroad Signal System New Jersey Avenue SE., W12–140, comments. FRA does not anticipate Washington, DC 20590. scheduling a public hearing in In accordance with Part 235 of Title • Hand Delivery: 1200 New Jersey connection with these proceedings since 49 Code of Federal Regulations (CFR) Avenue SE., Room W12–140, the facts do not appear to warrant a and 49 U.S.C. 20502(a), this document Washington, DC 20590, between 9 a.m. hearing. If any interested party desires provides the public notice that by a and 5 p.m., Monday through Friday, an opportunity for oral comment, they document dated December 30, 2014, except Federal Holidays. should notify FRA, in writing, before CSX Transportation (CSX) has the end of the comment period and petitioned the Federal Railroad Communications received by April specify the basis for their request. Administration (FRA) seeking approval 13, 2015 will be considered by FRA All communications concerning these for the discontinuance or modification before final action is taken. Comments proceedings should identify the of a signal system. FRA assigned the received after that date will be appropriate docket number and may be petition Docket Number FRA–2015– considered as far as practicable. submitted by any of the following 0004. Anyone is able to search the methods: Applicant: CSX Transportation: Mr. electronic form of any written • Web site: http:// David B. Olson, Chief Engineer communications and comments www.regulations.gov. Follow the online Communications and Signals, 500 Water received into any of our dockets by the instructions for submitting comments. Street, Speed Code J–350, Jacksonville, name of the individual submitting the • Fax: 202–493–2251. FL 32202. comment (or signing the document, if • Mail: Docket Operations Facility, CSX seeks approval of the proposed submitted on behalf of an association, U.S. Department of Transportation, 1200 discontinuance of an automatic block business, labor union, etc.). In New Jersey Avenue SE., W12–140, signal (ABS) system between Control accordance with 5 U.S.C. 553(c), DOT Washington, DC 20590. Point (CP) Mitchell, Milepost (MP) OOQ solicits comments from the public to • Hand Delivery: 1200 New Jersey 256.0 and CP NE Vernia, MP OOQ better inform its processes. DOT posts Avenue SE., Room W12–140, 314.6, on the Hoosier Subdivision, these comments, without edit, including Washington, DC 20590, between 9 a.m. Louisville Division, at Mitchell, IN. any personal information the and 5 p.m., Monday through Friday, The reason given for the proposed commenter provides, to except Federal Holidays. discontinuance is that ABS is no longer www.regulations.gov, as described in Communications received by April needed due to traffic level reductions. the system of records notice (DOT/ALL– 13, 2015 will be considered by FRA The subdivision is being used for 14 FDMS), which can be reviewed at before final action is taken. Comments storage only. The ABS will be www.dot.gov/privacy. See also http:// received after that date will be discontinued and replaced with track www.regulations.gov/#!privacyNotice considered as far as practicable. warrant control D–505 rules. for the privacy notice of regulations.gov.

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Issued in Washington, DC, on February 19, rail detection, as required in 49 CFR Issued in Washington, DC, on February 19, 2015. 236.51. 2015. Ron Hynes, A copy of the petition, as well as any Ron Hynes, Director, Office of Technical Oversight. written communications concerning the Director, Office of Technical Oversight. [FR Doc. 2015–03783 Filed 2–24–15; 8:45 am] petition, is available for review online at [FR Doc. 2015–03787 Filed 2–24–15; 8:45 am] BILLING CODE 4910–06–P www.regulations.gov and in person at BILLING CODE 4910–06–P the U.S. Department of Transportation’s (DOT) Docket Operations Facility, 1200 DEPARTMENT OF TRANSPORTATION New Jersey Avenue SE., W12–140, DEPARTMENT OF TRANSPORTATION Washington, DC 20590. The Docket Federal Railroad Administration Operations Facility is open from 9 a.m. Federal Railroad Administration [Docket Number FRA–2015–0012] to 5 p.m., Monday through Friday, [Docket Number FRA–2015–0011] except Federal Holidays. Petition for Waiver of Compliance Interested parties are invited to Petition for Waiver of Compliance participate in these proceedings by In accordance with Part 211 of Title In accordance with Part 211 of Title submitting written views, data, or 49 Code of Federal Regulations (CFR), 49 Code of Federal Regulations (CFR), comments. FRA does not anticipate this document provides the public this provides the public notice that by scheduling a public hearing in notice that by a document dated June a document dated January 29, 2015, the connection with these proceedings since 18, 2014, the Alaska Railroad (ARR) has Northeast Illinois Regional Commuter the facts do not appear to warrant a petitioned the Federal Railroad Railroad (METRA) has petitioned the hearing. If any interested party desires Administration (FRA) for a waiver of Federal Railroad Administration (FRA) an opportunity for oral comment, they compliance from certain provisions of for a waiver of compliance from several should notify FRA, in writing, before the Federal railroad safety regulations provisions of the Federal railroad safety the end of the comment period and contained at 49 CFR part 236, Rules, regulations. Specifically, METRA specify the basis for their request. Standards, and Instructions Governing requests relief from certain provisions of All communications concerning these the Installation, Inspection, 49 CFR part 240, Qualification and proceedings should identify the Maintenance, and Repair of Signal and Certification of Locomotive Engineers, appropriate docket number and may be Train Control Systems, Devices, and and Part 242, Qualification and submitted by any of the following Appliances. FRA assigned the petition Certification of Conductors. The request methods: Docket Number FRA–2015–0012. • was assigned Docket Number FRA– This request is for relief from the Web site: http:// 2015–0011. The relief is contingent on requirements of 49 CFR 236.51, Track www.regulations.gov. Follow the online METRA’s implementation of and instructions for submitting comments. Circuit Requirements. ARR is seeking to • participation in the Confidential Close Fax: 202–493–2251. Call Reporting System (C 3RS) pilot discontinue the existing electronic track • circuit through the Whittier Tunnel and Mail: Docket Operations Facility, project. replace it with a vital axle counter. U.S. Department of Transportation, 1200 METRA seeks to shield reporting The location of the proposed track New Jersey Avenue SE., W12–140, employees and the railroad from circuit replacement is from Whittier, Washington, DC 20590. mandatory punitive sanctions that • Milepost (MP) F2.5 to Bear Valley, MP Hand Delivery: 1200 New Jersey would otherwise arise as provided in 49 F5.2, on the Kenai Subdivision, Whittier Avenue SE., Room W12–140, 240.117(e)(1)–(4); 240.305(a)(l)–(4) and Division, at Whittier, AK. The Whittier Washington, DC 20590, between 9 a.m. (a)(6); 240.307; and 242.403(b), (c), Division is a single track line with a and 5 p.m., Monday through Friday, (e)(l)–(4), (e)(6)–(11), (f)(l)–(2). The C3RS traffic control system (TCS) with a except Federal Holidays. pilot project encourages certified dedicated TCS block used to protect Communications received by April operating crew members to report close Whittier Tunnel. 13, 2015 will be considered by FRA calls and protect the employees and the The tunnel is 2.6 miles long and is a before final action is taken. Comments railroad from discipline or sanctions mixed use facility allocating exclusive received after that date will be arising from the incidents reported per train and automobile occupancy at any considered as far as practicable. the C 3RS Implementing Memorandum given time. Anyone is able to search the of Understanding. The track circuit installed within the electronic form of any written A copy of the petition, as well as any tunnel experiences false occupancy communications and comments written communications concerning the failures that contribute to a backup of received into any of our dockets by the petition, is available for review online at train and auto travel through the tunnel. name of the individual submitting the www.regulations.gov and in person at The embedded track and the comment (or signing the document, if the U.S. Department of Transportation’s consistently wet road combined with submitted on behalf of an association, (DOT) Docket Operations Facility, 1200 fouling soil and a failing pump system business, labor union, etc.). In New Jersey Avenue SE., W12–140, create an extremely low ballast accordance with 5 U.S.C. 553(c), DOT Washington, DC 20590. The Docket resistance which inhibits the safe, solicits comments from the public to Operations Facility is open from 9 a.m. reliable operation of the track circuit. better inform its processes. DOT posts to 5 p.m., Monday through Friday, Axle counters function by detecting these comments, without edit, including except Federal Holidays. the presence and traveling direction of any personal information the Interested parties are invited to wheels at entrance and exit points of commenter provides, to participate in these proceedings by defined blocks of track. The wheels are www.regulations.gov, as described in submitting written views, data, or counted into and out of the block. If the the system of records notice (DOT/ALL– comments. FRA does not anticipate same amount of axles are detected 14 FDMS), which can be reviewed at scheduling a public hearing in departing the block as were detected www.dot.gov/privacy. See also http:// connection with these proceedings since entering it, the block is considered www.regulations.gov/#!privacyNotice the facts do not appear to warrant a vacant. Axle counters provide no broken for the privacy notice of regulations.gov. hearing. If any interested party desires

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an opportunity for oral comment, they (MSO) has petitioned the Federal New Jersey Avenue SE., W12–140, should notify FRA, in writing, before Railroad Administration (FRA) for a Washington, DC 20590. the end of the comment period and waiver of compliance from certain • Hand Delivery: 1200 New Jersey specify the basis for their request. provisions of the Federal railroad safety Avenue SE., Room W12–140, All communications concerning these regulations contained at 49 CFR part Washington, DC 20590, between 9 a.m. proceedings should identify the 223, Safety Glazing Standards— and 5 p.m., Monday through Friday, appropriate docket number and may be Locomotives, Passenger Cars and except Federal holidays. submitted by any of the following Cabooses. FRA assigned the petition Communications received by April methods: Docket Number FRA–2014–0129. 13, 2015 will be considered by FRA • Web site: http:// MSO, located in Peoria, IL, has before final action is taken. Comments www.regulations.gov. Follow the online petitioned FRA for a waiver of received after that date will be instructions for submitting comments. compliance for one caboose, specifically considered as far as practicable. • Fax: 202–493–2251. Caboose MSO 500006. MSO is a Anyone is able to search the • Mail: Docket Operations Facility, shortline railroad that operates trains at electronic form of any written U.S. Department of Transportation, 1200 10 mph or less. MSO 500006 would be communications and comments New Jersey Avenue SE., W12–140, used as a shoving platform during received into any of our dockets by the Washington, DC 20590. reverse moves that extend up to 5 miles name of the individual submitting the • Hand Delivery: 1200 New Jersey in distance within the area of Sturgis, comment (or signing the document, if Avenue SE., Room W12–140, SD. Sturgis is an urban community that submitted on behalf of an association, Washington, DC 20590, between 9 a.m. had a population of 10,884 in 2012. The business, labor union, etc.). In and 5 p.m., Monday through Friday, shove move originates in the southern accordance with 5 U.S.C. 553(c), DOT except Federal Holidays. portion of the town that is an industrial/ solicits comments from the public to Communications received within rural area and ends at the wye in better inform its processes. DOT posts April 13, 2015 of the date of this notice Sturgis. The shove move spans these comments, without edit, including will be considered by FRA before final approximately 12 grade crossings, and any personal information the action is taken. Comments received after the train lengths range from 2 to 5 cars, commenter provides, to that date will be considered as far as including the locomotive and caboose. www.regulations.gov, as described in practicable. The waiver is sought because the the system of records notice (DOT/ALL– Anyone is able to search the caboose is not used as historically or 14 FDMS), which can be reviewed at electronic form of any written traditionally intended, and the cost to www.dot.gov/privacy. See also http:// communications and comments upgrade the equipment is significant for www.regulations.gov/#!privacyNotice received into any of our dockets by the a shortline railroad. In addition, using for the privacy notice of regulations.gov name of the individual submitting the the caboose would enhance employee or interested parties may review DOT’s comment (or signing the document, if safety. complete Privacy Act Statement in the submitted on behalf of an association, A copy of the petition, as well as any Federal Register published on , business, labor union, etc.). In written communications concerning the 2000 (65 FR 19477). accordance with 5 U.S.C. 553(c), DOT petition, is available for review online at Issued in Washington, DC, on February 19, solicits comments from the public to www.regulations.gov and in person at 2015. better inform its processes. DOT posts the U.S. Department of Transportation’s Ron Hynes, these comments, without edit, including (DOT) Docket Operations Facility, 1200 Director of Technical Oversight. any personal information the New Jersey Avenue SE., W12–140, [FR Doc. 2015–03782 Filed 2–24–15; 8:45 am] commenter provides, to Washington, DC 20590. The Docket www.regulations.gov, as described in Operations Facility is open from 9 a.m. BILLING CODE 4910–06–P the system of records notice (DOT/ALL– to 5 p.m., Monday through Friday, 14 FDMS), which can be reviewed at except Federal Holidays. DEPARTMENT OF TRANSPORTATION www.dot.gov/privacy. See also http:// Interested parties are invited to www.regulations.gov/#!privacyNotice participate in these proceedings by Federal Railroad Administration for the privacy notice of regulations.gov. submitting written views, data, or [Docket Number FRA–2014–0127] Issued in Washington, DC, on February 19, comments. FRA does not anticipate scheduling a public hearing in 2015. Petition for Waiver of Compliance Ron Hynes, connection with these proceedings since Director, Office of Technical Oversight. the facts do not appear to warrant a In accordance with Part 211 of Title hearing. If any interested party desires [FR Doc. 2015–03762 Filed 2–24–15; 8:45 am] 49 Code of Federal Regulations (CFR), an opportunity for oral comment, they BILLING CODE 4910–06–P this document provides the public should notify FRA, in writing, before notice that by a document dated the end of the comment period and December 17, 2014, Keolis Commuter DEPARTMENT OF TRANSPORTATION specify the basis for their request. Services (KRSM), a contracted All communications concerning these commuter railroad operator for the Federal Railroad Administration proceedings should identify the Massachusetts Bay Transportation appropriate docket number and may be Authority, has petitioned the Federal [Docket Number FRA–2014–0129] submitted by any of the following Railroad Administration (FRA) for a Petition for Waiver of Compliance methods: waiver of compliance from several • Web site: http:// provisions of the Federal railroad safety In accordance with Part 211 of Title www.regulations.gov. Follow the online regulations. Specifically, KRSM requests 49 Code of Federal Regulations (CFR), instructions for submitting comments. relief from certain provisions of 49 CFR this provides the public notice that by • Fax: 202–493–2251. part 240, Qualification and Certification a document dated , 2014, • Mail: Docket Operations Facility, of Locomotive Engineers, and Part 242, Michigan Southern Railroad Company U.S. Department of Transportation, 1200 Qualification and Certification of

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Conductors. The request was assigned communications and comments II equipment under 49 CFR part 238 Docket Number FRA–2014–0127. The received into any of our dockets by the subpart E, at speeds up to 160 miles per relief is contingent on KRSM’s name of the individual submitting the hour (mph) in three speed zones where implementation of and participation in comment (or signing the document, if track conditions can support higher the Confidential Close Call Reporting submitted on behalf of an association, speeds than currently operated. As System (C3RS) pilot project. business, labor union, etc.). In discussed above, Amtrak’s earlier KRSM seeks to shield reporting accordance with 5 U.S.C. 553(c), DOT petition in Docket Number FRA–2013– employees and the railroad from solicits comments from the public to 0128 proposed the same speed increase mandatory punitive sanctions that better inform its processes. DOT posts for a segment of track in Rhode Island, would otherwise arise as provided in 49 these comments, without edit, including milepost (MP) AB 154.3 to MP AB CFR 240.117(e)(1)–(4); 240.305(a)(1)–(4) any personal information the 171.7. and (a)(6); 240.307; and 242.403(b), (c), commenter provides, to The new petition in Docket Number (e)(1)–(4), (e)(6)–(11), (f)(1)–(2). The www.regulations.gov, as described in FRA–2014–0124 adds a request for a C3RS pilot project encourages certified the system of records notice (DOT/ALL– 160 mph speed zone in Massachusetts operating crew members to report close 14 FDMS), which can be reviewed at (MP AB 194 to MP AB 204) and— calls and protects the employees and the www.dot.gov/privacy. See also http:// subject to completion of certain railroad from discipline or sanctions www.regulations.gov/#!privacyNotice infrastructure improvements—a 160 arising from the incidents reported per for the privacy notice of regulations.gov. mph speed zone in New Jersey (MP AN the C3RS Implementing Memorandum Issued in Washington, DC, on February 19, 33 to MP AB 55.5). of Understanding. 2015. In summary, Amtrak seeks a waiver of A copy of the petition, as well as any Ron Hynes, provisions in the ACSES Order and the written communications concerning the Director, Office of Technical Oversight. 150 mph limitation for Tier II petition, is available for review online at [FR Doc. 2015–03768 Filed 2–24–15; 8:45 am] equipment in the Passenger Equipment www.regulations.gov and in person at BILLING CODE 4910–06–P Safety Standards to permit operation up the U.S. Department of Transportation’s to 160 mph in each of these discrete (DOT) Docket Operations Facility, 1200 zones. Amtrak does not seek to use the New Jersey Avenue SE., W12–140, DEPARTMENT OF TRANSPORTATION existing Acela trainsets at speeds higher Washington, DC 20590. The Docket than presently authorized elsewhere on Operations Facility is open from 9 a.m. Federal Railroad Administration the NEC. Amtrak notes that increasing to 5 p.m., Monday through Friday, [Docket Numbers FRA–2014–0124 and speeds in the subject zones would be except Federal Holidays. FRA–2013–0128] subject to special approvals qualifying Interested parties are invited to the existing Acela Tier II trainsets at the participate in these proceedings by Petition for Waiver of Compliance higher speed under 49 CFR part 213, submitting written views, data, or In accordance with Part 211 of Title Track Safety Standards, and regulations comments. FRA does not anticipate governing Positive Train Control, such scheduling a public hearing in 49 Code of Federal Regulations (CFR), this document provides the public as 49 CFR part 236, Rules, Standards, connection with these proceedings since and Instructions Governing the the facts do not appear to warrant a notice that by a document dated November 18, 2014, the National Installation, Inspection, Maintenance, hearing. If any interested party desires and Repair of Signal and Train Control an opportunity for oral comment, they Railroad Passenger Corporation (Amtrak) petitioned the Federal Systems, Devices, and Appliances. With should notify FRA, in writing, before FRA oversight, Amtrak has been the end of the comment period and Railroad Administration (FRA) for a waiver of compliance from certain conducting tests that, although not yet specify the basis for their request. concluded, are intended by Amtrak to All communications concerning these provisions of the Federal railroad safety support qualification of the existing proceedings should identify the regulations contained in 49 CFR, trainsets and train control system for appropriate docket number and may be governing the operation of passenger 160 mph operation. Successful submitted by any of the following trains on the Northeast Corridor (NEC). completion of these processes would be methods: Relief was also requested from speed necessary for Amtrak to use any relief • Web site: http:// limitations imposed by the Order of related to the Acela service that might www.regulations.gov. Follow the online Particular Applicability for the be granted in this proceeding. instructions for submitting comments. Advanced Civil Speed Enforcement • Fax: 202–493–2251. System (ACSES) Order. [FRA Docket Secondly, in Docket Number FRA– • Mail: Docket Operations Facility, No. 87–2, Notice No. 7; 63 FR 39343; 2014–0124, Amtrak requests approval to U.S. Department of Transportation, 1200 July 28, 1998]. FRA assigned the operate, on the ‘‘spine’’ of the NEC New Jersey Avenue SE., W12–140, petition Docket Number FRA–2014– between Washington, DC and Boston, Washington, DC 20590. 0124. new trainsets that would be built to • Hand Delivery: 1200 New Jersey Amtrak’s petition incorporated by ‘‘Tier III’’ standards proposed by the Avenue SE., Room W12–140, reference a prior request for relief in second Engineering Task Force (ETF) of Washington, DC 20590, between 9 a.m. Docket Number FRA–2013–0128 (see 79 the Passenger Safety Working Group of and 5 p.m., Monday through Friday, FR 8238; Feb. 11, 2014). Accordingly, the Railroad Safety Advisory Committee except Federal Holidays. additional comments may be submitted (RSAC). Those standards were accepted Communications received within regarding the petition in Docket Number by the full RSAC on June 14, 2013, (see April 13, 2015 of the date of this notice FRA–2013–0128 as well as on the new ‘‘ETF_001–02—Proposed Ruletext for will be considered by FRA before final petition in FRA–2014–0124. NPRM 1.docx,’’ available on the RSAC action is taken. Comments received after The Amtrak petitions address two Web site at https://rsac.fra.dot.gov/ that date will be considered as far as distinct requests. First, both petitions meetings/20130614.php.). Minutes of practicable. request permission to operate existing the June 14, 2013, RSAC meeting are Anyone is able to search the Acela trainsets, built in compliance available at https://rsac.fra.dot.gov/ electronic form of any written with the specific requirements for Tier meetings/20131031.php.

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Amtrak proposes to use Tier III New Jersey Avenue SE., W12–140, This request for nominations, equipment on the NEC at speeds up to Washington, DC 20590. particularly from tribal leaders, is in 160 mph (rather than the 220 mph Hand Delivery: 1200 New Jersey furtherance of the objectives of maximum contemplated for Tier III Avenue SE., Room W12–140, Executive Order 13175 under which equipment operating on dedicated right- Washington, DC 20590, between 9 a.m. Treasury consults with tribal officials in of-way). In support of this request, and 5 p.m., Monday through Friday, the development of federal policies that Amtrak has submitted a review of NEC except Federal Holidays. have tribal implications, to reinforce the operating experience that Amtrak Communications received by April United States government-to- represents as demonstrating a high level 13, 2015 will be considered by FRA government relationships with Indian of safety, supported by compliance with before final action is taken. Comments tribes and to reduce the imposition of FRA safety regulations and existing risk received after that date will be unfunded mandates upon Indian tribes. mitigations undertaken as voluntary considered as far as practicable. DATES: Please submit the names and measures. Amtrak notes that Tier III Anyone is able to search the qualifications of individuals you would trainsets would be operated at greater electronic form of any written recommend for appointment to the than Tier I speeds (i.e., above 125 mph) communications and comments TTAC by the Secretary, applications for only on the fully grade-separated received into any of our dockets by the appointment by the Secretary to the portions of the NEC in designated high- name of the individual submitting the TTAC or comments on this matter, speed zones. comment (or signing the document, if before , 2015. submitted on behalf of an association, In further support of its Tier III ADDRESSES: Please send business, labor union, etc.). In request, Amtrak has submitted the recommendations and applications to accordance with 5 U.S.C. 553(c), DOT report of a semi-quantitative risk [email protected], with a solicits comments from the public to assessment and a description of specific subject line ‘‘Treasury Tribal Advisory better inform its processes. DOT posts safety mitigations designed to Committee member recommendation or these comments, without edit, including compensate for the differences in application.’’ We will accept any personal information the crashworthiness between equipment applications for Secretarial commenter provides, to built to Tier II and Tier III standards. appointments until April 28, 2015. Self- www.regulations.gov, as described in Amtrak asserts that, with the existing nominations are welcome. the system of records notice (DOT/ALL– and proposed mitigations, Tier III FOR FURTHER INFORMATION CONTACT: 14 FDMS), which can be reviewed at equipment can be operated at a level of Elaine Buckberg, Deputy Assistant www.dot.gov/privacy. See also http:// safety equivalent to, or better than, Secretary for Policy Coordination and www.regulations.gov/#!privacyNotice operations with Tier II equipment. Point of Contact for Tribal Consultation, for the privacy notice of regulations.gov. Amtrak’s petition and exhibits are Department of the Treasury, at available for reference in Docket Issued in Washington, DC, on February 19, [email protected] or 202–622– Number FRA–2014–0124. 2015. 2200. Please use the subject line Amtrak asserts that all of the relief Ron Hynes, ‘‘Treasury Tribal Advisory Committee’’ requested is consistent with safety and Director, Office of Technical Oversight. in email correspondence. in the public interest. [FR Doc. 2015–03763 Filed 2–24–15; 8:45 am] SUPPLEMENTARY INFORMATION: Copies of the petitions, as well as any BILLING CODE 4910–06–P written communications concerning the Introduction and Background petitions, are available for review online I. Description and Mandate of the at www.regulations.gov and in person at DEPARTMENT OF THE TREASURY TTAC the U.S. Department of Transportation’s The TGWEA, signed into law by (DOT) Docket Operations Facility, 1200 Call for Nominations for Treasury President Obama on , New Jersey Avenue SE., W12–140, Secretary Appointments to Tribal 2014, requires that Treasury establish Washington, DC 20590. The Docket Advisory Committee the TTAC. Committee members will Operations Facility is open from 9 a.m. AGENCY: Departmental Offices, Treasury. advise the Secretary on matters related to 5 p.m., Monday through Friday, ACTION: Notice. to the taxation of Indians, the training except Federal Holidays. of Service field agents who administer Interested parties are invited to SUMMARY: The Treasury Department and enforce internal revenue laws with participate in these proceedings by (‘‘Treasury’’) seeks nominations for respect to Indian tribes, and the submitting written views, data, or appointments by the Secretary of the provision of training and technical comments. If any interested party Treasury (‘‘Secretary’’) to the Treasury assistance to Native American financial desires an opportunity for oral comment Tribal Advisory Committee (TTAC), officers. The Secretary will appoint and a public hearing, they should notify established pursuant to the Tribal three Committee members; the Chairs FRA, in writing, before the end of the General Welfare Exclusion Act of 2014 and Ranking Members of the Senate comment period and specify the basis (Pub. L. 113–168, or TGWEA). The Finance Committee and House of for their request. TTAC will advise the Secretary on Representative Ways and Means All communications concerning these matters related to the taxation of Committee will each appoint one proceedings should identify the Indians, training and education for member. The TTAC Charter has been appropriate docket number and may be Internal Revenue Service (‘‘Service’’) filed; a copy of the Charter is posted at submitted by any of the following field agents who administer and enforce http://www.treasury.gov/resource- methods: internal revenue laws with respect to center/economic-policy/tribal-policy/ Web site: http://www.regulations.gov. Indian tribes; and training and technical Documents/TTAC%20Charter%202-10- Follow the online instructions for assistance for tribal financial officers. 15.pdf. submitting comments. Nominations should describe the Recommendations for the four Fax: 202–493–2251. candidate’s qualifications for TTAC Congressional appointments to the Mail: Docket Operations Facility, U.S. membership. Submittal of an TTAC should be directed to the offices Department of Transportation, 1200 application and resume is required. of the four Members of Congress

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specified in the law, whose roles are To apply, an applicant must submit Beautiful Quarters Program Coins, the identified above. This notice requests an appropriately detailed resume and a Nancy Reagan First Spouse Gold Coin nominations for the three Secretarial cover letter that includes a description and Bronze Medal, and the 2017 Lions appointments. of the applicant’s reason for applying. Clubs International Century of Service The TWGEA builds on prior guidance An applicant must state in the Commemorative Coin Program. that Treasury and the Service issued in application materials that he or she Public Forum: The CCAC will host a direct response to requests from a agrees to submit to a pre-appointment public forum on Friday, March 6, 2015, number of tribal leaders, including tax and criminal background at 9 a.m. in Room 149 to receive input representatives of the National Congress investigation in accordance with from collectors and other members of of American Indians (NCAI), Native Treasury Directive 21–03. the public. Interested persons should call the American Finance Officers’ Association Elaine Buckberg, (NAFOA) and United Southern and CCAC HOTLINE at (202) 354–7502 for Deputy Assistant Secretary for Policy the latest update on meeting time and Eastern Tribes (USET). Beginning in Planning, Economic Policy. 2011, Treasury and the Service met room location. [FR Doc. 2015–03986 Filed 2–23–15; 4:15 pm] extensively with tribal leaders, In accordance with 31 U.S.C. 5135, developed draft legal guidance, and BILLING CODE 4810–35–P the CCAC: requested comments. In IRS Notice Advises the Secretary of the Treasury 2012–75, draft guidance was issued DEPARTMENT OF THE TREASURY on any theme or design proposals ‘‘with reliance’’ to provide immediate relating to circulating coinage, bullion certainty on conditions under which United States Mint coinage, Congressional Gold Medals, tribal government benefits are not and national and other medals. subject to the Federal personal income Public Meeting: Citizens Coinage Advises the Secretary of the Treasury tax. Final IRS guidance, issued last June Advisory Committee with regard to the events, persons, or as Rev. Proc. 2014–35, clarified these places to be commemorated by the matters further. Building on this ACTION: Notification of Citizens Coinage issuance of commemorative coins in guidance, we anticipate that members of Advisory Committee March 5, 2015, each of the five calendar years the TTAC will advise the Secretary on Public Meeting. succeeding the year in which a commemorative coin designation is related tax issues, and on the training SUMMARY: Pursuant to United States and education of Service field agents Code, Title 31, section 5135(b)(8)(C), the made. and tribal financial officers, as indicated United States Mint announces the Makes recommendations with respect in the TGWEA. Citizens Coinage Advisory Committee to the mintage level for any commemorative coin recommended. II. Application for TTAC Appointment (CCAC) public meeting scheduled for March 5, 2015. A public forum will FOR FURTHER INFORMATION CONTACT: Treasury seeks applications from occur the following day on March 6, William Norton, United States Mint individuals with experience and 2015. Liaison to the CCAC; 801 9th Street qualifications in the subject areas Date: March 5, 2015. NW., Washington, DC 20220; or call identified by the TWGEA: Indian Time: 9:30 a.m.–6:45 p.m. 202–354–7200. taxation, Service field agent training, Location: Oregon Convention Center, Any member of the public interested and Native American financial officer 777 NE Martin Luther King Jr. Blvd., in submitting matters for the CCAC’s training and technical assistance. Initial Room 151, Portland, OR 97232. consideration or addressing the CCAC at TTAC members appointed by the Subject: Review and consideration of the Public Forum is invited to submit Secretary will serve as volunteers for candidate designs for the 2016 Mark them by fax to the following number: terms of two years. TTAC member travel Twain Commemorative Coin Program, 202–756–6525. expenses will be reimbursed within the Monuments Men Recognition Act Authority: 31 U.S.C. 5135(b)(8)(C). government guidelines. No person who Congressional Gold Medal Program, the is a federally-registered lobbyist may Code Talkers Recognition Congressional Dated: February 19, 2015. serve on the TTAC. All potential Gold Medal Program for the Rosebud Richard A. Peterson, candidates must pass a Service (IRS) tax Tribe, and the Ronald Reagan Deputy Director for Manufacturing and compliance check and a Federal Bureau Presidential $1 Coin. In addition, the Quality, United States Mint. of Investigation (FBI) background CCAC will review and advise on design [FR Doc. 2015–03799 Filed 2–24–15; 8:45 am] investigation. concepts for the 2017 America the BILLING CODE P

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Part II

Department of Energy

10 CFR Parts 429 and 430 Energy Conservation Program: Test Procedures for Portable Air Conditioners; Proposed Rule

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DEPARTMENT OF ENERGY Any comments submitted must Energy, Office of Building Technology identify the NOPR for Test Procedures Programs, Appliance Standards 10 CFR Parts 429 and 430 for Portable Air Conditioners, and Division, 950 L’Enfant Plaza SW. Room [Docket No. EERE–2014–BT–TP–0014] provide docket number EERE–2014– 603, Washington, DC 20585–0121. BT–TP–0014 and/or regulatory Telephone: 202–586–0371. Email: RIN 1904–AD22 information number (RIN) number [email protected]. 1904–AD22. Comments may be Ms. Sarah Butler, U.S. Department of Energy Conservation Program: Test submitted using any of the following Energy, Office of the General Counsel, Procedures for Portable Air methods: Mailstop GC–33, 1000 Independence Conditioners 1. Federal eRulemaking Portal: Ave. SW., Washington, DC 20585–0121. AGENCY: Office of Energy Efficiency and www.regulations.gov. Follow the Telephone: 202–586–1777; Email: Renewable Energy, Department of instructions for submitting comments. [email protected]. Energy. 2. Email: PortableAC2014TP0014@ SUPPLEMENTARY INFORMATION: DOE ee.doe.gov. Include the docket number ACTION: Notice of proposed rulemaking. intends to incorporate by reference the and/or RIN in the subject line of the following industry standards into 10 SUMMARY: The U.S. Department of message. CFR part 430: Portable Air Conditioners Energy (DOE) proposes to establish test 3. Mail: Ms. Brenda Edwards, U.S. AHAM PAC–1–2014, 2014. procedures for portable air conditioners Department of Energy, Building Copies of AHAM PAC–1–2014 can be (ACs) in accordance with the guidance Technologies Program, Mailstop EE–5B, obtained from the Association of Home and requirements set forth by the Energy 1000 Independence Avenue SW., Appliance Manufacturers, 1111 19th Policy and Conservation Act to establish Washington, DC 20585–0121. If Street NW., Suite 402, Washington, DC technologically feasible, economically possible, please submit all items on a 20036, 202–872–5955, or by going to justified energy conservation standards CD. It is not necessary to include http://www.aham.org/ht/d/ for products identified by specific printed copies. ProductDetails/sku/PAC12009/from/ 4. Hand Delivery/Courier: Ms. Brenda criteria to provide national energy 714/pid/. Edwards, U.S. Department of Energy, savings through improved energy Building Technologies Program, 950 efficiency. The proposed test procedures Table of Contents L’Enfant Plaza, SW., Suite 600, are based upon industry methods to I. Authority and Background Washington, DC 20024. Telephone: determine energy consumption in active A. General Test Procedure Rulemaking (202) 586–2945. If possible, please modes, off-cycle mode, standby modes, Process submit all items on a CD. It is not and off mode, with certain B. Test Procedure for Portable Air necessary to include printed copies. modifications to ensure the test Conditioners For detailed instructions on II. Summary of the Notice of Proposed procedures are repeatable and submitting comments and additional Rulemaking representative. The proposed test information on the rulemaking process, III. Discussion procedure would create a new appendix see section V of this document (Public A. Products Covered by the Proposed Test CC, which would be used to determine Participation). Procedure capacities and energy efficiency metrics Docket: The docket, which includes B. Determination, Classification, and that could be the basis for any future Testing Provisions for Operational Federal Register notices, public meeting Modes energy conservation standards for attendee lists and transcripts, portable ACs. DOE also proposes adding 1. Active Modes comments, and other supporting a. Cooling Mode a sampling plan and rounding documents/materials, is available for b. Heating Mode requirements for portable ACs, review at regulations.gov. All 2. Off-Cycle Mode necessary when certifying capacity and documents in the docket are listed in 3. Standby Mode and Off Mode efficiency of a basic model. the regulations.gov index. However, a. Mode Definitions DATES: DOE will accept comments, data, some documents listed in the index, b. Determination of Standby Mode and Off and information regarding this notice of Mode Power Consumption such as those containing information 4. Combined Energy Efficiency Ratio proposed rulemaking (NOPR) before and that is exempt from public disclosure, a. CEER Calculations after the public meeting, but no later may not be publicly available. b. Mode Annual Operating Hours than , 2015. See section V, A link to the docket Web page can be C. Sampling Plan and Rounding ‘‘Public Participation,’’ for details. found at: http://www.regulations.gov/# Requirements DOE will hold a public meeting on !docketDetail;D=EERE-2014-BT-TP- D. Compliance With Other Energy Policy Wednesday, March 18, 2015, from 9 0014. This Web page will contain a link and Conservation Act Requirements a.m. to 12 p.m., in Washington, DC. The to the docket for this notice on the 1. Test Burden meeting will also be broadcast as a regulations.gov site. The regulations.gov 2. Potential Incorporation of International webinar. See section V, ‘‘Public Web page will contain simple Electrotechnical Commission Standard Participation,’’ for webinar registration 62087 instructions on how to access all IV. Procedural Issues and Regulatory Review information, participant instructions, documents, including public comments, A. Review Under Executive Order 12866 and information about the capabilities in the docket. See section VII for B. Review under the Regulatory Flexibility available to webinar participants. information on how to submit Act ADDRESSES: The public meeting will be comments through regulations.gov. C. Review Under the Paperwork Reduction held at the U.S. Department of Energy, For further information on how to Act of 1995 Forrestal Building, Room 8E–089, 1000 submit a comment, review other public D. Review Under the National Independence Avenue SW., comments and the docket, or participate Environmental Policy Act of 1969 in the public meeting, contact Ms. E. Review Under Executive Order 13132 Washington, DC 20585. To attend, F. Review Under Executive Order 12988 please notify Ms. Brenda Edwards at Brenda Edwards at (202) 586–2945 or by G. Review Under the Unfunded Mandates (202) 586–2945. See section V Public email: [email protected]. Reform Act of 1995 Participation for additional meeting FOR FURTHER INFORMATION CONTACT: Mr. H. Review Under the Treasury and General information. Bryan Berringer, U.S. Department of Government Appropriations Act, 1999

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I. Review Under Executive Order 12630 (4) Application of a labeling rule thousand units by 2018, representing J. Review Under Treasury and General under 42 U.S.C. 6294 is unlikely to be nearly 80-percent growth in 6 years.2 Id. Government Appropriations Act, 2001 sufficient to induce manufacturers to at 40404. In addition, DOE estimated the K. Review Under Executive Order 13211 produce, and consumers and other L. Review Under Section 32 of the Federal average per-household electricity Energy Administration Act of 1974 persons to purchase, covered products consumption by portable ACs to be M. Description of Materials Incorporated of such type (or class) that achieve the approximately 650 kWh per year. Id. by Reference maximum energy efficiency that is In response to the July 2013 NOPD, V. Public Participation technologically feasible and DOE received comments from interested A. Attendance at Public Meeting economically justified. (42 U.S.C. parties on several topics regarding B. Procedure for Submitting Prepared 6295(l)(1)) appropriate test procedures for portable General Statements for Distribution Under EPCA, the energy conservation ACs that DOE should consider if it C. Conduct of Public Meeting program consists essentially of four D. Submission of Comments issues a final determination classifying E. Issues on Which DOE Seeks Comment parts: (1) Testing, (2) labeling, (3) portable ACs as a covered product. VI. Approval of the Office of the Secretary Federal energy conservation standards, On , 2014, DOE published in and (4) certification and enforcement the Federal Register a notice of data I. Authority and Background procedures. The testing requirements availability (NODA) (hereinafter referred Title III of the Energy Policy and consist of test procedures that to as the ‘‘May 2014 NODA’’), in which Conservation Act (EPCA), as amended manufacturers of covered products must it agreed that a DOE test procedure for (42 U.S.C. 6291, et seq.; ‘‘EPCA’’ or, ‘‘the use as the basis for: (1) Certifying to portable ACs would provide consistency Act’’) sets forth various provisions DOE that their products comply with and clarity for representations of energy designed to improve energy efficiency. the applicable energy conservation use of these products. DOE evaluated Part A of title III of EPCA (42 U.S.C. standards adopted under EPCA, and (2) available industry test procedures to 6291–6309) establishes the ‘‘Energy making representations about the determine whether such methodologies Conservation Program for Consumer efficiency of those products. Similarly, would be suitable for incorporation in a Products Other Than Automobiles,’’ DOE must use these test procedures to future DOE test procedure, should DOE which covers consumer products and determine whether the products comply determine to classify portable ACs as a certain commercial products with any relevant standards covered product. DOE conducted testing (hereinafter referred to as ‘‘covered promulgated under EPCA. on a range of portable ACs to determine products’’).1 EPCA authorizes DOE to A. General Test Procedure Rulemaking typical cooling capacities and cooling establish technologically feasible, Process energy efficiencies based on the existing economically justified energy industry test methods and other Under 42 U.S.C. 6293, EPCA sets forth conservation standards for covered modified approaches for portable ACs. the criteria and procedures DOE must products or equipment that would be 79 FR 26639, 26640 (May 9, 2014). follow when prescribing or amending likely to result in significant national As discussed above, DOE also test procedures for covered products. energy savings. (42 U.S.C. recently initiated a separate rulemaking EPCA provides in relevant part that any 6295(o)(2)(B)(i)(I)–(VII)) In addition to to consider establishing energy test procedures prescribed or amended specifying a list of covered consumer conservation standards for portable ACs. under this section shall be reasonably and industrial products, EPCA contains Any new standards would be based on designed to produce test results that provisions that enable the Secretary of the same efficiency metrics derived measure energy efficiency, energy use or Energy to classify additional types of from the test procedure that DOE would estimated annual operating cost of a consumer products as covered products. adopt in a final rule in this rulemaking. covered product during a representative (42 U.S.C. 6292(a)(20)) For a given average use cycle or period of use and product to be classified as a covered II. Summary of the Notice of Proposed shall not be unduly burdensome to product, the Secretary must determine Rulemaking conduct. (42 U.S.C. 6293(b)(3)) that: In this NOPR, DOE proposes to In addition, if DOE determines that a (1) Classifying the product as a establish in Title 10 of the Code of test procedure should be prescribed or covered product is necessary for the Federal Regulations (CFR), section amended, it must publish proposed test purposes of EPCA; and 430.2, the definition of portable AC that procedures and offer the public an (2) The average annual per-household was initially proposed in the July 2013 opportunity to present oral and written energy use by products of each type is NOPD, modified to distinguish from comments on them. (42 U.S.C. likely to exceed 100 kilowatt-hours room ACs and dehumidifiers. 6293(b)(2)) (kWh) per year. (42 U.S.C. 6292(b)(1)) DOE also proposes to establish in 10 To prescribe an energy conservation B. Test Procedure for Portable Air CFR part 430, subpart B, a test standard pursuant to 42 U.S.C. 6295(o) Conditioners procedure for single-duct and dual-duct and (p) for covered products added There are currently no DOE test portable ACs that would provide an pursuant to 42 U.S.C. 6292(b)(1), the procedures or energy conservation accurate representation of performance Secretary must also determine that: standards for portable ACs. On July 5, in active modes, standby modes, and off (1) The average household energy use mode. Because spot cooler portable ACs of the products has exceeded 150 kWh 2013, DOE issued a notice of proposed determination (NOPD) of coverage do not provide net cooling to a per household for a 12-month period; conditioned space, DOE is not (2) The aggregate 12-month energy use (hereinafter referred to as the ‘‘July 2013 NOPD’’), in which DOE announced that proposing test procedures for these of the products has exceeded 4.2 products in this NOPR. The proposed terawatt-hours (TWh); it tentatively determined that portable ACs meet the criteria under 42 U.S.C. active mode testing methodology would (3) Substantial improvement in energy utilize the Association of Home efficiency is technologically feasible; 6292(b)(1) to be classified as a covered product. 78 FR 40403. DOE estimated and 2 Transparency Media Research, ‘‘Air that 973.7 thousand portable AC units Conditioning Systems Market—Global Scenario, 1 For editorial reasons, upon codification in the were shipped in North America in 2012, Trends, Industry Analysis, Size, Share and Forecast, U.S. Code, Part B was re-designated Part A. with a projected growth to 1743.7 2012–2018,’’ January 2013.

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Appliance Manufacturers (AHAM) available operating modes. DOE also providing delivery of conditioned air to portable AC test procedure (AHAM proposes to define a separate CEER an enclosed space. It includes a prime PAC–1) to measure cooling capacity and metric for cooling mode that would also source of refrigeration and may include cooling energy efficiency ratio (EERcm), apply to units that include heating means for ventilating and heating. 78 FR with additional provisions to account mode and would be a common metric 40403, 40404 (July 5, 2013). for heat transferred to the indoor used for comparison among portable DOE maintained this proposed conditioned space from the case, ducts, ACs. DOE also proposes an EER metric definition in the May 2014 NODA. In and any infiltration air from to represent performance in cooling and the July 2013 NOPD, DOE also stated unconditioned spaces. DOE also heating modes that could be used to that portable ACs are moveable units proposes to clarify for such active mode compare cooling and heating typically designed to provide 8,000 to testing (1) test duct configuration; (2) performance with other similar 14,000 British thermal units per hour instructions for condensate collection; products. (Btu/h) of cooling capacity for a single (3) control settings for operating mode, Finally, DOE proposes adding a room. Id. fan speed, temperature set point, and sampling plan and rounding In response to the proposed louver oscillation; and (4) unit requirements for portable ACs to a new definition, Pacific Gas and Electric placement within the test chamber. DOE section 10 CFR 429.62. These Company, Southern California Gas proposes to define this operating mode instructions are necessary when Company, San Diego Gas and Electric, as ‘‘cooling mode’’ to distinguish it from certifying capacity and efficiency of a and Southern California Edison other active modes, such as ‘‘heating basic model. (hereinafter referred to as the mode.’’ ‘‘California Investor-Owned Utilities For those single-duct and dual-duct III. Discussion (IOUs)’’) and Edison Electric Institute portable ACs that incorporate a heating A. Products Covered by the Proposed (EEI) stated that the requirement in the function, DOE proposes additional Test Procedure definition to be powered by a single- testing methodology for measuring phase electric current may exclude energy use in heating mode similar to A portable AC is a self-contained, some equipment designed for the methodology proposed for the refrigeration-based product that, similar commercial applications. The California measurement of cooling capacity and to a room AC, removes latent and IOUs encouraged DOE to consider a sensible heat from the ambient air in a EERcm, except that testing conditions large range of portable ACs, both would be specified that are single space such as a room. Similar to residential and commercial, to ensure representative of ambient conditions room ACs, portable ACs are standalone that all potential savings are examined when portable ACs would be used for appliances designed to operate and analyzed. In particular, the heating purposes. The proposed test independently of any other air treatment California IOUs recommended that DOE procedure includes a measure of heating devices, though they may also be used consider covering portable ACs with capacity and heating energy efficiency in conjunction with other pre-existing capacities above 14,000 Btu/h because ratio (EERhm). air treatment devices. However, unlike there are units currently on the market The proposed single-duct and dual- room ACs, portable ACs are not with cooling capacities up to and above duct portable AC test procedure also designed as a unit to be mounted in a 65,000 Btu/h. (California IOUs, NOPD includes a measure of energy use in off- window or through the wall. Portable No. 5 at pp. 1–2; 3 EEI, NOPD No. 3 at cycle mode, which occurs when the ACs are placed in the conditioned space p. 5) EEI also commented that DOE ambient dry-bulb temperature reaches and may have flexible ducting, typically should consider revising the definition the setpoint. This may include connected to a window to remove of ‘‘portable air conditioner’’ to ensure operation of the fan either continuously condenser outlet air from the that three-phase electrical current units or cyclically without activating the conditioned space. are covered, and to better reflect refrigeration (or heating) system, or DOE is generally aware of 3 categories products that currently are on the periods in standby mode when the fan of portable ACs including single-duct market with and without heating is not operating. models, dual-duct models, and spot capability. (EEI, NOPD No. 3 at p. 5) In this NOPR, DOE identifies and coolers. Single-duct portable ACs utilize Oceanaire Inc. (Oceanaire) discusses all relevant low-power modes, a single condenser exhaust duct to vent commented that according to the EPCA including bucket-full mode, delay-start heated air to the unconditioned space. definition, commercial spot coolers mode, inactive mode, and off mode. Other configurations include dual-duct, (portable ACs that do not have ducting DOE also proposes definitions for which intakes some or all condenser air attached to the condenser) are not inactive mode and off mode, and from and exhausts to unconditioned covered products. According to proposes test procedures to determine space, and spot coolers, which have no Oceanaire, commercial spot coolers are energy consumption representative of ducting on the condenser side and may mainly used in the rental market where each of these low-power modes based utilize small directional ducts on the emergencies create a need for immediate on the procedures outlined in the evaporator exhaust. Spot coolers are and focused cooling systems, with standard published by the International often used in applications that require example applications including food Electrotechnical Commission (IEC), cooling in one localized zone and can and cosmetics processing plants, titled ‘‘Household electrical tolerate exhaust heat outside of this appliances—Measurement of standby zone. 3 A notation in the form ‘‘California IOUs, NOPD power,’’ Publication 62301, Edition 2.0 In the July 2013 NOPD, DOE proposed No. 5 at pp. 1–2’’ identifies a written comment: (1) (2011–01) (hereinafter referred to as to define ‘‘portable air conditioner’’ as: Made by Pacific Gas and Electric Company, San Diego Gas and Electric Company, and Southern ‘‘IEC Standard 62301’’). A consumer product, other than a California Edison (‘‘the California IOUs’’); (2) In addition, DOE proposes a ‘‘packaged terminal air conditioner’’ recorded in document number 5 that is filed in the combined energy efficiency ratio (CEER) which is powered by a single-phase docket of the rulemaking for determination of metric to be used in reporting the electric current and which is an encased coverage of portable air conditioners as a covered consumer product (Docket No. EERE–2013– BT– overall energy efficiency of a single-duct assembly designed as a portable unit STD–0033) and available for review at and dual-duct portable AC. The CEER that may rest on the floor or other www.regulations.gov; and (3) which appears on metric would represent energy use in all elevated surface for the purpose of pages 1–2 of document number 5.

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outdoor entertainment venues, and steel rented on a seasonal or emergency basis, align with both the room AC and processing factories. Oceanaire noted unlike other portable ACs, which are dehumidifier definitions. In sum, DOE that the cooling capacity of these rental generally purchased for regular use on proposes to add to 10 CFR 430.2 the units range between 1 and 5 tons a seasonal or occasional basis. Based on following definition for ‘‘portable air (12,000 to 60,000 Btu/h), where actual these considerations, DOE is not conditioner.’’ performance is determined by a wide considering a test procedure for spot An encased assembly, other than a range of operating environments, which coolers at this time even though DOE ‘‘packaged terminal air conditioner,’’ may include high and low temperatures, believes spot coolers would meet the ‘‘room air conditioner,’’ or high humidity, and corrosive conditions proposed definition of portable AC if ‘‘dehumidifier,’’ designed as a portable that are not experienced in household DOE finalizes the coverage unit for delivering cooled, conditioned applications. Further, Oceanaire noted determination as proposed. air to an enclosed space, that is powered that its commercial product DOE recognizes that certain portable by single-phase electric current, which construction is robust, comprising ACs also include options for operating may rest on the floor or other elevated mainly 18 gauge and thicker steel as a dehumidifier and/or heater, with surface. It includes a source of cabinetry and support structures. heating means provided by either an refrigeration and may include additional (Oceanaire, No. 2 at pp. 1–2 4) electric resistance heater or by means for air circulation and heating. Portable ACs, most commonly in modifying internal refrigerant flow to Although this proposed definition single-duct or dual-duct configuration, operate the unit as a heat pump. The differs from the definition presented in typically range in cooling capacity from dehumidification function may be the July 2013 NOPD, DOE maintains its 5,000 to 14,000 Btu/h when measured achieved in some units by decreasing tentative determination that portable according to existing industry test fan speeds, removing the condenser ACs qualify as a covered product under methods. According to sizing charts duct(s), and for some units, disabling Part A of Title III of EPCA, as amended. provided by vendors, these portable ACs the self-evaporative feature by draining A product may be added as a covered are intended to cool rooms of up to the condensate before it reaches the product, pursuant to 42 U.S.C. approximately 525 square feet in area,5 condenser coils or deactivating the 6292(b)(1), if (1) classifying products of are often heavier than 50 pounds, and condensate slinger fan when the such type as covered products is so are designed with wheels to provide controls are set to dehumidification necessary and appropriate to carry out mobility from room to room. Spot mode. In all of these cases, the air flow the purposes of EPCA; and (2) the coolers, a category of portable ACs pattern and psychrometrics differ average per-household energy use by under DOE’s proposed definition, are fundamentally from those of a products of such type is likely to exceed typically intended for larger spaces and dehumidifier, resulting in different 100 kWh (or its Btu equivalent) per year. harsher applications. Most have cooling energy efficiencies during As discussed in the July 2013 NOPD, capacities greater than 14,000 Btu/h, dehumidification operation, even DOE determined that portable ACs meet when measured according to existing though both products may use a the first requirement because: industry test methods, and are typically refrigeration system to remove moisture Shipments are projected to increase 80 larger than single-duct and dual-duct from the air. percent over a 6-year period from 2012 portable ACs, often weighing more than DOE also recognizes that although to 2017, coverage of portable ACs would 100 pounds. Because they are frequently room ACs and portable ACs share many allow for conservation of energy through moved from site to site, spot coolers are of the same components that operate labeling programs and the regulation of more rugged in construction, although similarly to provide cooled air to a portable AC energy efficiency, and there they also have wheels to maintain conditioned space, a portable AC, is significant variation in the annual portability. During interviews, unlike a room AC, may be entirely energy consumption of different manufacturers indicated that spot cooler located within the conditioned space so portable AC models currently available shipments represent no more than that some or all of the condenser air on the market. 78 FR 40403, 40404 (July approximately 1.5 percent of the total may be drawn from that space, and 5, 2013). For the second requirement, portable AC market in the United States, some heat from the refrigeration system DOE determined that a typical portable and that only about half of those and ducting is transferred to the AC uses approximately 650 kWh/year, shipments are for spot coolers with conditioned space as well. These well above the 100 kWh/year threshold. single-phase, 120-volt, and 60-Hertz differences would lead to differing 78 FR 40403, 40404–40405 (July 5, power supply requirements (the power cooling mode energy efficiencies 2013). The updated portable AC supply appropriate for consumer between room ACs and portable ACs, definition proposed in this NOPR only products). Additionally, manufacturers even if the products were to incorporate includes additional clarification to noted that the spot coolers typically the same components. In addition, differentiate portable ACs from incorporate more powerful and louder operation of the portable AC without dehumidifiers and room ACs, it does blowers, condensate collection without activation of the refrigeration system not alter the intended scope of the auto-evaporation, and larger case sizes may be more accurately characterized as definition. Accordingly, the than typical single-duct and dual-duct ‘‘air circulation’’ rather than determinations from the July 2013 portable ACs. Manufacturer interviews ‘‘ventilation’’ because the portable AC NOPD remain valid for the revised confirmed that spot coolers are often may be operated without drawing air proposed portable AC definition. from outside the conditioned space. DOE also proposes to include in the 4 A notation in the form ‘‘Oceanaire, No. 2 at pp. Thus, DOE proposes to clarify in the new test procedure at appendix CC the 1–2’’ identifies a written comment: (1) Made by definition of ‘‘portable air conditioner’’ following definitions for different Oceanaire, Inc. (Oceanaire); (2) recorded in document number 2 that is filed in the docket of that the primary function of the product portable AC configurations to clarify the the portable air conditioner test procedure is to provide cooled, conditioned air to testing provisions to be used to obtain rulemaking (Docket No. EERE–2014– BT–TP–0014) the space in addition to other functions representative results for cooling and available for review at www.regulations.gov; such as air circulation or heating, and capacity, heating capacity (where and (3) which appears on pages 1–2 of document number 2. that it is a product other than a room AC applicable), and CEER: 5 For example: www.air-n-water.com/portable-ac- or dehumidifier. DOE also proposes to ‘‘Single-duct portable air conditioner’’ size.htm. restructure the portable AC definition to means a portable air conditioner that

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draws all of the condenser inlet air from connected to a mains power source, has Portable ACs may also operate in a the conditioned space without the been activated, and is performing the consumer-selected mode during which means of a duct, and discharges the main functions of removing moisture the blower is operated with all other condenser outlet air outside the from air by drawing moist air over a cooling or heating components disabled. conditioned space through a single duct. refrigerated coil using a fan, or The blower may operate cyclically or ‘‘Dual-duct portable air conditioner’’ circulating air through activation of the continuously to circulate air in the means a portable air conditioner that fan without activation of the conditioned space. DOE refers to this draws some or all of the condenser inlet refrigeration system. consumer-selected, active mode as ‘‘air- air from outside the conditioned space Portable ACs provide the same main circulation mode.’’ DOE does not through a duct, and may draw functions as room ACs: (1) Cooling with currently have information on the usage additional condenser inlet air from the activation of the refrigeration system of this consumer-initiated air circulation conditioned space. The condenser outlet and blower or fan; (2) for certain feature and, therefore is not proposing air is discharged outside the models, heating by means of activation to measure energy usage during ‘‘air- conditioned space by means of a of a blower or fan and either the circulation mode.’’ However, DOE seeks separate duct. refrigeration system and a reverse-cycle information on annual hours associated DOE is also proposing a definition for solenoid valve or a resistance heater; or with this mode. ‘‘spot cooler’’ as a portable air (3) air circulation by activating only the Some portable ACs also include a conditioner that draws condenser inlet blower or fan. As with dehumidifiers, a dehumidification or ‘‘dry’’ function. air from and discharges condenser portable AC evaporator may also DOE learned through manufacturer outlet air to the conditioned space, and experience frosting and may need to interviews that portable AC operation in draws evaporator inlet air from and perform a defrost operation. DOE, this mode is adjusted to maximize latent discharges evaporator outlet air to a therefore, proposes the following rather than sensible heat removal, localized zone within the conditioned definition for portable AC active mode: typically by decreasing the evaporator space. DOE is proposing such a ‘‘Active mode’’ means a mode in fan or blower speed. Though not always definition in this NOPR to clarify that which the portable air conditioner is specified in the user manual, when testing these products would not be connected to a mains power source, has operating in dry mode, the installation required at this time, as discussed been activated, and is performing the may be modified to direct condenser previously in this section. main functions of cooling or heating the exhaust into the conditioned space. In this case, a drain setup is necessary to DOE requests comment on these conditioned space, circulating air remove condensate before it passes over proposed definitions for portable ACs through activation of its fan or blower the condenser to be re-evaporated into and their specific configurations, without activation of the refrigeration the condenser exhaust. Though the including the proposal that spot coolers system, or defrosting the refrigerant coil. not be addressed in this rulemaking. evaporator and condenser outlet air DOE proposes to designate active streams are not fully mixed, the net B. Determination, Classification, and mode functions performed when the effect is minimal heating or cooling Testing Provisions for Operational temperature setpoint is not yet reached within the conditioned space and a Modes as either ‘‘cooling mode’’ or ‘‘heating reduction in relative humidity. DOE mode,’’ depending upon the user- 1. Active Modes considered addressing dehumidification selected function. performance as part of this test Portable ACs are typically purchased Portable ACs may also operate in ‘‘off- procedure proposal, and determined by consumers to provide cooled air to a cycle mode,’’ during which the fan or that it is not technically feasible to conditioned space, although certain blower may operate without activation combine dehumidification performance, models provide additional functions of the refrigeration system after the in units of liters per kWh, with a cooling such as heating, dehumidification, and temperature setpoint has been reached. or heating performance, in units of Btu/ air circulation. Because room ACs and Under these conditions, the fan may be Wh. Because dehumidification is not dehumidifiers share many of the same operated to ensure that air is drawn over the primary mode of operation for internal components and incorporate the thermostat to monitor ambient portable ACs, DOE does not believe that some of the same operating modes as conditions, or for air circulation in the the annual operating hours in portable ACs, DOE considered the mode conditioned space. It is also possible dehumidification mode would be definitions for these products to develop that immediately following a period of significant and would therefore not applicable mode definitions for portable cooling or heating, fan operation may be substantially impact a metric that ACs. initiated to remove any remaining frost considers the combined annual energy Appendix F of title 10, part 430, or moisture from the evaporator. consumption of each operating mode. subpart B of the CFR defines ‘‘active Although the periods of fan operation DOE’s tentative conclusion is supported mode’’ for room ACs as a mode in would classify those periods of off-cycle by a recent field study conducted by which the room AC is connected to a mode as an active mode, DOE notes that Burke, et al., (hereinafter referred to as mains power source, has been activated the portable AC may also enter one or the Burke Portable AC Study), in which and is performing the main function of more periods of a standby mode during portable ACs were monitored over cooling or heating the conditioned off-cycle mode, in which the fan or multiple summer months in 19 space, or circulating air through blower does not operate. Therefore, DOE locations in New York and activation of its fan or blower, with or proposes to define off-cycle mode to Pennsylvania.6 No users in this study without energizing active air-cleaning include all periods of fan operation and reported operating their portable AC in components or devices such as standby mode that occur when the dehumidification mode. DOE also notes ultraviolet (UV) radiation, electrostatic temperature set point has been reached, filters, ozone generators, or other air- and further proposes to measure the 6 T. Burke, et al., Using Field-Metered Data to cleaning devices. Appendix X within energy consumption during off-cycle Quantify Annual Energy Use of Portable Air that same subpart of the CFR defines mode according to methodology Conditioners, Lawrence Berkeley National Laboratory, Report No. LBNL–6868E (December ‘‘active mode’’ for dehumidifiers as a discussed in section III.B.2 of this 2014). Available at: www.osti.gov/scitech/servlets/ mode in which a dehumidifier is NOPR. purl/1166989.

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that including dehumidification mode (3) ANSI/ASHRAE Standard 128–2011 EER. Values of these performance in a portable AC test procedure would ‘‘Method of Rating Unitary Spot Air metrics measured accordingly may more significantly and disproportionately Conditioners’’ (ANSI/ASHRAE Standard accurately reflect real-world portable 128–2011) is adapted from the previous 2009 increase test burden. Therefore, DOE version of CSA C370. It too references ANSI/ AC operation. In that test series, DOE does not propose to include ASHRAE Standard 37–2009. The previous also investigated cooling capacity and dehumidification mode as an operating version of ANSI/ASHRAE Standard 128, EER as a function of the infiltration air mode to be addressed in a portable AC published in 2001, is required by California temperature for single-duct and dual- test procedure. regulations to be used to certify spot cooler duct units, and the effect of condenser In summary, DOE proposes to include performance for such products sold in that exhaust air entrainment at the intake for the following definitions in new State. A key difference between ANSI/ dual-duct portable ACs. DOE presented appendix CC to clarify the types of ASHRAE Standard 128–2011 and ANSI/ the results of this preliminary testing in ASHRAE Standard 128–2001 is that the older portable AC operation within active version specifies a higher indoor ambient the May 2014 NODA. 79 FR 26639, mode: testing temperature, which increases 26643–26648 (May 9, 2014). ‘‘Cooling mode’’ means an active measured cooling capacity and EER. 79 FR Although AHAM PAC–1–2009, CSA mode in which a portable air 26639, 26640–26641 (May 9, 2014). C370–2013, and ANSI/ASHRAE conditioner has activated the main DOE found no significant differences Standard 128–2011, all reference the cooling function according to the that would produce varying results test setup and methodology from ANSI/ thermostat or temperature sensor signal, among the three test procedures. The ASHRAE Standard 37, AHAM PAC–1– including activating the refrigeration aforementioned versions of the AHAM, 2009 did not specify the particular system, or the fan or blower without CSA, and ASHRAE test procedures each sections in ANSI/ASHRAE Standard 37 activation of the refrigeration system. measure cooling capacity and EER based that are to be used. However, AHAM ‘‘Heating mode’’ means an active on an air enthalpy approach that recently published an updated version mode in which a portable air measures the airflow rate, dry-bulb of its portable AC test procedure, conditioner has activated the main temperature, and water vapor content of AHAM PAC–1–2014, that references heating function according to the air at the inlet and outlet of the indoor specific sections in ANSI/ASHRAE thermostat or temperature sensor signal, (evaporator) side. In addition, for air- Standard 37 for equipment setup, including activating a resistance heater, cooled portable ACs with cooling cooling capacity determination, power the refrigeration system with a reverse capacity less than 135,000 Btu/h, which input determination, data recording, refrigerant flow valve, or the fan or include the products that are the subject and results reporting, consistent with blower without activation of the of this NOPR, the indoor air enthalpy the approach in CSA C370–2013 and resistance heater or refrigeration system. ANSI/ASHRAE Standard 128–2011. Further discussion of off-cycle mode, results must be validated by measuring cooling capacity by either an outdoor air These clarifications will likely improve including a proposed definition, is testing reproducibility by eliminating included in section III.2 of this NOPR. enthalpy method or a compressor calibration method. As explained in the different possible interpretations of the a. Cooling Mode May 2014 NODA, DOE selected the provisions to reference from ANSI/ ASHRAE Standard 37. AHAM also As discussed in the May 2014 NODA, outdoor air enthalpy method for its slightly revised the evaporator inlet and DOE identified three industry test investigative testing to minimize test condenser inlet temperatures for its procedures that measure portable AC burden because it only requires standard rating conditions in AHAM performance in cooling mode and that additional metering components, PAC–1–2014, in order to harmonize are applicable to products sold in North similar to those used for the indoor air with the temperatures specified in CSA America: enthalpy method. DOE conducted initial testing according to AHAM PAC–1– C370–2013 and ANSI/ASHRAE (1) AHAM PAC–1–2009 ‘‘Portable Air Standard 128–2011. Conditions that had Conditioners’’ (AHAM PAC–1–2009) 2009 to establish baseline capacities and efficiencies of a preliminary sample of been specified as 80 degrees Fahrenheit specifies cooling mode testing conducted in (°F) dry-bulb temperature and 67 °F wet- accordance with American National test units according to the existing industry test procedures. 79 FR 26639, bulb temperature were adjusted to 80.6 Standards Institute (ANSI)/American Society ° ° of Heating, Refrigerating, and Air- 26641 (May 9, 2014). F/66.2 F, and conditions that had been Conditioning Engineers (ASHRAE) Standard To investigate the contribution of specified as 95 °F/75 °F were adjusted 37–2005 ‘‘Methods of Testing for Rating operational factors on the apparent to 95 °F/75.2 °F. DOE did not identify Electrically Driven Unitary Air-Conditioning reduction in cooling capacity observed other substantive changes between the and Heat Pump Equipment’’ (ANSI/ASHRAE for units in the field, DOE compared the 2009 and 2014 versions of AHAM PAC– Standard 37–2005).7 The metrics results of AHAM PAC–1–2009 testing 1 that would affect testing results. incorporated in AHAM PAC–1–2009 include For the May 2014 NODA, DOE capacity and energy efficiency ratio (EER) for with the results of additional testing the following configurations: Single-Duct, with a test room calorimeter approach conducted an initial round of Dual-Duct, Spot Cooling, and Water Cooled based on ANSI/ASHRAE Standard 16– performance testing on a preliminary Condenser. 1983 (RA 99), ‘‘Method of Testing for sample of test units representative of (2) Canadian Standards Association (CSA) Rating Room Air Conditioners and products available at that time on the C370–2013 ‘‘Cooling Performance of Portable Packaged Terminal Air Conditioners’’ U.S. market. The test sample included a Air Conditioners’’ (CSA C370–2013) is (ANSI/ASHRAE Standard 16–1983), total of eight portable ACs (four single- harmonized with AHAM PAC–1–2009, and with certain modifications to allow duct, two dual-duct, and two spot thus also incorporates testing provisions from coolers), covering a range of rated ANSI/ASHRAE Standard 37–2009. testing of portable ACs. The room calorimeter approach allowed DOE to cooling capacities (8,000–13,500 Btu/h) and EERs (7.0–11.2 Btu per watt-hour 7 ANSI/ASHRAE Standard 37 was updated in determine the cooling capacity of a 2009. DOE reviewed the 2005 and 2009 versions portable AC that accounts for any air (Btu/Wh)). Following publication of the and concluded there would be no measurable infiltration effects and heat transfer to May 2014 NODA, DOE performed difference in portable air conditioner results the conditioned space through gaps in additional testing on a larger set of test obtained from each. Therefore, DOE utilized ANSI/ units. This second test sample included ASHRAE Standard 37–2009 when testing according the product case and seams in the duct to AHAM PAC–1–2009. connections, along with an associated a total of eighteen portable ACs; thirteen

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single-duct and 5 dual-duct 8 units, California, however, manufacturers database. However, due to the difference expanding the range of rated cooling must report cooling capacity and EER in testing temperature, DOE expected capacities (5,000–14,000 Btu/h) and the according to ANSI/ASHRAE Standard that these values would differ from the maximum rated EER to 12.1 Btu/Wh. 128–2001. DOE notes that the cooling cooling capacities and EERs that would DOE did not include any spot coolers in capacities and EERs obtained from using be obtained using any of the three the second test sample because it is not ANSI/ASHRAE Standard 128–2001 are current industry test methods. For proposing testing provisions for them at higher than those obtained using the additional products not listed in the this time for reasons discussed in current ANSI/ASHRAE Standard 128– CEC product database, DOE utilized section IIII.A of this NOPR. 2011, primarily due to higher information from manufacturer Because DOE does not currently temperature evaporator inlet air in the literature to inform its selection. regulate portable ACs, manufacturers 2001 version of the test procedure.9 The 24 test units 10 (comprising the may advertise or market their products Due to the consistent method of samples from the May 2014 NODA using any available test procedure. For reporting performance required by the testing and testing for this proposal) and those models that are included in the CEC, DOE selected units for its test their key features are presented in Table California Energy Commission (CEC) sample largely from cooling capacities III.1, with cooling capacity expressed in product database and that are sold in and EERs listed in the CEC product Btu/h and EER expressed in Btu/Wh.

TABLE III.1—PORTABLE AC TEST SAMPLE

Rated cooling Test unit Duct type capacity Rated EER (Btu/h) (Btu/Wh)

SD1 1 ...... Single ...... 8,000 7.0 SD2 1 ...... Single ...... 9,500 9.6 SD3 1 ...... Single ...... 12,000 8.7 SD4 1 ...... Single ...... 13,000 9.7 SD5 ...... Single ...... 8,000 10.2 SD6 ...... Single ...... 14,000 8.9 SD7 ...... Single ...... 12,000 8.1 SD8 ...... Single ...... 9,000 9.2 SD9 ...... Single ...... 9,000 10.3 SD10 ...... Single ...... 10,000 9.5 SD11 ...... Single ...... 12,000 12.6 SD12 ...... Single ...... 10,000 8.8 SD13 ...... Single ...... 12,500 3 N/A SD14 ...... Single ...... 12,000 10.0 SD15 ...... Single ...... 5,000 8.6 SD16 ...... Single ...... 11,000 9.2 SD17 ...... Single ...... 12,000 3 N/A DD1 1 ...... Dual ...... 9,500 9.4 DD2 1 ...... Dual ...... 13,000 8.9 DD3 ...... Dual ...... 11,600 8.8 DD4 2 ...... Dual ...... 14,000 3 N/A DD5 ...... Dual ...... 9,000 9.2 DD6 ...... Dual ...... 14,000 9.5 DD7 ...... Dual ...... 13,500 9.5 1 These units were tested and discussed in the May 2014 NODA. This table does not include the two spot coolers that were tested in support of the May 2014 NODA. 2 This test unit shipped with the capabilities of operating in both single-duct and dual-duct configuration. Therefore, it was tested according to both configurations. 3 No rated value was published in the CEC database or in manufacturer documentation.

Baseline Testing according to modified or alternate test ducted configuration, the portable AC DOE first performed testing in approaches to determine an optimal and any associated ducting is located accordance with AHAM PAC–1–2009 11 approach. entirely within a chamber held at to determine baseline performance AHAM PAC–1–2009 requires two- ‘‘indoor’’ standard rating conditions at ° according to industry standards. This chamber air enthalpy testing for single- the evaporator inlet of 80 F dry-bulb ° baseline performance was then duct and dual-duct units, and a single- temperature and 67 F wet-bulb compared to performance measured chamber setup for spot coolers. For each temperature, which correspond to 51-

8 One of the dual-duct units was shipped with a bulb temperature and 75.2 °F wet-bulb temperature time, the results for those units are not considered conversion kit to enable testing in single-duct for the condenser inlet side of dual-duct portable further in this analysis. configuration. DOE performed all tests on this ACs and both the evaporator and condenser inlets 11 DOE’s testing and analysis was completed prior ‘‘convertible’’ unit in both single-duct and dual- of spot coolers. ANSI/ASHRAE Standard 128–2001 to the publication of AHAM PAC–1–2014. Because, duct configurations. specifies 95 °F dry-bulb temperature and 83 °F wet- as discussed earlier, DOE concludes that the 9 ANSI/ASHRAE Standard 128–2011 specifies bulb temperature for the standard rating conditions differences between the 2009 and 2014 versions of 80.6 degrees °F dry-bulb temperature and 66.2 °F for both the evaporator and condenser inlets of all wet-bulb temperature for the standard rating the test standard would not affect testing results conditions for the evaporator inlet of dual-duct portable ACs, including spot coolers. substantively, DOE proposes a test procedure in this portable ACs and both the evaporator and 10 DOE also tested two spot coolers for the May rule that would referenece certain provisions of the condenser inlets of single-duct units. It also 2014 NODA. However, because DOE is not current versions of the standard (AHAM PAC–1– specifies standard rating conditions of 95 °F dry- proposing testing provisions for these units at this 2014).

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percent relative humidity. For the The test apparatus (i.e., ducts, air means of fan power measurement, DOE condenser-side exhaust on single-duct flow-measurement nozzle, and selected an alternate calculation that it and dual-duct units, the manufacturer- additional instrumentation) were concluded would provide a more supplied or manufacturer-specified adjusted according to Section 8.6, accurate measure of overall heat transfer flexible ducting connects the unit under ‘‘Additional Requirements for the to the conditioned space. DOE estimated test to a separate test chamber Outdoor Air Enthalpy Method,’’ of this heat transferred to the conditioned maintained at ‘‘outdoor’’ standard rating ANSI/ASHRAE Standard 37–2009, space by monitoring the temperature conditions. The outdoor conditions which ensures that air flow rate and differential between the case surfaces specify 95 °F dry-bulb temperature and static pressure in the condenser exhaust and the indoor room, with 75 °F wet-bulb temperature (40-percent air stream, and condenser inlet air measurements and calculations similar relative humidity) at the condenser inlet stream for dual-duct units, are to those used for the ducts. This for dual-duct units. The outdoor representative of actual installations. estimate was made by placing four conditions for single-duct units, The test room conditioning apparatus thermocouples on each surface of the however, are not explicitly specified. and the units under test were then case and measuring the surface area to AHAM PAC–1–2009 only requires that operated until steady-state performance determine the total heat transfer through the condenser inlet conditions, which was achieved according to the specified the case. This approach directly would be set by air intake from the test tolerances in Section 8.7, ‘‘Test estimates the heating contribution of all indoor side chamber, be maintained at Procedure for Cooling Capacity Tests,’’ internal components within the case to 80 °F dry-bulb temperature and 67 °F of ANSI/ASHRAE Standard 37–2009. the cooling capacity, while making no wet-bulb temperature. Because the Airflow rate, dry-bulb temperature, and assumption regarding whether the heat single-duct condenser air is discharged water vapor content were recorded to from individual components is to the outdoor side with no intake air evaluate cooling capacity at equal transferred to the cooling or heat from that location, DOE does not believe intervals that spanned 5 minutes or less rejection side. that the results obtained using AHAM until readings over one-half hour were Based on the provisions discussed PAC–1–2009 would be measurably within the same tolerances, as required above, DOE used the following equation affected by the conditions in the by that section. when calculating the cooling capacity outdoor side chamber. Nonetheless, for These collected data were then used and EER for portable ACs according to consistency with the testing of dual- to calculate total, sensible, and latent AHAM PAC–1–2009: indoor cooling capacity based on the duct units, DOE chose to maintain the Cooling Capacity = Qindoor ¥ Qduct ¥ equations in Section 7.3.3, ‘‘Cooling outdoor side conditions, measured near Qcase Calculations,’’ of ANSI/ASHRAE to the condenser exhaust but not close Standard 37–2009. This section Where: enough to be affected by that airflow, at provides calculations to determine Qindoor is the evaporator air enthalpy cooling 95 °F dry-bulb temperature and 75 °F indoor cooling capacity based on both capacity, in Btu/h, as calculated wet-bulb temperature. the indoor and outdoor air enthalpy according to Section 7.3.3.1 of ANSI/ Section 6.1 of AHAM PAC–1–2009, methods. As described in Section ASHRAE 37–2009. ‘‘Method of Test,’’ instructs that the 7.3.3.3 of ANSI/ASHRAE Standard 37– Qduct is the heat transferred from the condenser exhaust duct (and condenser details of testing are as specified in 2009, the indoor air enthalpy cooling ANSI/ASHRAE Standard 37–2005, but inlet duct for dual-duct units) to the capacity calculation was adjusted for conditioned space, in Btu/h, as does not identify particular provisions heat transferred from the surface of the calculated according to Section 7.3.3.3 of to be used other than noting that duct(s) to the conditioned space. DOE ANSI/ASHRAE 37–2009. references in Section 8.5.1 of ANSI/ estimated a convective heat transfer Qcase is the heat transferred from the portable ASHRAE Standard 37–2005 refer to the coefficient of 4 Btu/h per square foot per AC case to the conditioned space, in Btu/ indoor side (the cooling, or evaporator °F, based on a midpoint of values for h, also calculated using the methodology side) and the outdoor side (the heat forced convection and free convection in 7.3.3.3 of ANSI/ASHRAE 37–2009, rejection, or condenser, side) of the as recommended by the test laboratory but using temperature measurements portable AC under test. DOE determined for this specific test and setup. Four located on the case surfaces rather than the ducts. that additional relevant sections to thermocouples were placed in a grid on incorporate would include those the surface of the condenser duct(s). The From the calculated evaporator air referring to test setup, test conduct, heat transfer was determined by enthalpy cooling capacity, DOE cooling capacity and power input multiplying the estimated heat transfer determined the associated EER determination, data recording, and test coefficient by the surface area of each consistent with the definitions in result reporting. The following component and by the average Sections 3.8 and 3.9 and ratings paragraphs describe the equivalent temperature difference between the duct requirements in Sections 5.3 and 5.4 of clauses from ANSI/ASHRAE Standard surface and test chamber air. AHAM PAC–1–2009. Table III.2 shows 37–2009 that DOE decided were Although AHAM PAC–1–2009 the results of the baseline testing for all appropriate for conducting its baseline specifies in Section 5.1 that the test units according to AHAM PAC–1– tests for both the May 2014 NODA and evaporator circulating fan heat shall be 2009, including results from testing for this proposal. included in the total cooling capacity by the May 2014 NODA and this proposal.

TABLE III.2—BASELINE TEST RESULTS

Cooling capacity Test unit Duct type (Btu/h) EER (Btu/Wh)

SD1 ...... Single ...... 5,850 6.8 SD2 ...... Single ...... 6,600 7.4 SD3 ...... Single ...... 10,950 7.5 SD4 ...... Single ...... 9,500 6.6 SD5 ...... Single ...... 5,600 8.3

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TABLE III.2—BASELINE TEST RESULTS—Continued

Cooling capacity Test unit Duct type (Btu/h) EER (Btu/Wh)

SD6 ...... Single ...... 10,250 8.0 SD7 ...... Single ...... 8,550 6.4 SD8 ...... Single ...... 6,750 5.9 SD9 ...... Single ...... 6,700 6.9 SD10 ...... Single ...... 8,100 8.1 SD11 ...... Single ...... 5,700 5.7 SD12 ...... Single ...... 8,050 7.3 SD13 ...... Single ...... 10,350 8.6 SD14 ...... Single ...... 9,250 8.1 SD15 ...... Single ...... 4,250 8.2 SD16 ...... Single ...... 8,200 7.3 SD17 ...... Single ...... 5,800 6.8 SD18 1 ...... Single ...... 7,200 5.4 DD1 ...... Dual ...... 8,600 7.4 DD2 ...... Dual ...... 7,200 5.5 DD3 ...... Dual ...... 5,950 4.8 DD4 1 ...... Dual ...... 5,900 4.1 DD5 ...... Dual ...... 5,250 5.3 DD6 ...... Dual ...... 7,450 6.0 DD7 ...... Dual ...... 7,300 5.7 1 This test unit shipped with the capabilities of operating in both single-duct and dual-duct configuration. Therefore, it was tested according to both configurations.

Calorimeter Method Testing was introduced by means of a pressure- recorded as the portable AC’s cooling equalizing device to the indoor capacity. This approach encompasses For the May 2014 NODA and this chamber, which was maintained at 80 all cooling and heating effects generated proposal, DOE further investigated heat °F dry-bulb and 67 °F wet-bulb (51- by the portable AC, including air transfer effects not currently captured in percent relative humidity). The infiltration effects that are not captured available portable AC test procedures, pressure-equalizing device maintained a or estimated by the air enthalpy through additional testing according to static pressure differential of less than approach. the room calorimeter approach 0.005 inches of water between the The test units were installed with the described in the May 2014 NODA. 79 chambers, as specified in Section 4.2.3 manufacturer-provided ducting, duct FR 26639, 26644 (May 9, 2014). This of ANSI/ASHRAE Standard 16–1983. approach, adapted from ANSI/ASHRAE DOE measured all energy consumed attachment collar, and mounting fixture. Standard 16–1983, used two test by the indoor chamber components to This test approach included the impacts chambers, one maintained at the indoor maintain the required ambient of heat transfer from the ducts and air conditions and the other adjusted to conditions while the portable AC under leaks in the duct connections and maintain the outdoor conditions as test operated continuously at its mounting fixture, in addition to heat specified below. The portable AC under maximum fan speed during a 1-hour leakage through the case and infiltration test was located within the indoor test stable period following a period of no air. Table III.3 shows the measured net room with the condenser duct(s) less than 1 hour with stabilized cooling capacities and EER values for all interfacing with the outdoor test room conditions. All heating and cooling units tested according to the calorimeter by means of the manufacturer-supplied contributions to the indoor chamber approach when the infiltration air dry- or manufacturer-recommended were summed, including: Chamber bulb temperature was 95 °F. Also mounting fixture, unless otherwise cooling, heat transferred through the included are the results for the rated noted. Infiltration air from the outdoor chamber wall, air-circulation fans, and baseline values. Figure III.1 also chamber at 95 °F dry-bulb and 75 °F dehumidifiers, humidifiers, and scales. presents the comparison of baseline and wet-bulb (40-percent relative humidity) The net indoor chamber cooling was calorimeter testing results.

TABLE III.3—RATED, BASELINE, AND CALORIMETER RESULTS

Cooling capacity (Btu/h) EER (Btu/Wh) Test unit Rated Baseline Calorimeter Rated Baseline Calorimeter

SD1 ...... 8,000 5,850 -450 7.0 6.8 -0.5 SD2 ...... 9,500 6,600 -650 9.6 7.4 -0.7 SD3 ...... 12,000 10,950 3,500 8.7 7.5 2.3 SD4 ...... 13,000 9,500 1,850 9.7 6.6 1.3 SD5 ...... 8,000 5,600 150 10.2 8.3 0.2 SD6 ...... 14,000 10,250 3,000 8.9 8.0 2.3 SD7 ...... 12,000 8,550 2,850 8.1 6.4 2.1 SD8 ...... 9,000 6,750 900 9.2 5.9 0.8 SD9 ...... 9,000 6,700 1,050 10.3 6.9 1.1 SD10 ...... 10,000 8,100 1,900 9.5 8.1 1.9 SD11 ...... 12,000 5,700 1,100 12.6 5.7 1.1 SD12 ...... 10,000 8,050 1,600 8.8 7.3 1.5

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TABLE III.3—RATED, BASELINE, AND CALORIMETER RESULTS—Continued

Cooling capacity (Btu/h) EER (Btu/Wh) Test unit Rated Baseline Calorimeter Rated Baseline Calorimeter

SD13 ...... 12,500 10,350 3,900 1 N/A 8.6 3.2 SD14 ...... 12,000 9,250 2,300 10.0 8.1 2.0 SD15 ...... 5,000 4,250 -2,450 8.6 8.2 -4.7 SD16 ...... 11,000 8,200 1,700 9.2 7.3 1.5 SD17 ...... 12,000 5,800 -650 1 N/A 6.8 -0.7 SD18 2 ...... 14,000 7,200 850 1 N/A 5.4 0.6 DD1 ...... 9,500 8,600 3,400 9.4 7.4 2.9 DD2 ...... 13,000 7,200 3,450 8.9 5.5 2.6 DD3 ...... 11,600 5,950 3,100 8.8 4.8 2.5 DD4 2 ...... 14,000 5,900 2,400 1 N/A 4.1 1.7 DD5 ...... 9,000 5,250 2,700 9.2 5.3 2.8 DD6 ...... 14,000 7,450 2,800 9.5 6.0 2.2 DD7 ...... 13,500 7,300 4,000 9.5 5.7 3.0 1 No rated value was published in the CEC database or on manufacturer documentation. 2 This test unit shipped with the capabilities of operating in both single-duct and dual-duct configuration. Therefore, it was tested according to both configurations.

Figure III.1 demonstrates that there is differences between the calorimeter and calorimeter approach suggest that the little correlation between EER and baseline results indicate that varying calorimeter approach most accurately cooling capacity for the baseline results infiltration air flow rates and heat losses represents portable AC performance by when the effects of air infiltration and would preclude a fixed translation accounting for the effects of air heat losses are not accounted for. When factor that could be applied to the infiltration and heat losses. such effects are included, the values of results of an air enthalpy measurement DOE considered comments received to account for the impact of these both EER and cooling capacity are in response to the initial baseline and effects. For these reasons, DOE reduced for a given test unit, but the calorimeter approach results presented determined that a DOE test procedure data evidence a clear relationship in the May 2014 NODA. Appliance between EER and cooling capacity. for portable ACs that includes a measure of infiltration air effects and heat losses Standards Awareness Project, Alliance Figure III.1 also demonstrates that the would provide consistency and clarity to Save Energy, American Council for an net cooling of portable ACs may be for representation of capacity and Energy-Efficient Economy, Consumers significantly lower than an air enthalpy energy use for these products. Specific Union, Natural Resources Defense measurement would suggest, due to the proposals for such a test procedure are Council, and Northwest Energy effects of infiltration air. Thus, DOE discussed in the following sections. Efficiency Alliance (hereinafter referred determined that the existing to as the ‘‘Joint Commenters’’) and the representations of capacity and EER, i. General Test Approach California IOUs observed that the which are based on air enthalpy As discussed in the previous section, current industry test procedures do not methods, are likely to be inconsistent the results from baseline testing capture the effects of infiltration air and and may not represent true portable AC according to AHAM PAC–1–2009 and duct heat loss and leakage, which would performance. Further, the varying investigative testing according to the lead to an overestimation of portable AC

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performance in real-world settings. In procedure, AHAM PAC–1–2014, is not be difficult, particularly at higher test addition, according to the Joint feasible due to the wide range of unit cooling capacities. In those cases, Commenters, the current industry test differences between these values. additional climate control components procedures do not provide an accurate (AHAM, No. 4 at p. 3) may be necessary, all of which must be relative ranking of portable AC units, De’ Longhi Appliances s.r.l. (De’ monitored to measure the heat transfer such that single-duct units appear to be Longhi) indicated that the air enthalpy to and from the indoor side test room. more efficient than dual-duct units. method and a calorimeter method with These additional components may Therefore, the Joint Commenters and the no air infiltration would ensure levels of include air circulating fans to ensure California IOUs urged DOE to adopt a reproducibility and repeatability conditions are uniform throughout the test procedure for portable ACs based on required for regulated products. Further, test room, humidifiers and the calorimeter approach, which would De’ Longhi stated that AHAM PAC–1– dehumidifiers to maintain the necessary align with the current test procedures 2009 and CSA C370–2013 are more relative humidity, and scales to measure for room ACs and would better reflect suitable for representing performance of the evaporated or condensed moisture real-world cooling capacities and EERs all the categories of portable ACs. (De’ during testing. Incorporating the heating of both single-duct and dual-duct Longhi, No. 3 at p. 5) and cooling effects from each of these configurations. The California IOUs AHAM and De’ Longhi also stated components proved to be complex, with commented that because portable ACs that the calorimeter approach is much potential uncertainties in the net can be used as a substitute for room more burdensome than the air enthalpy cooling capacity accumulating with ACs, they support the adoption of a test approach, requiring more expensive test each additional component. After procedure for portable ACs that would equipment and longer test times. AHAM considering the burdens and complexity allow consumers to make realistic believes that adoption of the calorimeter of the calorimeter approach, DOE comparisons of capacity and efficiency method for testing portable ACs would determined the air enthalpy approach between comparable product types. also require many laboratories to build provided in AHAM PAC–1–2009 and (California IOUs, No. 5 at pp. 2–3; Joint new test facilities because portable ACs AHAM PAC–1–2014 to be a less Commenters, No. 6 at pp. 1–2) are not currently tested using a burdensome approach. Although AHAM calorimeter approach, representing a PAC–1–2014 requires comprehensive AHAM supports the incorporation by significant burden. AHAM is also reference of AHAM PAC–1–2014, which instrumentation to monitor air stream concerned that there are few third-party enthalpies and specific measures to is harmonized with CSA C370–2013, in test laboratories that have the capability a DOE test procedure for portable ACs. ensure that this instrumentation has no to test using a calorimeter approach, impact on performance, it also provides AHAM indicated that AHAM PAC–1– which would impact choice and 2014 best measures representative a straight-forward calculation for availability for testing. Therefore, determining indoor-side cooling based performance for each portable AC AHAM urged DOE to adopt the test on a well-defined set of variables. Many configuration, in comparison to other approach of AHAM PAC–1–2014 to of the instruments required for the air approaches. AHAM commented that, produce representative test results that enthalpy approach, as specified in unlike other air conditioning products, are not unduly burdensome to conduct. ANSI/ASHRAE Standard 37, are used in portable ACs are intended to be easily (AHAM, No. 4 at p. 4) De’ Longhi stated testing central ACs and heat pumps, and relocated from one room to another and that the test burden associated with a ANSI/ASHRAE Standard 37 is also therefore the compressor and condenser test method should be proportionate to referenced in the DOE test procedure to are both inside the conditioned room, as the amount of energy consumed by a determine energy consumption of opposed to a room AC, where the certain product category. According to furnace fans. Thus, DOE believes that compressor and condenser are outside De’ Longhi, because portable ACs are a the room. Because a portable AC does small fraction of the air conditioning many commercial laboratories have the not operate in between the conditioned market with a unique usage pattern, capability to perform the air enthalpy and unconditioned space as room ACs being operated generally for short test, while few laboratories in the do, and instead is located solely in the period of time, the test burden should United States have the test chamber and conditioned space, AHAM believes that be minimized. De’ Longhi commented instrumentation required to test the calorimeter approach, intended for that the calorimeter method would according to the calorimeter approach. room ACs, may not be as representative result in an unreasonably large burden In addition, the air enthalpy approach, as the enthalpy approach for portable for this product category, and therefore, as specified in ANSI/ASHRAE Standard ACs. AHAM also commented that the air enthalpy method is preferable 37 with additional guidance in AHAM ANSI/ASHRAE 128–2011 instructs that due to the higher availability of testing PAC–1–2014, is specifically applicable it is not to be used for portable ACs with apparatus and lower cost of testing. (De’ for testing portable ACs, while the cooling capacities less than 65,000 Btu/ Longhi, No. 3 at p. 3) calorimeter approach requires h, and ANSI/AHAM 128–2001 does not The results presented in Table III.3 modifications from the room AC test address all portable AC configurations. and displayed in Figure III.1 procedure specified in ANSI/ASHRAE AHAM noted that Canada may demonstrate that the calorimeter 16 to accommodate portable ACs. promulgate portable AC standards using method provides a measure of net Therefore, if DOE determines that CSA C370–2013, and stated that North portable AC cooling capacity and EER portable ACs are covered products and American harmonization will provide across different product configurations establishes a test procedure for them, consistency and clarity for regulated and varying air infiltration rates that is DOE proposes that AHAM PAC–1–2014 parties and consumers in both comparable to the performance trends be the basis of the DOE test procedure countries. (AHAM, No. 4 at p. 2) AHAM obtained according to AHAM PAC–1– to ensure that multiple labs are capable acknowledged the differences between 2009. However, DOE found in its testing of performing the test, to minimize rated values and baseline test results that, although equipment setup is added test burden, and to align with obtained using AHAM PAC–1–2009, simpler for the calorimeter approach as current industry practices. However, as and stated that a conversion factor based on ANSI/ASHRAE Standard 16 described in the remaining subsections between rated values and results requirements, maintaining the of section III.1.a, DOE believes that obtained using its recommended test conditions in a calorimeter chamber can additional provisions and clarifications

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would be necessary to incorporate conditioned space, dual-duct units also flow rate being equal to the condenser AHAM PAC–1–2014 into a DOE draw a portion of their condenser air exhaust air flow rate. For dual-duct portable AC test procedure. from the conditioned space. In its units, the condenser exhaust duct flow testing, DOE estimated the infiltration ii. Infiltration Air Effects and Cooling rate may be higher than the inlet duct air flow rate as equal to the condenser Capacity flow rate. This is due to some intake air exhaust flow rate to the outdoor being drawn from the indoor chamber Infiltration from outside the chamber minus any condenser intake via louvers or leakage through the case, conditioned space in which the portable flow rate from the outdoor chamber duct connections, or between the AC is located occurs due to the negative because it had determined that air evaporator and condenser sections. pressure induced as condenser air is leakage from the outdoor chamber to Table III.4 presents the estimated exhausted to the outdoor space. locations other than the indoor chamber infiltration air flow rates for the full test Although this effect is most pronounced was negligible. for single-duct units, which draw all of For a single-duct unit, the air balance sample. their condenser air from within the equation results in the infiltration air

TABLE III.4—INFILTRATION AIR FLOW RATE

Condenser Condenser Net infiltra- outlet air inlet air flow tion air flow Test unit flow rate rate rate (CFM) (CFM) * (CFM)

SD1 ...... 268.03 ...... 268.03 SD2 ...... 262.59 ...... 262.59 SD3 ...... 285.45 ...... 285.45 SD4 ...... 254.30 ...... 254.30 SD5 ...... 217.77 ...... 217.77 SD6 ...... 228.43 ...... 228.43 SD7 ...... 221.83 ...... 221.83 SD8 ...... 224.61 ...... 224.61 SD9 ...... 229.09 ...... 229.09 SD10 ...... 220.80 ...... 220.80 SD11 ...... 175.07 ...... 175.07 SD12 ...... 237.37 ...... 237.37 SD13 ...... 247.39 ...... 247.39 SD14 ...... 262.52 ...... 262.52 SD15 ...... 278.89 ...... 278.89 SD16 ...... 250.69 ...... 250.69 SD17 ...... 249.37 ...... 249.37 SD18 ...... 246.48 ...... 246.48

Average of Single-Duct ...... 242.26

DD1 ...... 271.85 170.79 101.06 DD2 ...... 214.83 128.05 86.78 DD3 ...... 234.87 146.29 88.58 DD4 ...... 251.67 126.60 125.07 DD5 ...... 207.85 113.15 94.71 DD6 ...... 272.43 76.61 195.82 DD7 ...... 244.47 107.49 136.99

Average of Dual-Duct ...... 118.43 * Condenser inlet air flow rate is only applicable for dual-duct units.

As discussed in the May 2014 NODA, infiltration air temperature would have The Joint Commenters added that DOE investigated various infiltration air a significant impact on cooling capacity although some or all of the infiltration temperatures. In its initial calorimeter and EER, DOE performed additional air may be drawn from a location other tests, DOE maintained the outdoor test testing over a range of dry-bulb than the outdoors directly, such as a chamber conditions at 95 °F dry-bulb temperatures for the infiltration air that basement, attic, garage, or a space that temperature and 75 °F wet-bulb spanned 78 °F to 95 °F, all at the 40- is conditioned by other equipment, all temperature, which would be percent relative humidity specified at infiltration air is ultimately coming from representative of outdoor air being the 95 °F condition. 79 FR 26639, 26646 the outdoors and adding heat to the drawn directly into the conditioned (May 9, 2014). home where the portable AC is space to replace any condenser inlet air In response to the May 2014 NODA, installed. (Joint Commenters, No. 6 at p. from that same conditioned space. the Joint Commenters and California 3) However, it is possible that some or all IOUs stated that the current industry AHAM stated that in the field, there of the replacement air is drawn from a standard outdoor air conditions (95 °F is a mixture of indoor and outdoor air, location other than the outdoors dry-bulb temperature and 75 °F wet- and infiltration air will be at different directly, such as a basement, attic, bulb temperature) are appropriate for temperature and humidity levels in garage, or a space that is conditioned by infiltration air. (Joint Commenters, No. 6 every home, due to varying home other equipment. Because varying at p. 3; California IOUs, No. 5 at p. 3) designs. Therefore, AHAM does not

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believe there is an ‘‘average’’ condition experience varying ambient conditions. that DOE could select to replicate in a The test procedure must thus consider test procedure condition and would not the most representative operation in support an approach that utilizes selecting appropriate specifications for existing test procedures with numerical those conditions. Recognizing that in adjustments for infiltration air. (AHAM, some cases the infiltration air enters the No. 4 at p. 5) De’ Longhi concurred, conditioned space directly from stating that the effect of air infiltration outdoors, and that any air infiltrating Where: would be complex to standardize. De’ from other conditioned spaces likely Longhi commented that air infiltration m˙ sd is the dry air mass flow rate of infiltration also originated from outdoors before flow pathways are determined by the air for a single-duct unit, in pounds per being conditioned by other cooling minute (lb/m). path of minimum air flow resistance, ° equipment, DOE concludes that 95 F m˙ is the dry air mass flow rate of and therefore it is not possible to ° dd determine the amount of infiltration air dry-bulb temperature and 75 F wet- infiltration air for a dual-duct unit, in lb/ that originates from adjacent indoor bulb temperature is most representative m. rooms versus from outdoors. De’ Longhi for infiltration air conditions, in Vco is the volumetric flow rate of the believes that in most situations, accordance with the outdoor conditions condenser outlet air, in cubic feet per unconditioned outdoor air is just a specified in AHAM PAC–1–2014, and minute (cfm). small portion of the total infiltration air. proposes to specify these conditions in Vci is the volumetric flow rate of the Accordingly, De’ Longhi stated that the the portable AC test procedure. Such condenser inlet air, in cfm. r standard outdoor air conditions of 95 °F conditions would also produce co is the density of the condenser inlet air, in pounds mass per cubic feet (lb /ft3). dry-bulb temperature and 75 °F wet- comparable results for single-duct and m rci is the density of the condenser inlet air, bulb temperature are not representative dual-duct configurations. in lb /ft3. of the infiltration air temperatures. De’ m DOE also developed methodology for wco is the humidity ratio of condenser outlet Longhi suggested that if DOE the May 2014 NODA that would adjust air, in pounds mass of water vapor per determines to include portable ACs as a the results obtained from an air pounds mass of dry air (lbw/lbda). covered product, the heat transfer enthalpy method to account for the total wci is the humidity ratio of condenser inlet effects of infiltration air should not be air, in lbw/lbda. taken into account in a DOE test heat added to the room by the procedure. (De’ Longhi, No. 3 at p. 4) infiltration air. The infiltration air mass The sensible heat contribution of the DOE agrees that, as for all covered flow rate of dry air would be calculated infiltration air would be calculated as products, real-world installations as: follows:

Where: DOE used the following equation for The total heat contribution of the Qs is the sensible heat added to the room by the latent heat contribution of the infiltration air is the sum of the sensible infiltration air, in Btu/h; infiltration air: and latent heat. ˙ m is the dry air mass flow rate of infiltration air for a single-duct or dual-dual duct Qinfiltration = Qs + Ql unit, in lb/m; Where: _ cp da is the specific heat of dry air, 0.24 Btu/ Q is the total infiltration air heat, in ° infiltration lbm- F. Where: Btu/h. _ cp wv is the specific heat of water vapor, Q is the latent heat added to the room by ° l Qs is the sensible heat added to the room by 0.444 Btu/lbm- F. infiltration air, in Btu/h. infiltration air, in Btu/h. wia is the humidity ratio of the infiltration air, m˙ is the mass flow rate of infiltration air for Q is the latent heat added to the room by 0.0141 lb /lb . l w da a single-duct or dual-dual duct unit, in infiltration air, in Btu/h. wei is the humidity ratio of the evaporator lb/m. inlet air, in lbw/lbda. wia is the humidity ratio of the infiltration air, Table III.5 displays the cooling 60 is the conversion factor from minutes to 0.0141 lbw/lbda. capacity as determined by the baseline hours. wei is the humidity ratio of the evaporator air enthalpy testing approach of AHAM Tei is the indoor chamber dry-bulb inlet air, in lb /lb . w da PAC–1–2009, and the modified air temperature measured at the evaporator Hfg is the latent heat of vaporization for water inlet, in °F. vapor, 1061 Btu/lbm. enthalpy approach that subtracts the Tia is the infiltration air dry-bulb 60 is the conversion factor from minutes to estimated infiltration air heat input from temperature, 95 °F. hours. the cooling capacity measurement.

TABLE III.5—MODIFIED AIR ENTHALPY PERFORMANCE

Cooling capacity (Btu/h) EERcm (Btu/Wh) Test unit Modified Modified Baseline AHAM Baseline AHAM

SD1 ...... 5,850 ¥900 6.8 ¥1.0 SD2 ...... 6,600 200 7.4 0.2 SD3 ...... 10,950 4,050 7.5 2.8

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TABLE III.5—MODIFIED AIR ENTHALPY PERFORMANCE—Continued

Cooling capacity (Btu/h) EERcm (Btu/Wh) Test unit Modified Modified Baseline AHAM Baseline AHAM

SD4 ...... 9,500 4,000 6.6 2.8 SD5 ...... 5,600 400 8.3 0.6 SD6 ...... 10,250 4,750 8.0 3.7 SD7 ...... 8,550 3,500 6.4 2.6 SD8 ...... 6,750 1,500 5.9 1.3 SD9 ...... 6,700 1,150 6.9 1.2 SD10 ...... 8,100 2,750 8.1 2.7 SD11 ...... 5,700 1,350 5.7 1.4 SD12 ...... 8,050 2,250 7.3 2.0 SD13 ...... 10,350 4,450 8.6 3.7 SD14 ...... 9,250 2,800 8.1 2.4 SD15 ...... 4,250 ¥2,900 8.2 ¥5.6 SD16 ...... 8,200 2,200 7.3 2.0 SD17 ...... 5,800 ¥850 6.8 ¥1.0 SD18 ...... 7,200 1,300 5.4 1.0 DD1 ...... 8,600 6,550 7.4 5.6 DD2 ...... 7,200 5,500 5.5 4.2 DD3 ...... 5,950 4,150 4.8 3.4 DD4 ...... 5,900 3,100 4.1 2.2 DD5 ...... 5,250 3,200 5.3 3.2 DD6 ...... 7,450 2,800 6.0 2.2 DD7 ...... 7,300 4,200 5.7 3.3

The data above show the significant is based on a calorimeter approach, and may have been significant enough to reduction in cooling capacity and EERcm stated that the calorimeter approach is have resulted in the inconsistency caused by infiltration air heat input, also appropriate for portable ACs. (Joint between the calorimeter and modified which is greater for single-duct units Commenters, No. 6 at p. 3) air enthalpy approaches. The modified than for dual-duct units. For three of the DOE recognizes that the modified air air enthalpy approach accounts for the single-duct units, the impacts of enthalpy approach and calorimeter major heating and cooling effects of the infiltration air were so great that they approach both greatly reduce the portable AC with direct measurements produced net heating in the conditioned cooling capacity and EERcm when of the product air streams and space, as indicated by the negative compared with the results from AHAM temperature measurements of the case cooling capacity values. PAC–1–2014 and other current and ducts. Therefore, DOE is confident In response to this approach, which industry-accepted test procedures that in the accuracy of the results from this was presented in the May 2014 NODA, do not address infiltration air. Based on test approach. the Joint Commenters stated that this the data presented above and comments Based on the significant heat input modified air enthalpy testing approach received from interested parties and from infiltration air seen from testing, is not a suitable alternative to the manufacturer interviews, DOE believes DOE determined that applying such a proposed calorimeter approach. that any portable AC test procedure numerical adjustment for infiltration air According to the Joint Commenters, the must include the heat transfer effects of to the results of testing with AHAM alternate testing approach would infiltration air, in addition to the effects PAC–1–2014 would accurately reflect provide a significant improvement over of duct and case heat transfer, discussed portable AC performance. Therefore, the current industry test procedures by later in this NOPR. DOE also recognizes DOE proposes the adjusted cooling addressing the impact of infiltration air that the results produced by the capacity be determined as follows: with a numerical adjustment, but the calorimeter and modified air enthalpy Adjusted Cooling Capacity = alternate testing approach fails to approaches do not align. However, as Capacitycm¥Qinfiltration¥Qmisc capture additional impacts on portable discussed earlier in this section, DOE AC performance such as leakage found it difficult to maintain the test Where: through gaps in the ducts and duct chamber conditions for the calorimeter Capacitycm is the cooling capacity as connections and heat transfer through approach, particularly for higher- determined in accordance with AHAM the ducts. The Joint Commenters capacity portable ACs. Due to PAC–1–2014. expressed concern that DOE found no significant infiltration of air at Qinfiltration is the sum of sensible (Qs) and latent (Ql) heat transfer from infiltration consistent difference between the conditions substantially different than air, as calculated above. calorimeter approach and the alternate the required indoor-side test chamber Qmisc is the impact of other heat transfer test approach, and therefore believe the conditions, additional air conditioning effects, discussed in the following alternate test approach would not equipment is required to maintain the sections. necessarily provide a good indication of indoor-side test chamber conditions, all iii. Test Conditions real-world portable AC performance. of which must be accounted for in Although the alternate testing approach determining the net heating or cooling AHAM PAC–1–2014 requires two- may represent a lower testing burden effect in the test chamber. DOE believes chamber air enthalpy testing in which compared to the calorimeter approach, the cumulative uncertainty related to the ‘‘indoor’’ standard rating conditions the Joint Commenters reminded DOE incorporating the heating and cooling are maintained at the evaporator inlet of that the current room AC test procedure effects from each of these components 80.6 °F dry-bulb temperature and 66.2

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°F wet-bulb temperature, which air conditioner test procedure (80 °F Table III.6 below, based on those test correspond to approximately 46-percent dry-bulb temperature and 67 °F wet- conditions specified in Table 3, relative humidity. For single-duct units, bulb temperature on the indoor side, ‘‘Standard Rating Conditions,’’ of the condenser inlet conditions are the and 95 °F dry-bulb temperature and 75 AHAM PAC–1–2014. The test same as the evaporator inlet. For dual- °F wet-bulb temperature on the outdoor configurations in duct units, the outdoor conditions, as side), test results obtained for portable Table III.6 refer to the test monitored at the interface between the ACs under the proposed test procedure condenser inlet duct and outdoor test would be comparable to those for room configurations referenced in Table 2 of room, must be maintained at 95 °F dry- ACs, which would allow consumers to AHAM PAC–1–2014, with Test bulb temperature and 75.2 °F wet-bulb directly compare these product types. Configuration 3 applicable to dual-duct temperature (40-percent relative Therefore, DOE proposes to utilize the portable ACs and Test Configuration 5 humidity). Because these conditions are following ambient conditions presented applicable to single-duct portable ACs. close to those required by the DOE room in

TABLE III.6—STANDARD RATING CONDITIONS—COOLING MODE

Evaporator inlet air, °F (°C) Condenser inlet air, °F (°C) Test configuration Dry bulb Wet bulb Dry bulb Wet bulb

3 ...... 80.6 (27) 66.2 (19) 95.0 (35) 75.2 (24) 5 ...... 80.6 (27) 66.2 (19) 80.6 (27) 66.2 (19)

For single-duct units, AHAM PAC–1– approach in testing, to first maintain the in relation to the outdoor chamber, 2014 specifies identical evaporator and evaporator inlet test conditions and then including distance, duct length, duct condenser inlet conditions, with the ensure that condenser inlet conditions insulation, and duct configuration (e.g., same allowable tolerances on the dry- satisfy the tolerance requirements. inclusion of bends). (California IOUs, bulb and wet-bulb temperatures. As discussed in the May 2014 NODA, No. 5 at p. 3) Section 7.3.7 and Figure Depending upon the airflow and unit portable AC manufacturers typically 2 of AHAM PAC–1–2014 address the configuration, the evaporator and provide a single mounting fixture for required ducting arrangement and condenser inlet may be directly adjacent dual-duct units that houses both the specifies the duct height, duct length, to one another or on opposite faces of condenser inlet and exhaust ducts to and spacing of the test unit in relation the test unit case. Thus, although both minimize installation time and optimize to the chamber walls. Additionally, duct evaporator and condenser inlets intake the use of window space. However, this insulation and unit placement are air from the same conditioned space, it approach typically positions the further discussed in this section and is possible that the two inlet air condenser inlet and exhaust directly section III.B.1.a.viii of this NOPR. conditions may not simultaneously adjacent to one another. During DOE also received comments from meet the requirements in AHAM PAC– operation when installed in the field, AHAM and De’ Longhi expressing 1–2014 due to slight non-homogeneity short-circuiting may occur between concern about including in a portable in the test chamber, even if one or the some of the condenser exhaust air and AC test procedure the effects of heat loss other inlet is within tolerance. the outdoor ambient air. DOE through minimally insulated ducts. Table 2b in Section 8.7 of ANSI/ investigated the effects of potential They commented that there is no ASHRAE Standard 37–2009, referenced condenser inlet and exhaust mixing and standardized method to account for by AHAM PAC–1–2014, specifies that results indicated that there was minimal such heat loss and that incorporating both condenser inlet and evaporator mixing between the condenser exhaust duct heat loss and leakage would impact inlet dry-bulb temperatures must be and inlet air flows. 79 FR 26639, 26648 test reproducibility and repeatability. maintained within a range of 2.0 °F and (May 9, 2014). AHAM stated that the approach DOE an average within 0.5 °F of the nominal In response to the May 2014 NODA, used in its investigative testing for values. However, test chambers may De’ Longhi commented that the estimating duct heat transfer is overly experience varying levels of condenser inlet and exhaust mixing complicated and unnecessary. homogeneity in test conditions and test only has a minimal influence as Accordingly, AHAM and De’ Longhi laboratories may differently prioritize reported by DOE results. (De’ Longhi, suggested that the DOE test procedure maintaining conditions at either the No. 3 at p. 4) AHAM agreed with DOE’s should not address these factors. condenser inlet or evaporator inlet. conclusion that condenser exhaust air (AHAM, No. 4 at pp. 3–4; De’ Longhi, Therefore, to ensure repeatability and and inlet air mixing in dual-duct units No. 3 at p. 3) reproducibility, DOE proposes in this need not be addressed or measured in As discussed in the May 2014 NODA, NOPR to specify a more stringent a portable AC test procedure. (AHAM, DOE investigated cooling performance tolerance for the evaporator inlet dry- No. 4 at p. 5) impacts of uninsulated ducts and any bulb that is consistent with the air leakage at the duct connections or iv. Duct Heat Transfer and Leakage evaporator inlet wet-bulb temperature mounting fixtures. To quantify the heat tolerance, within a range of 1.0 °F with In response to the May 2014 NODA, transfer to the conditioned space an average difference of 0.3 °F. The the California IOUs commented that it is through the minimally insulated condenser inlet dry-bulb temperature unclear if there is a standard test set-up condenser duct(s) and from any leaks at would be maintained within the test in regards to length of ducting and the duct connections or mounting tolerance as specified in Table 2b of distance from the portable AC to the fixture, DOE repeated the calorimeter ANSI/ASHRAE Standard 37–2009. This outdoor chamber. They suggested that testing with insulation surrounding the tolerance modification will ensure that DOE should address alignment of the condenser ducts to benchmark results all test laboratories employ the same portable AC and the associated ducting, without this heat transfer for the initial

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four single-duct and two dual-duct test Section 7.3.3.3 of ANSI/ASHRAE Heat transferred from the surface of units. DOE used insulation having a Standard 37, as referenced by AHAM the duct(s) to the indoor conditioned nominal R value of 6 (in units of hours- PAC–1–2014, specifies that the indoor space while operating in cooling mode °F-square feet per Btu), with seams cooling capacity shall be adjusted for shall be calculated as follows: around the duct, adapter, and mounting heat transferred from the surface of Q _ = Sj{h × Aduct_j × (Tduct_j ¥ Tei)} bracket sealed with tape to minimize air ducts to the conditioned space. DOE duct cm leakage. To determine duct losses and recognizes that additional guidance may Where: _ air leakage effects, DOE compared be necessary to determine such an Qduct cm is the total heat transferred from the results from these tests to the results adjustment, and for this reason proposes duct(s) to the indoor conditioned space from the initial calorimeter approach to account for heat transferred from the in cooling mode. tests with no insulation. DOE found that duct surface to the conditioned space in h is the convection coefficient, 4 Btu/h per a portable AC test procedure square foot per °F. uninsulated ducts and leaks in duct _ connections contribute anywhere from methodology. Aduct j is the surface area of duct ‘‘j’’, in DOE proposes that four equally square feet. 460 to 1,300 Btu/h, which correlate to _ spaced thermocouples be adhered to the Tduct j is the average surface temperature for percentages of uninsulated cooling side of the entire length of the duct ‘‘j’’, in °F. capacity that range from 18 to 199 condenser exhaust duct for single-duct j represents the condenser exhaust duct and, percent. 79 FR 26639, 26645 (May 9, units and to each of the condenser inlet for dual-duct units, condenser inlet duct. 2014). Therefore, DOE determined that and exhaust ducts for dual-duct units. Tei is the average evaporator inlet dry-bulb ° duct heat losses and air leakage are non- To ensure accurate heat transfer temperature, in F. negligible effects, and that duct estimates, DOE proposes that v. Case Heat Transfer configurations during the DOE test must temperature measurements would be be representative of actual usage. In required to have an accuracy to within As discussed previously in section addition, DOE notes that Section 7.3.3 ±0.5 °F. DOE proposes to average the III.B.1.a, DOE baseline testing of AHAM PAC–1–2014 states that ‘‘the four surface temperatures measurements incorporated a case heat transfer portable AC shall be tested with clean to obtain Tduct for each duct. DOE calculation, similar to that required to filters in place as supplied by the further proposes that a convection heat determine the heat transfer from the manufacturer. Other equipment transfer coefficient of 4 Btu/h per square duct to the conditioned space in ANSI/ recommended as part of the air foot per °F be used, based on an average AHAM Standard 37–2009, in lieu of the conditioner shall be in place, as well.’’ of values for forced convection and free evaporator circulating fan heat DOE proposes, therefore, that all convection. The surface area of each measurement specified in AHAM PAC– ducting components (e.g., duct, duct duct would be calculated as follows: 1–2014. To determine case heat transfer, connections, and mounting bracket) as Aduct_j = p × dj × Lj DOE placed four thermocouples on each supplied by the manufacturer would be Where: face of the case to calculate average used for determining performance and surface temperatures throughout the d is the outer duct diameter of duct ‘‘j’’. would be installed in accordance with j cooling mode test period. Table III.7 Lj is the extended length of duct ‘‘j’’ while the manufacturer instructions. No under test. shows the average surface temperatures additional sealing or insulation would j represents the condenser exhaust duct and, during the baseline testing for all single- be applied. for dual-duct units, condenser inlet duct. duct and dual-duct test units.

TABLE III.7—COOLING MODE CASE SURFACE TEMPERATURES

Average surface temperature during AHAM test (°F) Test unit Average Top Front Right Back Left Bottom

SD1 ...... 79.4 81.6 81.5 81.3 81.9 84.2 81.7 SD2 ...... 79.6 79.0 80.9 89.2 91.5 88.5 84.8 SD3 ...... 76.6 82.3 80.0 82.3 84.9 83.0 81.5 SD4 ...... 73.0 85.3 92.2 82.9 82.7 84.8 83.5 SD5 ...... 77.9 81.3 82.3 83.6 82.4 89.8 82.9 SD6 ...... 72.8 80.5 78.5 81.7 81.9 86.0 80.2 SD7 ...... 73.2 82.8 82.7 81.4 78.2 87.7 81.0 SD8 ...... 88.6 79.7 84.2 91.2 87.8 77.3 84.8 SD9 ...... 78.2 85.0 77.8 86.0 80.5 93.3 83.5 SD10 ...... 76.8 91.4 84.3 84.5 85.0 97.4 86.6 SD11 ...... 79.8 87.7 85.4 84.5 87.6 90.6 85.9 SD12 ...... 72.7 82.2 80.8 81.8 80.3 81.2 79.8 SD13 ...... 72.8 79.7 81.1 81.8 82.2 83.7 80.2 SD14 ...... 75.6 78.9 79.2 84.1 81.5 81.8 80.2 SD15 ...... 79.9 83.7 81.1 81.4 85.9 80.6 82.1 SD16 ...... 75.5 88.1 88.1 80.3 81.7 84.5 83.0 SD17 ...... 80.3 80.0 83.4 94.9 91.0 95.1 87.4 SD18 ...... 76.4 78.8 79.1 81.4 78.9 87.2 80.3 DD1 ...... 75.1 78.0 80.2 82.7 80.5 81.4 79.7 DD2 ...... 80.8 75.9 80.6 86.7 81.0 87.7 82.1 DD3 ...... 76.7 80.2 80.7 86.4 81.8 81.4 81.2 DD4 ...... 78.2 79.8 80.3 85.2 79.9 89.2 82.1 DD5 ...... 75.7 77.0 82.2 84.6 83.2 85.1 81.3 DD6 ...... 76.7 78.3 81.0 85.1 79.0 78.1 79.7 DD7 ...... 74.4 83.3 79.6 88.0 76.9 80.3 80.4

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TABLE III.7—COOLING MODE CASE SURFACE TEMPERATURES—Continued

Average surface temperature during AHAM test (°F) Test unit Average Top Front Right Back Left Bottom

Average ...... 77.1 81.6 81.9 84.5 82.7 85.6 ......

As shown in Table III.7, surface quadrant. If even spacing would result with this drain sealed with a temporary temperature varies significantly among in a thermocouple being placed on an plug, although a consumer-supplied different case surfaces of a given test air inlet or exhaust grille, the drain line may also be installed. unit during cooling mode, and that thermocouple would be placed adjacent Manufacturer setup instructions variation is a function of the particular to the inlet or exhaust grille, typically do not specify that a drain line test unit. For example, temperatures on maintaining the even spacing as closely be installed during normal operation, test unit SD1 ranged from a top surface as possible. To ensure accurate heat relying primarily instead on the auto- temperature of 79.4 °F to a bottom side transfer estimates, DOE proposes to evaporative condensate removal feature. temperature of 84.2 °F, a range of 4.8 °F, specify that temperature measurements In response to the May 2014 NODA, while test unit SD10 had a top surface be accurate to within ±0.5 °F. DOE the California IOUs confirmed DOE’s temperature of 76.8 °F and a bottom side further proposes to average the four research and indicated that there are temperature of 97.4 °F, a range of 20.7 surface temperatures measurements on different methods of handling ° F. Because each surface on a given test each side to obtain Tcase for that side. condensate. Units may include an unit has a unique surface area and The surface area of each case side, internal reservoir with a fill sensor to average surface temperature, DOE Acase, would be calculated as the interrupt operation until the reservoir is proposes that the heat transfer from the product of the two primary surface emptied, a heater to re-evaporate the case to the ambient indoor space be dimensions, as follows: water into the exhaust air stream, or calculated individually for each surface. Acase_k = D1_k × D 2_k slingers that pass the condensate over In response to the same methodology the condenser to re-evaporate proposed in the May 2014 NODA, Where: condensate and improve heat transfer. AHAM commented that this approach D1 and D2 are the two primary dimensions of The California IOUs recommended that for estimating case heat transfer is the case side ‘‘k’’ exposed to ambient air. DOE address the different means of k represents the case sides including, front, overly complicated and unnecessary. back, right, left, top, and bottom. condensate handling. (California IOUs, AHAM believes that the approach in No. 5 at p. 4) DOE agrees that a portable AHAM PAC–1–2014, which directly Heat transferred from all case sides to AC test procedure should recognize measures the evaporator circulating fan the indoor conditioned space would be various methods of condensate removal heat, is easier and simpler. AHAM also calculated according to the following: to ensure comparable results among _ { × _ × _ ¥ stated that DOE’s method would Qcase cm = Sk h Acase k (Tcase k units with different condensate removal } introduce unnecessary variation in test Tei) approaches. results. (AHAM, No. 4 at p. 3) Where: DOE’s investigative testing was DOE acknowledges that the proposed conducted with a drain line attached to Qcase_cm is the total heat transferred from all case heat transfer approach would case sides to the indoor conditioned simplify condensate draining if require additional instrumentation. space in cooling mode. necessary, but the line was elevated to However, DOE believes that the testing h is the convection coefficient, 4 Btu/h per simulate testing with the drain plug in burden imposed by the use of multiple square foot per °F. place. Nonetheless, DOE observed that thermocouples to measure surface k represents the case sides including: front, the auto-evaporation feature was back, right, left, top, and bottom. temperatures is likely outweighed by _ effective for all test units under testing the benefit of addressing the heat Acase k is the surface area of case side ‘‘k’’, conditions so that no unit cycled off due in square feet. transfer effects of all internal heating to a full condensate bucket. Therefore, Tcase_k is the average surface temperature of components. In contrast, AHAM PAC– case side ‘‘k’’, in °F. DOE proposes that the portable AC 1–2014 only considers the evaporator Tei is the average evaporator inlet air dry-bulb under test be set up in accordance with fan heat, which is just one of the temperature, in °F. manufacturer instructions. If an auto- components that generates heat evaporative feature is provided along internally. Further, the proposed surface vi. Condensate Collection with a condensate drain, and the drain temperature approach would provide a Many portable ACs include a feature setup is unspecified, the drain plug direct measure of the overall heat to re-evaporate the condensate and would remain in place as shipped and transfer of heat-contributing remove it from the indoor space through no means of condensate removal would components within the case to the the condenser exhaust air stream. This be installed for the duration of cooling room, without assuming the proportion feature is performed by slinging or mode testing. If the internal bucket fills of heat transferred to either the cooling directing condensate that collects and during testing, the test would be invalid or heat rejection side. drips off of the evaporator on to one or and halted, the drain plug would be Therefore, DOE proposes in this multiple condenser coil surfaces. All removed, means would be provided to NOPR that cooling mode testing include units in DOE’s test sample included this drain the condensate from the unit, and case surface heat transfer measured by feature. In the event that the condensate the test would be started from the means of four evenly spaced collection rate exceeds the removal rate beginning. thermocouples placed on each case of the auto-evaporation feature and the Section 7.1.2 of AHAM PAC–1–2014 surface. The thermocouples would be internal condensate collection bucket contains provisions for portable ACs positioned such that the case surface, fills, all of the units provide a drain that incorporate condensate pumps that when divided into quadrants, contains option to remove the collected cycle to dispose condensate collected by at least one thermocouple in each condensate. Portable ACs typically ship the unit. DOE found through market

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research and by investigating units in its throughout the cooling mode test flow rate, temperature, and humidity, test sample that units that include a period, during which the unit must such that a variable speed fan is condensate pump typically include an operate continuously, but does not required to adjust the external static auto-evaporative feature. However, the specify a particular cooling setpoint pressure to ensure it is representative of activation of the condensate pump may temperature. To ensure that the test unit normal operation. If the louvers were differ in different operating modes. For does not enter off-cycle mode, the test oscillating during the test period, the example, one unit in DOE’s sample operator must select a control setting external static pressure measured at the activated the condensate pump only in that corresponds to a temperature lower evaporator exhaust would vary heating mode, with condensate removed than 80.6 °F, particularly because no cyclically and thus the test would no solely via auto-evaporation in cooling portable ACs in DOE’s test sample longer be compliant with the required mode. DOE did not observe any units in included a ‘‘continuous on’’ setting. conditions. Also, oscillating louvers its test sample that depended upon only Because DOE acknowledges the may interfere with the temperature and a condensate pump for removing potential for a unit to operate differently humidity instrumentation and possibly condensate during cooling mode. when cooling controls are set to dislodge them, which could impact the Section 6.3.3 of AHAM PAC–1–2014 different target temperatures below 80.6 measured performance and the integrity states that ‘‘. . . equipment °F, DOE proposes during cooling mode of the test procedure. In addition, DOE recommended as part of the air testing that the fan be set at the lacks information on the percentage of conditioner shall be in place.’’ maximum speed if the fan speed is user time that this feature is selected among Therefore, DOE proposes that portable adjustable and the temperature controls those units equipped with oscillating AC cooling mode testing would be be set to the lowest available value. louvers. Therefore, to provide performed in accordance with Similarly, as discussed in section comparable testing results in cooling manufacturer installation and setup III.B.1.b.i, DOE proposes during heating mode for products with and without a instructions, unless otherwise specified mode testing that the fan be set at the louver oscillation feature, DOE proposes in the DOE test procedure. In addition, maximum speed if the fan speed is user that portable AC cooling mode testing where available and as instructed by the adjustable and the temperature controls be conducted with any louver manufacturer, DOE proposes that the be set to the highest available value. oscillation feature disabled. If the auto-evaporation feature would be These settings would likely best feature is included but there is no utilized for condensate removal during represent the settings that a consumer option to disable it, testing shall cooling mode testing. If no auto- would select to achieve the primary proceed with the louver oscillation evaporative feature is available, the function of the portable AC, which is to enabled, without altering the unit gravity drain would be used. If no auto- cool or heat the desired space as quickly construction or programming. DOE evaporative feature or gravity drain is as possible and then to maintain these requests feedback on the proposal to available, or if the manufacturer conditions. disable louver oscillation where specifies the use of an included available and to maximize louver A number of test units in DOE’s test condensate pump during cooling mode opening, either manually or by disabling operation, then DOE proposes that the sample included the option to oscillate an automatic feature. portable AC would be tested with the the evaporator exhaust louvers to help condensate pump enabled. For these circulate air throughout the conditioned viii. Test Unit Placement units, DOE also proposes to require the space. Although AHAM PAC–1–2014 Section 8.1.3 of ANSI/ASHRAE use of Section 7.1.2 of AHAM PAC–1– does not directly address louver Standard 37 states that the outdoor 2014 if the pump cycles on and off. oscillation, Section 7.3.1 of AHAM condition test room must be of sufficient PAC–1–2014 states that all adjustable volume and circulate air in a manner vii. Control Settings setting such as louvers, fan speed, and that does not change the normal air- Portable ACs typically incorporate special functions must be set for circulation patterns of the unit under electronic controls that allow selection maximum capacity. Accordingly, if test. Specifically, the dimensions of the of the fan speed during cooling or there is a setting that automatically room must be sufficient to ensure that heating mode. The highest fan speed opens and closes the louvers, this the distance from any room surface to will produce the most rapid rate of feature would be disabled for the any equipment surface where air is cooling or heating, while the lower fan entirety of the rating test period, and the discharged is not less than 6 feet and the speeds may be provided to reduce noise. louvers would be opened to allow distance to all other equipment surfaces Section 7.3.1 of AHAM PAC–1–2014 maximum capacity. If there is a manual must be no less than 3 feet. However, no states that all adjustable settings, setting to control louver direction and comparable requirements are specified including fan speed, shall be set to opening size, in accordance with section for the indoor test room. When tested achieve maximum capacity. Although 7.3.1 of AHAM PAC–1–2014, the according to AHAM PAC–1–2014 and the fan speed setting is clearly specified, louvers shall be fully open to provide ANSI/ASHRAE Standard 37, a portable it is not clear what setting should be maximum airflow and capacity, and be AC is set up entirely within the indoor selected for the cooling or heating positioned parallel to the air flow. condition test room with the evaporator setpoint. Many portable ACs have However, this provision does not exhaust connected to instrumentation controls that allow consumers to select address an oscillating louver function and ducted away from the test unit, and a target temperature, for example by that maintains constant and maximum the condenser exhaust ducted with setting the desired temperature or by louver exhaust area while redirecting instrumentation to the outdoor test adjusting a dial to a more or less cool the evaporator exhaust air flow. DOE room. In that case, the requirements in setting. When the cooling setpoint does note, though, that AHAM PAC–1– Section 8.1.3 of ASNI/ASHRAE temperature is lower than the ambient 2014 requires a constant external static Standard 37 are not applicable, as no temperature, or higher than the ambient pressure that is consistent with typical part of the case is within the outdoor temperature in heating mode, the operation. The static pressure is initially condition test room. Instead, the portable AC will operate continuously. affected by the test instrumentation that portable AC is placed in the indoor AHAM PAC–1–2014 requires that the is placed over the evaporator exhaust condition test room, where walls and test chamber be maintained at 80.6 °F grille to capture and measure the air other obstructions may impede air flow

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for the evaporator inlet for all DOE’s test sample, incorporate a heating proposes that the temperature setpoint configurations, and the condenser inlet function in addition to cooling and air- for heating mode be at the highest for single-duct units. Therefore, to circulation modes. During teardowns, available temperature setting to ensure ensure performance is as repeatable and DOE found that there are two primary continuous operation. representative as possible, DOE approaches to implement a heating concludes that the same distance function for portable ACs. The first, and ii. Ambient Test Conditions requirements included in Section 8.1.3 most common, is a reverse-cycle heat ANSI/ASHRAE Standard 37 specifies of ANSI/ASHARE Standard 37 would be pump, which requires a four-way the test setup, instrumentation, and test applicable to the indoor condition test reversing solenoid valve in the conduct, but does not specify the room when testing portable ACs. DOE refrigerant loop that reroutes the ambient test conditions for testing. For proposes that for all portable AC refrigerant flow and converts the cooling cooling mode, AHAM PAC–1–2014 configurations, there must be no less air conditioning system to a heat pump. provides the ambient test conditions for than 6 feet from the evaporator inlet to The second type of heating that DOE testing. To determine appropriate test any chamber wall surfaces, and for observed during teardowns was a single-duct units, there must be no less resistance heater installed adjacent to conditions for a heating mode test, DOE than 6 feet from the condenser inlet the evaporator and in line with the reviewed ANSI/Air-Conditioning, surface to any other wall surface. evaporator exhaust air stream. Heating, and Refrigeration Institute Additionally, there must be no less than In consideration of the comment (AHRI) 210/240—2008, ‘‘Performance 3 feet between the other surfaces of the received and DOE’s market and Rating of Unitary Air-Conditioning and portable AC with no air inlet or exhaust teardown observations, DOE conducted Air-Source Heat Pump Equipment’’ (other than the bottom of the unit) and additional research to determine (ANSI/AHRI 210/240), which provides any wall surfaces. whether it could incorporate test conditions for determining appropriate test methodology to performance of ACs and heat pumps. ix. Electrical Supply measure heating mode energy Table 4 of Section 6.1.4.2 of ANSI/AHRI Section 7.3.2 of AHAM PAC–1–2014 consumption in a DOE portable AC test 210/240 provides three test conditions does not require a specific test voltage, procedure. in heating mode for a heat pump with but rather states that the nameplate a single-speed compressor and a fixed- voltage shall be used. DOE notes that its i. General Test Approach speed indoor fan. The indoor air dehumidifier test procedure requires a ANSI/ASHRAE Standard 37, the basis temperatures are the same for all three test voltage of either 115 or 230 volts for DOE’s proposed air enthalpy cooling tests, 70 °F dry-bulb and 60 °F wet-bulb. (V), and these voltages would be mode test procedure, is intended for For the outdoor air inlet temperatures, comparable to those required for heat pump equipment in addition to air the high-temperature test, ‘‘H1,’’ portable ACs, which are similar conditioning equipment. Section 1.1 of requires 47 °F dry-bulb and 43 °F wet- consumer products. To maintain ANSI/ASHRAE Standard 37 states that bulb, while the frost accumulation test, repeatability and reproducibility for the purpose of the standard is, in ‘‘H2,’’ requires 35 °F dry-bulb and 33 °F portable AC testing, DOE proposes that addition to determining cooling wet-bulb, and the low-temperature test, for active mode testing, the input capacity of air conditioning equipment, ‘‘H3,’’ specifies 17 °F dry-bulb and 15 °F standard voltage would be maintained providing methods to determine cooling wet bulb. at 115 V ±1 percent. DOE also proposes and heating capacities of heat pump DOE believes that the test conditions that the electrical supply be set to the equipment. DOE reviewed ANSI/ for H1 are the most representative of nameplate listed rated frequency, ASHRAE Standard 37 and determined typical heating mode use for portable maintained within ±1 percent. that the same test chamber and instrumentation requirements and ACs, which are likely used as b. Heating Mode capacity calculations would apply to supplemental or low-capacity heaters In response to the May 2014 NODA, portable AC heating mode testing as for when a central heating system is not DOE received a comment from the the proposed cooling mode testing. necessary or operating. Therefore, DOE California IOUs suggesting that any Further, as with the cooling mode test, proposes the following ambient air test future DOE test procedure for portable the unit configurations included in conditions as shown in Table III.8 ACs include a measure of heating mode AHAM PAC–1–2014 would be below, with the test configurations energy consumption. They stated that applicable to a heating mode test. referring to the test configurations about 25 percent of models for sale at Therefore, DOE proposes that the test referenced in Table 2 of AHAM PAC–1– a major home improvement retailer unit be set up for a heating mode energy 2014. Test Configuration 3 is applicable include a heating function, and all of consumption test in accordance with to dual-duct portable ACs, and Test these models were marketed as a the unit and duct setup requirements of Configuration 5 is applicable to single- portable AC. The California IOUs AHAM PAC–1–2014, including those in duct portable ACs. DOE notes that the suggested that DOE should ensure that Table 2 and Figure 1 of that standard. terms ‘‘Evaporator’’ and ‘‘Condenser’’ the scope of a proposed test procedure DOE also proposes to specify the same refer to the heat exchanger configuration that covers any products marketed as a test requirements as for cooling mode, in cooling mode, not the reverse-cycle portable AC also include testing the including infiltration air, duct heat heating mode. This terminology product’s heating performance. transfer, case heat transfer, control maintains consistency with the cooling (California IOUs, No. 5 at pp. 3–4) settings, and test unit placement, mode test conditions specification and DOE is aware that certain portable discussed in the subsections of section would still be applicable for portable ACs, including some of the units in III.B.1.a of this NOPR. However, DOE ACs that incorporate a resistance heater.

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TABLE III.8—STANDARD RATING CONDITIONS—HEATING MODE

Evaporator inlet air, °F (°C) Condenser inlet air, °F (°C) Test configuration Dry LBulb Wet LBulb Dry bulb Wet bulb

3 ...... 70.0 (21.1) 60.0 (15.6) 47.0 (8.33) 43.0 (6.11) 5 ...... 70.0 (21.1) 60.0 (15.6) 70.0 (21.1) 60.0 (15.6)

iii. Adjusted Heating Capacity periods of blower operation and standby mode in which the fan operates Calculation mode after reaching the setpoint. The continuously. For fan-only mode in Under the proposed heating mode fan-only operation may be intended to which the fan operates cyclically, the testing conditions, DOE expects that the draw air over the internal thermostat to average fan-only mode power would be calculations provided by AHAM PAC– monitor ambient conditions, or may measured over a period of 3 or more full 1–2014 would result in negative cooling occur immediately following a period of cycles for no less than 1 hour. DOE also (i.e., heating) capacity values because cooling mode to defrost and dry the clarified that units with adjustable fan the outdoor side temperature is lower evaporator coil (or the condenser coil speed settings would be set to the than the indoor side temperature. when operating in reverse-cycle heating maximum fan speed during fan-only Therefore, DOE proposes to multiply the mode). The blower may operate mode testing, because the maximum resulting capacity by ¥1 to produce a continuously, or may cycle on and off speed is typically recommended to positive value that would represent the intermittently. In addition, some units consumers as the setting that produces amount of heating produced rather than allow the consumer to select operation the maximum moisture removal rate. Id. of the blower continuously for air cooling. Further, because heat transfer DOE subsequently published a circulation purposes, without activation from the ducts and the case to the room supplemental notice of proposed of the refrigeration system. rulemaking (SNOPR) on February 4, would decrease the net heating in the The existing industry portable AC test conditioned space, these negative 2015, that modified the proposal in the procedures do not presently contain dehumidifier test procedure NOPR heating values must be added to the provisions to measure energy use during heating capacity in the adjusted based on feedback from interested this fan-only operation. However, DOE parties and further research (hereinafter capacity calculation. For the infiltration recently proposed a method for air heat transfer, the lower temperature referred to as the ‘‘dehumidifier test determining fan-only mode energy use procedure SNOPR’’). 80 FR 5994. DOE of the infiltration air compared to the in DOE’s test procedure for evaporator inlet temperature results in a withdrew the fan-only mode definition dehumidifiers based on existing proposed in the dehumidifier test negative temperature differential in the methodologies for measuring power heat transfer calculation, which would procedure NOPR and instead modified consumption in standby mode and off the proposed ‘‘off-cycle mode’’ result in a negative value for the heat mode (hereinafter referred to as the contribution to the conditioned space. definition to encompass all operation ‘‘dehumidifier test procedure NOPR’’). when dehumidification mode has Thus, the infiltration air provides net 79 FR 29272 (May 21, 2014). In the cooling, and the resulting negative value cycled off after the humidity setpoint dehumidifier test procedure NOPR, DOE has been reached. DOE proposed to would also be added to the heating proposed measuring fan-only mode capacity to obtain the adjusted heating define off-cycle mode as a mode in average power by adjusting the setpoint which the dehumidifier: capacity (AHC) in the heating mode, to a relative humidity that is higher than (1) Has cycled off its main moisture expressed in Btu/h, according to the the ambient relative humidity to ensure removal function by humidistat, following: that the refrigeration system does not _ _ humidity sensor, or control setting; AHC = Capacityhm + Qduct hm + Qcase hm cycle on. To minimize testing burden, _ + Qinfiltration hm DOE proposed that the testing may be (2) May or may not operate its fan or blower; and Where: conducted immediately after the (3) May reactivate the main moisture Capacityhm is the heating capacity measured conclusion of dehumidification mode in section 4.1.2 of this appendix. testing while maintaining the same removal function according to the humidistat or humidity sensor signal. Qduct_hm is the duct heat transfer while ambient conditions, or may be operating in heating mode, measured in conducted separately under the test (Id.) section 4.1.2 of this appendix. conditions specified for standby mode During investigative testing for this _ Qcase hm is the case heat transfer while and off mode testing. Id. at 29291. rulemaking, DOE found that all portable operating in heating mode, measured in In the dehumidifier test procedure ACs in its test sample operate the fan in section 4.1.2 of this appendix. NOPR, DOE observed that the period of off-cycle mode, similar to Qinfiltration_hm is the infiltration air heat transfer while operating in heating mode, cyclic fan operation was approximately dehumidifiers, once cooling mode measured in section 4.1.2 of this 10 minutes for dehumidifiers with operation reduces the ambient appendix. cyclical fan-operation in fan-only mode. temperature below the set point. DOE In addition, DOE’s research indicated investigated the approach for measuring 2. Off-Cycle Mode that some units may cycle on for a this fan operation as a part of off-cycle Certain portable ACs maintain blower period of a few minutes per hour. In mode, as was proposed in the operation without activation of the order to obtain a representative average dehumidifier test procedure SNOPR, compressor after the temperature measure of fan-only mode power and found that it was applicable to setpoint has been reached, rather than consumption, DOE proposed that the portable ACs. Table III.9 shows the entering standby mode or off mode, or fan power be measured and averaged results from this portable AC off-cycle may operate with a combination of over a period of 1 hour for fan-only mode investigative testing.

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TABLE III.9—POWER IN OFF-CYCLE MODE *

Single-duct Dual-duct Unit power Unit power Unit (W) Unit (W)

SD1 ...... 175.0 DD1 69.3 SD3 ...... 60.4 DD2 76.9 SD4 ...... 85.1 DD4 224.9 SD5 ...... 109.6 DD5 47.6 SD6 ...... 80.14 DD6 76.3 SD7 ...... 77.0 DD7 74.8 SD8 ...... 211.0 SD9 ...... 91.2 SD10 ...... 108.3 SD11 ...... 87 .9 SD12 ...... 49 .7 SD13 ...... 50 .0 SD14 ...... 55 .4 SD15 ...... 38 .9 SD16 ...... 95 .1 * Data for units SD2 and DD3 were not available

Due to the similarity between continued fan operation at relatively periods following both heating mode dehumidifiers and portable ACs, and to low energy consumption. Therefore, and cooling mode because the fan speed maintain harmonization among similar DOE proposes the 5-minute delay before setting is selected by the same controls test procedures, DOE proposes in this the start of off-cycle mode testing to and all other significantly energy NOPR that off-cycle mode for portable prevent penalizing manufacturers for consumptive components are disabled. ACs be defined as proposed in the utilizing the cooling potential of the Therefore, to minimize testing burden, dehumidifier test procedure SNOPR, evaporator following the compressor DOE proposes that off-cycle mode modified for portable AC operation in cycle. Continued fan operation once that testing be conducted only after cooling either cooling or heating mode. cooling potential is no longer available mode. Annual hours for off-cycle mode Specifically, DOE proposes to define off- would be included as off-cycle mode would be allocated for the total hours in cycle mode as a mode in which the energy consumption and factored into this mode following either cooling mode portable air conditioner: the CEER measurement. or heating mode. (1) Has cycled off its main heating or In the dehumidifier test procedure 3. Standby Mode and Off Mode cooling function by thermostat or SNOPR, DOE determined, based on data temperature sensor; from its testing, that 2 hours is a typical Section 310 of the Energy (2) May or may not operate its fan or off-cycle duration and would therefore Independence and Security Act of 2007 blower; and be a representative test duration for off- (EISA 2007), Public Law 110–140, (3) Will reactivate the main cooling or cycle mode. 80 FR 5994. In lieu of field amended EPCA to require DOE to heating function according to the data for portable AC operation in off- amend the test procedures for covered thermostat or temperature sensor signal. In the dehumidifier test procedure cycle mode, and due to the similarity products to address standby mode and SNOPR, DOE proposed that off-cycle between typical portable dehumidifiers off mode energy consumption. mode measurement begin immediately and portable ACs, DOE believes that the Specifically, the amendments require following compressor operation for the analysis conducted for dehumidifiers is DOE to integrate standby mode and off dehumidification mode test to ensure representative for portable ACs. mode energy consumption into the sufficient condensation on the Therefore, DOE proposes that the off- overall energy efficiency, energy evaporator to initiate fan operation for cycle mode test begin 5 minutes after consumption, or other energy descriptor those units that dry the evaporator coil. the completion of the cooling mode test for each covered product unless the DOE asserted that conducting the off- and end after a period of 2 hours. DOE current test procedures already fully cycle mode test subsequent to the further proposes that the electrical account for such consumption or dehumidification mode test would supply be the same as specified for integration of such test procedure is capture all energy use of the cooling mode, as discussion section technically infeasible. If integration is dehumidifier under conditions that III.B.1.a.ix, and that this measurement technically infeasible, DOE must meet the newly proposed off-cycle mode be made using the same power meter prescribe a separate standby mode and definition, including fan operation specified for standby mode and off off mode energy use test procedure, if intended to dry the evaporator coil, mode, as discussed in section III.3. technically feasible. (42 U.S.C. sample the air, or circulate the air. 80 DOE further proposes to require that, 6295(gg)(2)(A)) Any such amendment FR 5994. for units with adjustable fan speed must consider the most current versions In this NOPR, DOE proposes that settings, the fan be set at the maximum of IEC Standard 62301, ‘‘Household portable AC off-cycle mode energy use speed during fan-only mode testing, electrical appliances—Measurement of be measured five minutes after the because the maximum speed is typically standby power,’’ and IEC Standard termination of compressor operation in recommended to consumers as the 62087, ‘‘Methods of measurement for cooling mode. Because the evaporator is setting that produces the maximum rate the power consumption of audio, video, still cool at the end of compressor of cooling or heating. and related equipment.’’ Id. operation in cooling mode, additional DOE estimates that off-cycle mode In addition, these amendments direct room cooling is possible through energy consumption is similar for DOE to incorporate standby mode and

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off mode energy use into any final rule circulation. When the unit is plugged in included within the classification of an establishing or revising an energy and awaiting a signal to initiate one of off mode. conservation standard for a covered the active modes, it would be b. Determination of Standby Mode and product adopted after July 1, 2010. If it considered to be in ‘‘inactive mode.’’ Off Mode Power Consumption is not feasible to incorporate standby That is, inactive mode would be defined mode and off mode into a single as a standby mode that facilitates the In accordance with the requirements amended or new standard, then the activation of active mode by remote of EISA 2007, DOE is proposing to statute requires DOE to prescribe a switch (including remote control), specify testing equipment and separate standard to address standby internal sensor, or timer, or that conditions for measuring standby mode mode and off mode energy provides continuous status display. and off mode power consumption in the consumption. (42 U.S.C. 6295(gg)(3)) Unlike room ACs, portable ACs are portable AC test procedure based on the installed and operated entirely within provisions from IEC Standard 62301. (42 a. Mode Definitions the conditioned space, and thus do not U.S.C. 6295 (gg)(1)(B)) The measured Should DOE determine to classify have a means to discharge any liquid wattages would then be used in portable ACs as a covered product, DOE condensate directly outdoors. Although calculations to determine standby mode would be required to promulgate energy many portable ACs incorporate a feature and off mode energy consumption. DOE conservation standards that incorporate to re-evaporate the condensate and has reviewed IEC Standard 62301, and energy use in active mode, standby exhaust it in the condenser outlet air tentatively concluded that it is generally mode, and off mode into a single metric, stream, under certain ambient applicable to portable ACs, with certain if feasible, in accordance with EISA conditions this moisture removal rate clarifications, and notes that a similar 2007. (42 U.S.C. 6295 (gg)(3)) In may not be high enough to exhaust all determination has already been made addition, a DOE test procedure for of the condensate. Thus, portable ACs for the DOE test procedures for closely- portable ACs would be required to may enter a ‘‘bucket-full mode’’ when related covered products, such as measure and, if feasible, integrate the condensate level in the internal dehumidifiers and room air standby mode and off mode energy collection container reaches a conditioners. AHAM PAC–1–2014 also consumption into the overall energy manufacturer-specified threshold or the references IEC Standard 62301 for descriptor. (42 U.S.C. 6295 (gg)(2)) collection container is removed; any portable AC standby power Therefore, DOE is proposing the cooling, heating, or air-circulation measurements. following definitions and methods to functions are disabled; and an In examining portable AC operation, measure standby mode and off mode indication is provided to the consumer DOE recognizes that there is a certain energy consumption for portable ACs. that the container is full. The portable commonality between inactive mode Based on the similar components and AC will reactivate the main cooling, and bucket-full mode, in that there are primary function to room ACs and heating, or air-circulation function once no major energy-consuming components dehumidifiers, DOE proposes standby the collection container is drained or energized and there is typically only a mode and off mode definitions for emptied and is in place in the unit. display to the consumer that provides portable ACs that are similar to those DOE is also aware of an additional information as to product status. included in the room AC and low-power mode for portable ACs with Therefore, DOE expects that the power dehumidifier test procedures found in power consumption levels comparable consumption these two modes is appendix F and appendix X, to inactive mode and bucket-full modes. comparable. respectively, codified at 10 CFR part ‘‘Delay-start mode’’ facilitates activation In the interest of reducing testing 430, subpart B. of an active mode by a timer. Due the burden, DOE proposes not to require the ‘‘Standby mode’’ would mean any similarity in power consumption levels power consumption in both of these mode where a portable air conditioner between delay-start mode and inactive modes be measured individually. is connected to a mains power source mode, DOE proposes to consider the Rather, DOE proposes that the power and offers one or more of the following power consumption in inactive mode as consumption in just inactive mode user-oriented or protective functions representative of delay-start mode and would be measured, and the annual which may persist for an indefinite to include the operating hours for delay- hours assigned to that power time: start mode in the estimate for inactive measurement would be the sum of (a) To facilitate the activation of other mode operating hours for the purposes annual hours for inactive mode and modes (including activation or of calculating a combined metric. In bucket-full mode. DOE requests deactivation of active mode) by remote other words, DOE is not proposing to comment on this proposed switch (including remote control), measure delay-start mode. DOE believes simplification of testing, including internal sensor, or timer; or that this approach will minimize test whether the resulting calculation would (b) Continuous functions, including burden and simplify testing and adequately represent product energy use information or status displays determination of overall performance. and whether it would instead be (including clocks) or sensor-based Although all units in DOE’s test appropriate to measure each mode functions. A timer is a continuous clock sample had electronic controls and separately. function (which may or may not be therefore default to inactive mode when DOE proposes that the test room associated with a display) that provides connected to a power source, DOE ambient air temperatures for standby regular scheduled tasks (e.g., switching) recognizes that some portable ACs may mode and off mode testing would be and that operates on a continuous basis. instead utilize electromechanical specified in accordance with Section 4, DOE is aware of two relevant modes controls, and therefore may employ an Paragraph 4.2 of IEC Standard 62301. that would meet the proposed definition ‘‘off mode,’’ in which a portable AC is The IEC standard specifies a of standby mode for portable ACs: (1) connected to a mains power source and temperature range of 73.4 ± 9 °F, while Inactive mode and (2) bucket-full mode. is not providing any active mode or the proposed DOE test procedure for Portable ACs often include a digital standby mode function, and where the portable ACs would specify an indoor- control board with switches or a remote mode may persist for an indefinite time. side test room ambient temperature of control device to modify settings and An indicator that only shows the user 80.6 ± 0.5 °F dry-bulb temperature for initiate or disable cooling, heating, or air that the product is in the off position is the cooling mode test and 70.0 ± 0.5 °F

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dry-bulb temperature for the heating 4. Combined Energy Efficiency Ratio AECm is the annual energy consumption in each mode, in kWh/year. mode test. This proposed test procedure In accordance with the requirements would allow manufacturers of portable m represents the operating modes included of EISA 2007, DOE is required for in AECT (‘‘oc’’ off-cycle, and ‘‘im’’ ACs to conduct active mode efficiency covered products to establish a single inactive or ‘‘om’’ off mode). testing and standby mode and off mode energy conservation standard metric In this NOPR, DOE proposes in 10 power consumption testing that incorporates standby mode and off CFR 430.23 that the annual energy simultaneously in the same room on mode energy use, if feasible, for consumption in cooling mode, AEC multiple portable ACs, as long as the standards adopted after July 1, 2010. (42 cm and the total annual energy temperature and setup requirements U.S.C. 6295(gg)(3)(A)) For certain consumption in all modes except (e.g., duct setup, instrumentation, unit products, including dehumidifiers and cooling and heating, AEC , would be placement) for both tests are met. room ACs, DOE has combined the T utilized in calculating the estimated Alternatively, the proposed temperature energy use for active modes, off-cycle annual operating cost. The sum of the specifications taken from IEC Standard mode, standby modes, and off mode two annual energy consumption metrics 62301 would allow a manufacturer that into a single efficiency metric using a would then be multiplied by a opts to conduct standby mode and off weighted average based on annual representative average unit cost of mode testing separately from active operating hours in each mode. DOE electrical energy in dollars per kilowatt- mode testing to use the ambient proposes a similar approach for portable hour as provided by the Secretary to temperature requirements of 73.4 ± 9 °F. ACs based on operating hours per mode obtain the estimated annual operating DOE requests comment on the which may be available on the unit, cost. appropriateness of this proposed test including cooling mode, heating mode, For units with only cooling mode, a room ambient temperature range. DOE off-cycle mode (with and without fan combined cooling mode EER (CEER ) further proposes that the portable AC operation), inactive mode (including cm can be calculated. For purposes of bucket-full mode), and off mode. As would be installed in accordance with comparison, DOE proposes calculating a discussed previously in section III.B.1 of the unit installation and preparation CEER for units that also include this NOPR, DOE is not addressing cm instructions in Section 5.2 of IEC 62301, heating mode. In this case, the metric dehumidification mode for portable ACs while disregarding the provisions would be calculated assuming heating in this proposal because the annual regarding batteries and the mode is not used and therefore, the operating hours are likely small and it determination, classification, and operating hours that would have been is not technically feasible to integrate testing of relevant modes. DOE is not attributed to heating mode and other the efficiency descriptor with an EER aware of any portable ACs that associated operating modes during the metric. incorporate batteries other than in heating season would be apportioned as remote controls. a. CEER Calculations for portable ACs without a heating mode. DOE believes that the resulting For the duration of standby-mode and DOE proposes the following approach CEER is a meaningful metric for off-mode testing, DOE proposes that the to combine energy use in each of the cm portable ACs without a heating electrical supply voltage shall be considered modes into a single ± function, a basis for comparing cooling maintained at 115 V 1 percent and integrated efficiency metric, CEER. mode efficiency for units that include supply frequency would be maintained Average power in each mode would be ± heating function, as well as a metric that at the rated frequency within 1 measured according to the proposals in could be compared to other cooling percent. DOE notes that these section III.B.1.a through section III.B.1.2 products, such as room ACs. requirements are consistent with those and section III.B.3 of this NOPR, and proposed for cooling mode, and the then individually multiplied by the tolerances are in accordance with annual operating hours for each Section 4, Paragraph 4.3.1 of IEC respective mode, discussed in section Standard 62301. The supply voltage III.4.b of this NOPR. waveform and wattmeter would comply AECm = Pm × tm × k Where: with the requirements in Section 4, Where: CEERcm is the combined energy efficiency Paragraphs 4.3.2 and 4.4 of IEC ratio in cooling mode, in Btu/Wh. Standard 62301, respectively. AECm is the annual energy consumption in ACC is the adjusted cooling capacity, in Btu/ each mode, in kWh/year. h. DOE is aware that some portable ACs Pm is the average power in each mode, in may reduce power consumption after a AECcm is the annual energy consumption in watts (W). cooling mode, in kWh/year. period of user inactivity after entering tm is the number of annual operating hours AECT is the total annual energy consumption standby mode or off mode. For products in each mode. attributed to all modes except cooling whose power consumption in standby m designates the operating mode (‘‘cm’’ and heating, in kWh/year. mode or off mode varies in this manner cooling, ‘‘hm’’ heating, ‘‘oc’’ off-cycle, t is the number of hours per year, 8,760. during testing, DOE proposes that the and ‘‘im’’ inactive or ‘‘om’’ off mode). k is 0.001 kWh/Wh conversion factor for k is 0.001 kWh/Wh conversion factor for watt-hours to kilowatt-hours. test for inactive mode and off mode be watt-hours to kilowatt-hours. conducted after the power level has For portable ACs without a heating dropped to its lowest level, as discussed Total annual energy consumption in function, the overall energy efficiency in Note 1 in Section 5.1 of IEC Standard all modes except cooling and heating metric, or CEER, would be equal to the would be calculated as follows. 62301. DOE further proposes that the CEERcm. However, for units with both test procedure in Section 5, Paragraph AECT = SmAECm cooling and heating mode, the overall 5.3.2 of IEC Standard 62301 then be Where: CEER, a weighted average of the cooling

followed for inactive mode, off-cycle AECT is the total annual energy consumption and heating mode capacities and energy mode, and off mode, as available on the attributed to all modes except cooling consumption in all applicable modes, test unit. and heating, in kWh/year. would be calculated as follows.

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Where: room AC, which does not extend far significant usage was recorded in the CEER is the combined energy efficiency ratio, into the room. Therefore, DOE estimated remaining regions: Midwest (5.8 in Btu/Wh. that three quarters of all portable ACs million), South (6.5 million), and West ACC is the adjusted cooling capacity, in Btu/ are unplugged for all annual hours (4 million). DOE observed that all sub- h. outside of the cooling season (6,600 regions in the survey showed room AC AHC is the adjusted heating capacity, in Btu/ hours per unit), and that the remaining h. use; therefore, all sub-regions were one quarter of portable ACs are hcm and hhm are the cooling and heating mode included in DOE’s analysis, along with operating hours, respectively. unplugged for half of the annual hours data for individual states or AECcm is the annual energy consumption in outside the cooling season (3,300 hours combinations of small numbers of states cooling mode, in kWh/year. per unit). Based on the weighted average within these sub-regions where AEChm is the annual energy consumption in presented above, portable ACs would provided in RECS. heating mode, in kWh/year. spend 5,775 unplugged hours and 825 AECT is the total annual energy consumption plugged-in hours outside of the cooling Based on the RECS ownership data, attributed to all modes except cooling season. DOE used a weighted-average approach and heating, in kWh/year. However, DOE notes that these to combine the individual states’ total t is the number of hours per year, 8,760. number hours per year at or below a k is 0.001 kWh/Wh conversion factor for calculations consider use of portable watt-hours to kilowatt-hours. ACs only during the cooling season. As certain temperature to determine the discussed above in section III.1.b, average number of hours at or below any b. Mode Annual Operating Hours certain portable ACs may provide a given temperature for each sub-region DOE developed several estimates of heating function and therefore may be represented by the RECS data. DOE used portable AC annual operating mode operated during the heating season. a similar weighted average to combine hours for cooling, heating, off-cycle, and Although DOE believes that the room the sub-region data for each region and inactive or off modes. DOE proposes the AC cooling season length is relevant and subsequently combine the regional data CEER calculations and proposes one of representative of the portable AC into a single representative number of the estimates of annual mode hours that cooling season due to the similar hours per year at or below any given would be used to obtain an integrated function provided to the consumer, DOE temperature. DOE found, on average, measure of energy use in all operating does not believe that the 2,160 hours 4,388 hours per year with ambient modes. DOE requests comment on the estimated for cooling season would be temperatures at or below proposed CEER calculation and representative of the heating season 55 °F. DOE selected 55 °F as a threshold estimates. length. Therefore, DOE researched for determining heating season based on Because the primary function of portable AC heating season length. As a a New York City regulation that requires portable ACs and room ACs is similar, starting point, DOE looked to the buildings to be heated when the outdoor DOE considered the room AC annual furnace test procedure located at temperature drops below that level.14 operating hours presented in the room appendix N of 10 CFR part 430, which However, DOE notes that portable ACs AC test procedure NOPR (hereinafter identifies the heating season length as are typically not used as the primary referred to as ‘‘the room AC test 4,160 hours. heating appliance in a home, and procedure NOPR’’) 12 as a proxy for To refine this estimate for portable therefore may be utilized to supplement portable AC usage in this analysis. In ACs, DOE performed a climate analysis the home’s heating system. Because this the room AC test procedure NOPR, DOE using 2012 hourly ambient temperature estimated that half of all room ACs are data from the National Climatic Data supplemental heating is likely only unplugged for half of the year. 73 FR Center (NCDC) of the National Oceanic necessary at low outdoor temperatures, 74639, 74648. Averaging this estimated and Atmospheric Administration DOE determined, as a third estimate, the unplugged time over all units resulted (NOAA), collected at weather stations in number of hours in 2012 that average in a total 2,190 unplugged hours per 44 representative states. DOE first national ambient temperatures were at ° unit in which no energy is consumed, calculated the number of annual hours or below 45 F—2,903 hours. DOE then leaving 6,570 hours in which the unit is per state associated with each calculated the number of plugged in and plugged in. DOE further estimated that temperature (in 1 °F intervals) from the unplugged hours outside of heating and the primary cooling season is 90 days NCDC data. DOE then reviewed data cooling season for each of the three per year, or 2,160 hours. Id. Portable from the 2009 Residential Energy estimates presented above for portable ACs, however, are likely to be Consumption Survey (RECS) 13 to ACs with heating mode. Table III.10 unplugged for a greater number of hours identify room AC use in the different shows the operating season hourly per year during the cooling season geographic regions. Because no portable breakdowns for four cases: Cooling Only because, portable ACs are readily AC-specific usage data were available Estimate, Cooling/Heating Estimate 1 moveable products that are simpler to through RECS, DOE assumed this data (the furnace fan heating season length), install and uninstall than room ACs. would be representative of portable AC Cooling/Heating Estimate 2 (heating Additionally, because a portable AC and use. DOE found that of the 25.9 million season based on hours at or below 55 associated ducting extend into the room, homes that reported using room ACs, °F), and Cooling/Heating Estimate 3 consumers would be more likely to the majority were in the Northeast (heating season based on hours at or unplug and store a portable AC than a region (9.6 million homes), though below 45 °F). 12 See 73 FR 74639 (Dec.9, 2008). 13 RECS data are available at: http://www.eia.gov/ 14 More information can be found at: consumption/residential/data/2009/‘‘www.eia.gov/ www.nyc.gov/html/hpd/html/tenants/heat-and-hot- consumption/residential/data/2009/. water.shtml.

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TABLE III.10—SEASONAL AND REMAINING UNPLUGGED/PLUGGED-IN HOURS

Cooling/heat- Cooling/heat- Cooling/heat- Cooling only ing estimate 1 ing estimate 2 ing estimate 3

Annual Hours ...... 8,760 8,760 8,760 8,760 Cooling Season...... 2,160 2,160 2,160 2,160 Heating Season ...... 0 4,160 4,388 2,903 Remaining Annual Unplugged Hours ...... 5,775 2,135 1,936 3,235 Remaining Annual Plugged-In Hours ...... 825 305 277 462

DOE further estimated the hours 74649 (, 2008). In the room hours. For portable ACs with a heating associated with each operating mode AC analysis, fan-only mode was defined function, DOE estimated that the same within the cooling and heating seasons. as ‘‘an active mode in which the ratio of mode hours to season length for Because the primary cooling function is compressor shuts down when operating the cooling season would be applicable similar between portable ACs and room in constant-fan mode or user selection for the available modes during heating ACs, DOE believes that the mode hours of fan-only operation.’’ As discussed season. The operating hours in off mode in cooling season would be apportioned above, fan operation when the and inactive mode include operation similarly for both products. In its room compressor has cycled off is considered during heating and cooling season as AC analysis, DOE determined that, for as off-cycle mode for the purposes of well as the plugged-in hours during the units capable of all operating modes, this NOPR. Also, because DOE is not remainder of the year. Applying all of 750 operating hours would be in cooling proposing to measure or allocate hours these apportionments, DOE developed mode, 440 hours would be in off-cycle to air circulation mode, any hours estimates for the hourly operation in mode, 440 hours would be in fan-only associated with that mode would be mode, 90 hours would be in delay-start attributed to off-cycle mode. For each mode, shown in Table III.11, based mode, and 440 hours would be in portable ACs, DOE also proposes to on the three approaches described above inactive mode and/or off mode during allocate any bucket-full and other low- for estimating heating season length. the cooling season. 73 FR 74639, 74648– power mode hours to inactive/off mode

TABLE III.11—PROPOSED ANNUAL OPERATING HOURS BY MODE

Cooling/heat- Cooling/heat- Cooling/heat- Modes Cooling only ing estimate 1 ing estimate 2 ing estimate 3

Cooling Mode ...... 750 750 750 750 Heating Mode ...... 0 1,444 1,524 1,008 Off-Cycle Mode...... 880 2,575 2,668 2,063 Off/Inactive Mode...... 1,355 1,856 1,883 1,704

DOE proposes that the annual only, and standby modes as a function expects that the model results for these operating mode hours in the ‘‘Cooling of the outdoor temperature. DOE notes two applications provide a minimum Only’’ scenario presented in Table III.11 that these modes as defined in the Burke and maximum estimate for time spent in be used when calculating CEERcm for all Portable AC Study are not entirely cooling mode for a typical portable AC, portable ACs. For the reasons discussed consistent with the mode definitions from which the corresponding above regarding use of portables ACs for proposed in this NOPR; however, DOE variations in the annual operating hours heating, DOE also proposes assigning expects that they would align for other modes could be calculated. the annual operating mode hours in the reasonably well with cooling mode, off- DOE presents this sensitivity analysis in ‘‘Cooling/Heating Estimate 3’’ scenario cycle mode, and inactive or off mode, addition to its proposed annual mode in the CEER calculation for units with respectively. The models in the Burke hour allocation listed in Table III.11 both cooling and heating modes. For Portable AC Study were developed for because the variation in results for the portable ACs with no heating mode, two applications for portable ACs: (1) different applications can be significant. CEER would equal CEER . For example, the model suggests that cm Residential use, which DOE expects to DOE requests feedback on these the percent of time spent in cooling represent daily consumer interaction proposed annual operating mode hours mode for each application differs by 50 with the portable AC (e.g., turning the to be used in the CEERcm and CEER percentage points when the outdoor calculations, and on any alternate unit off and on when leaving or entering temperature is 80 °F. season durations and operating hour the house, respectively, or turning the Because these two models present estimates. unit on only while sleeping); and (2) mode operation in cooling season as a To provide further insight on these commercial use (i.e., a portable AC unit function of outdoor temperature, DOE annual operating mode hours and used in an office or similar conducted further analysis based on explore possible alternate scenarios for environment), which DOE expects to consumer and climate data to determine operating mode allocations during the represent units that are installed and the most representative average cooling cooling season, DOE considered the turned on at a given temperature season outdoor temperature for portable analysis presented in the Burke Portable setpoint with minimal additional AC usage. To do so, DOE used the same AC Study. In that study, metered data consumer interaction. Because the first analytical approach as it used to for 19 portable ACs were analyzed to application represents intermittent use determine heating season length, based develop models that estimate the and the second application represents on the 2009 RECS and 2012 NCDC data. percent of time spent in cooling, fan- continuous use of a portable AC, DOE From the NCDC data, DOE calculated

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the average monthly outdoor DOE combined the individual states’ DOE used this outdoor temperature temperature for each of the 44 states average outdoor temperatures from June with the models developed in the Burke from June through September. DOE through September using a weighted- Portable AC Study to calculate the selected these months as those with average approach based on the RECS estimated percent of time spent in primary portable AC usage based on ownership data to determine an average cooling, off-cycle, and off or inactive New York City Season Guidelines that cooling season ambient temperature for modes during the cooling season. The identify the cooling season as running each sub-region represented by the operating mode time as a percentage of from the end of May through September RECS data. DOE used a similar weighted cooling season hours for both residential 15 24. DOE also notes, for example, that average to combine the sub-region data applications (low-use Scenario 1) and utilities may define the cooling season for each region and subsequently commercial applications (high-use 16 as June through September. DOE combine the regional data into a single Scenario 2) are shown in Table III.12. welcomes input from interested parties representative average cooling season DOE also presents a third scenario that on whether these are the most is an average of the low-use and high- temperature of 70 °F for the United representative months for the portable use scenarios to estimate overall typical States as a whole. AC cooling season. portable AC usage patterns.

TABLE III.12—ANNUAL OPERATING MODE HOUR SENSITIVITY ANALYSIS—PERCENTAGE OF TIME IN EACH MODE DURING THE COOLING SEASON

Scenario 1— Scenario 2— residential commercial Scenario 3— Modes application application Average-use (low-use) (high-use) (percent) (percent) (percent)

Cooling Mode ...... 5.9 41.1 23.5 Off-Cycle Mode ...... 2.2 21.7 12.0 Off/Inactive Mode ...... 91.9 37.9 64.9

For comparison with DOE’s proposed metrics. The sampling requirements cooling mode annual hour estimate of would be included in the proposed 10 750 hours, DOE applied these CFR 429.62. Specifically, DOE is percentages to the estimated cooling proposing that the general sampling season length of 2,160 hours. This requirements of 10 CFR 429.11 for results in cooling mode operating hours selecting units to be tested be applicable of 126, 887, and 507, for the usage to portable ACs. In addition, DOE is patterns modeled in Scenario 1, proposing that for each portable AC Scenario 2, and Scenario 3, respectively. basic model, a sufficient sample size Note that if DOE were to use one of must be randomly selected to ensure these model scenarios as the basis for all that a representative value of energy operating mode hours in cooling season, consumption for a basic model is greater the proposed total annual off-cycle than or equal to the higher of the mean Where: mode and total off/inactive mode hours of the sample or upper 95 percent x¯ is the sample mean; would also be adjusted to account for th confidence limit (UCL) of the true mean xi is the i sample; the cooling season percentages in Table s is the sample standard deviation; III.12. DOE notes that the cooling season divided by 1.10. For EERcm, EERhm, n is the number of units in the test sample; mode operating hour percentages in CEER, or other measure of energy and these scenarios differ from the proposed consumption where a higher value is t0.95 is the t statistic for a 95% one-tailed ¥ approach that utilizes the room AC preferable to the consumer, the confidence interval with n 1 degrees of cooling season mode operating hour representative value shall be less than or freedom. estimates. equal to the lower of the mean of the This proposed sampling plan for DOE requests feedback on the sample or the lower 95 percent portable ACs is consistent with alternative scenarios presented in this confidence limit (LCL) of the true mean sampling plans already established for NOPR or other data that may inform the divided by 0.90. The mean, UCL, and dehumidifiers and other similar allocation of annual operating hours in LCL are calculated as follows: products. DOE notes that certification each mode. requirements for portable ACs, which would also be located at 10 CFR part C. Sampling Plan and Rounding 429, would be proposed in the Requirements concurrent energy conservation DOE is proposing the following standards rulemaking. sampling plan and rounding DOE also proposes that all requirements for portable ACs to enable calculations be performed with the manufacturers to make representations unrounded measured values, and that of energy consumption or efficiency the reported cooling or heating capacity

15 New York City Season Guidelines are available 16 For example, see: https://www.dom/com/ online at: http://www.nyc.gov/html/dem/ residential/dominion-virginia-power/ways-to-save/ downloads/pdf/NYC_Cooling_Season_Guidelines_ energy-conservation-programs/smart-cooling- 2014.pdf. rewards/smart-cooling-rewards-terms-conditions.

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be rounded in accordance with Table 1 mode that is significantly less required by Executive Order 13272, of PAC–1–2014, ‘‘Multiples for burdensome than the calorimeter ‘‘Proper Consideration of Small Entities reporting Dual Duct Cooling Capacity, method. DOE is also proposing an in Agency Rulemaking,’’ 67 FR 53461 Single Duct Cooling Capacity, Spot approach for measuring low-power (, 2002), DOE published Cooling Capacity, Water Cooled mode energy use that would preclude procedures and policies on February 19, Condenser Capacity and Power Input testing of each possible mode 2003, to ensure that the potential Ratings.’’ DOE further proposes that individually and instead would require impacts of its rules on small entities are EERcm, EERhm, CEERcm, CEER, or other only testing modes in which the properly considered during the DOE energy efficiency metrics would be portable AC may consume significant rulemaking process. 68 FR 7990. DOE rounded to the nearest 0.1 Btu/Wh, in amounts of energy, thereby reducing has made its procedures and policies accordance with section 6.2.2 of AHAM burden further. available on the Office of the General PAC–1–2014 and consistent with the Therefore, DOE determined that the Counsel’s Web site: http://energy.gov/ rounding instructions provided for room proposed portable AC test procedure gc/office-general-counsel. ACs at 10 CFR 430.23(f)(2). DOE notes would produce test results that measure DOE reviewed this proposed rule that these rounding instructions would energy consumption during under the provisions of the Regulatory be included in the proposed sampling representative use, and that the test Flexibility Act and the procedures and plan for portable ACs. The rounding procedure would not be unduly policies published on February 19, instruction proposal would be updated burdensome to conduct. 2003. The proposed rule prescribes the to reference the certification and test procedure to measure the energy 2. Potential Incorporation of reporting requirements, which would be consumption of portable ACs in active International Electrotechnical proposed as part of the energy modes, standby modes, and off mode. Commission Standard 62087 conservation standards rulemaking for DOE tentatively concludes that this portable ACs. Under 42 U.S.C. 6295(gg)(2)(A), EPCA proposed rule would not have a directs DOE to consider IEC Standard significant impact on a substantial D. Compliance With Other Energy Policy 62087 when amending test procedures number of small entities. The factual and Conservation Act Requirements for covered products to include standby basis for this certification is as follows: 1. Test Burden mode and off mode power The Small Business Administration (SBA) considers a business entity to be EPCA requires that any test measurements. DOE reviewed IEC Standard 62087, ‘‘Methods of small business, if, together with its procedures prescribed or amended shall affiliates, it employs less than a be reasonably designed to produce test measurement for the power consumption of audio, video, and threshold number of workers specified results which measure energy in 13 CFR part 121. These size standards efficiency, energy use, or estimated related equipment’’ (Edition 3.0 2011– 04), and has tentatively determined that and codes are established by the North annual operating cost of a covered American Industry Classification product during a representative average it would not be applicable to measuring power consumption of electrical System (NAICS). The threshold number use cycle or period of use, and shall not for NAICS classification code 333415, be unduly burdensome to conduct. (42 appliances such as portable ACs. Therefore, DOE determined that ‘‘Air-Conditioning and Warm Air U.S.C. 6293(b)(3)) For the reasons that Heating Equipment and Commercial follow, DOE has tentatively concluded referencing IEC Standards 62087 is not necessary for the proposed test and Industrial Refrigeration Equipment that establishing a DOE test procedure Manufacturing,’’ which includes to measure the energy consumption of procedure that is the subject of this rulemaking. manufacturers of portable ACs, is 750 portable ACs in active mode, standby employees. mode, and off mode would produce the IV. Procedural Issues and Regulatory DOE surveyed the AHAM member required test results and would not Review directory to identify manufacturers of result in any undue burdens. residential portable ACs. DOE then As discussed in section IV.B of this A. Review Under Executive Order 12866 consulted publicly available data, NOPR, the proposed test procedure The Office of Management and Budget purchased company reports from would require testing equipment and (OMB) has determined that test vendors such as Dun and Bradstreet, facilities that are not substantially procedure rulemakings do not constitute and contacted manufacturers, where different than those that manufacturers ‘‘significant regulatory actions’’ under needed, to determine if the number of are currently using for testing in order section 3(f) of Executive Order 12866, manufacturers with manufacturing to report portable AC ratings to the CEC Regulatory Planning and Review, 58 FR facilities located within the United and likely already using for certifying to 51735 (Oct. 4, 1993). Accordingly, this States that meet the SBA’s definition of DOE the performance of packaged action was not subject to review under a ‘‘small business manufacturing terminal ACs (PTACs), which many of the Executive Order by the Office of facility.’’ Based on this analysis, DOE the portable AC manufacturers also Information and Regulatory Affairs estimates that there is one small produce. Thus, these manufacturers are (OIRA) in the OMB. business that manufactures portable likely already equipped to test portable ACs. B. Review Under the Regulatory ACs, or are testing their products in This proposed rule would establish a Flexibility Act third-party laboratories that are DOE test procedure for portable ACs, similarly equipped. Therefore, the The Regulatory Flexibility Act (5 which would require testing units proposed test procedure would not U.S.C. 601 et seq.) requires preparation according to an industry standard, require these manufacturers to make a of an initial regulatory flexibility AHAM PAC–1–2014, with additional significant investment in test facilities analysis (IFRA) for any rule that by law calculations. Although there are no and new equipment. must be proposed for public comment, current DOE energy conservation In addition, DOE carefully considered unless the agency certifies that the rule, standards for portable ACs, many testing burden in proposing a modified if promulgated, will not have a manufacturers have reported cooling air enthalpy method for measuring significant economic impact on a capacity and EER of these products to energy use in cooling mode and heating substantial number of small entities. As the CEC, which requires testing

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according to ANSI/ASHRAE Standard found in an office or living space. hours total per company per year to 128–2001. The testing equipment and Therefore, DOE does not expect that the comply with the certification and methodology for ANSI/ASHRAE small business would incur additional recordkeeping requirements based on 20 Standard 128–2001 are similar to those facilities costs required by the proposed hours of technician/technical work and required by AHAM PAC–1–2014, rule. In addition, in the event that the 10 hours clerical work to actually although the temperature conditions are manufacturer would be required to submit the Compliance and Certification different. purchase a wattmeter for measuring Management System (CCMS) templates. The small business mentioned above power input in standby mode, off mode, This rulemaking would include does not list any portable AC models in and off-cycle mode, the investment recordkeeping requirements on the CEC product database, so DOE is required would likely be relatively manufacturers that are associated with uncertain whether it is currently testing modest. An Internet search of executing and maintaining the test data portable ACs according to ANSI/ equipment that specifically meets the for these products. DOE notes that the ASHRAE Standard 128–2001. However, proposed requirements reveals a cost of certification requirements would be DOE notes that the small business also approximately $2,000. established in a final rule establishing manufactures and markets PTACs that The costs described above are small energy conservation standards for must be certified to DOE according to compared to the overall financial portable ACs. DOE recognizes that ANSI/AHRI Standard 310/380–2004, investment needed to undertake the recordkeeping burden may vary ‘‘Standard for Packaged Terminal Air- business enterprise of developing and substantially based on company Conditioners and Heat Pumps’’ (ANSI/ testing consumer products, which preferences and practices. DOE requests AHRI 310/380–2004). (10 CFR 430.96) involves facilities, qualified staff, and comment on this burden estimate. Section 4.2.1 of ANSI/AHRI 310/380– specialized equipment. Based on its D. Review Under the National 2004 specifies that standard cooling 17 review of industry data, DOE Environmental Policy Act of 1969 ratings shall be verified by tests estimates that the small portable AC conducted in accordance with either business has annual revenues of In this proposed rule, DOE proposes ANSI/ASHRAE Standard 16–1999 or approximately $20 million. test procedure amendments that it ANSI/ASHRAE Standard 37–1998. Due For these reasons, DOE concludes and expects will be used to develop and to the complexity of testing facilities certifies that the proposed rule would implement future energy conservation required to implement the calorimeter not have a significant economic impact standards for portable ACs. DOE has method specified in ANSI/ASHRAE 16– on a substantial number of small determined that this rule falls into a 1999, DOE believes that it is likely that entities. Accordingly, DOE has not class of actions that are categorically the small business currently conducts prepared a regulatory flexibility analysis excluded from review under the compliance testing using the air for this rulemaking. DOE will transmit National Environmental Policy Act of enthalpy methods in ANSI/ASHRAE the certification and supporting 1969 (42 U.S.C. 4321 et seq.) and DOE’s Standard 37–1998, which require statement of factual basis to the Chief implementing regulations at 10 CFR part comparable testing facilities and Counsel for Advocacy of the SBA for 1021. Specifically, this proposed rule equipment as the methods proposed in review under 5 U.S.C. 605(b). would amend the existing test this NOPR. In addition, the small procedures without affecting the business provides performance data in C. Review Under the Paperwork amount, quality or distribution of the literature for its portable AC model Reduction Act of 1995 energy usage, and, therefore, would not which indicates that testing was All collections of information from result in any environmental impacts. conducted at 80 °F and 50-percent the public by a Federal agency must Thus, this rulemaking is covered by relative humidity. This testing would receive prior approval from OMB. DOE Categorical Exclusion A5 under 10 CFR likely have required air enthalpy has established regulations for the part 1021, subpart D, which applies to measurements equivalent to those certification and recordkeeping any rulemaking that interprets or specified in AHAM PAC–1–2014 at 80 requirements for covered consumer amends an existing rule without °F and 49-percent relative humidity, products and industrial equipment. 10 changing the environmental effect of and the same air enthalpy CFR part 429, subpart B. DOE published that rule. Accordingly, neither an measurements would be made when a notice of proposed determination environmental assessment nor an testing at 70 °F and 57-percent relative regarding portable air conditioners on environmental impact statement is humidity according to the proposed July 5, 2013. 78 FR 40403. In an required. method for portable AC heating mode. application to renew the OMB E. Review Under Executive Order 13132 Therefore, DOE believes that no small information collection approval for Executive Order 13132, ‘‘Federalism,’’ businesses would require purchasing DOE’s certification and recordkeeping 64 FR 43255 (August 4, 1999) imposes new equipment or modifying existing requirements, DOE included an certain requirements on agencies equipment in order to conduct the estimated burden for manufacturers of formulating and implementing policies proposed test methods for measuring portable air conditioners in case DOE or regulations that preempt State law or energy use in portable AC cooling mode ultimately issues a coverage that have Federalism implications. The and heating mode. determination and sets energy Executive Order requires agencies to The proposed rule would also require conservation standards for these examine the constitutional and statutory the measurement of power input during products. OMB has approved the authority supporting any action that standby mode, off mode, and off-cycle revised information collection for DOE’s would limit the policymaking discretion mode. These tests could be conducted certification and recordkeeping of the States and to carefully assess the either in the same facilities used for the requirements. 80 FR 5099 (January 30, necessity for such actions. The cooling mode and heating mode testing 2015). DOE estimated that it will take Executive Order also requires agencies of these products, or in facilities that each respondent approximately 30 meet the requirements for testing to have an accountable process to conditions specified in IEC Standard 17 Annual revenue estimates are based on ensure meaningful and timely input by 62301, which could consist of any space financial reports obtained from Hoover’s, Inc., State and local officials in the with temperature control typically available online at: www.hoovers.com. development of regulatory policies that

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have Federalism implications. On G. Review Under the Unfunded would not result in any takings that , 2000, DOE published a Mandates Reform Act of 1995 might require compensation under the statement of policy describing the Title II of the Unfunded Mandates Fifth Amendment to the U.S. intergovernmental consultation process Reform Act of 1995 (UMRA) requires Constitution. it will follow in the development of each Federal agency to assess the effects J. Review Under Treasury and General such regulations. 65 FR 13735. DOE has of Federal regulatory actions on State, Government Appropriations Act, 2001 examined this proposed rule and has local, and Tribal governments and the determined that it would not have a private sector. Public Law 104–4, sec. Section 515 of the Treasury and substantial direct effect on the States, on 201 (codified at 2 U.S.C. 1531). For a General Government Appropriations the relationship between the national proposed regulatory action likely to Act, 2001 (44 U.S.C. 3516 note) provides government and the States, or on the result in a rule that may cause the for agencies to review most distribution of power and expenditure by State, local, and Tribal disseminations of information to the responsibilities among the various governments, in the aggregate, or by the public under guidelines established by levels of government. EPCA governs and private sector of $100 million or more each agency pursuant to general prescribes Federal preemption of State in any one year (adjusted annually for guidelines issued by OMB. OMB’s regulations as to energy conservation for inflation), section 202 of UMRA requires guidelines were published at 67 FR the products that are the subject of this a Federal agency to publish a written 8452 (Feb. 22, 2002), and DOE’s statement that estimates the resulting proposed rule. States can petition DOE guidelines were published at 67 FR costs, benefits, and other effects on the for exemption from such preemption to 62446 (Oct. 7, 2002). DOE has reviewed national economy. (2 U.S.C. 1532(a), (b)) the extent, and based on criteria, set this proposed rule under the OMB and The UMRA also requires a Federal forth in EPCA. (42 U.S.C. 6297(d)) No DOE guidelines and has concluded that further action is required by Executive agency to develop an effective process to permit timely input by elected it is consistent with applicable policies Order 13132. officers of State, local, and Tribal in those guidelines. F. Review Under Executive Order 12988 governments on a proposed ‘‘significant K. Review Under Executive Order 13211 intergovernmental mandate,’’ and Regarding the review of existing requires an agency plan for giving notice Executive Order 13211, ‘‘Actions regulations and the promulgation of and opportunity for timely input to Concerning Regulations That new regulations, section 3(a) of potentially affected small governments Significantly Affect Energy Supply, Executive Order 12988, ‘‘Civil Justice before establishing any requirements Distribution, or Use,’’ 66 FR 28355 (May Reform,’’ 61 FR 4729 (Feb. 7, 1996), that might significantly or uniquely 22, 2001), requires Federal agencies to imposes on Federal agencies the general affect small governments. On March 18, prepare and submit to OMB, a duty to adhere to the following 1997, DOE published a statement of Statement of Energy Effects for any requirements: (1) Eliminate drafting policy on its process for proposed significant energy action. A errors and ambiguity; (2) write intergovernmental consultation under ‘‘significant energy action’’ is defined as regulations to minimize litigation; (3) UMRA. 62 FR 12820; also available at any action by an agency that provide a clear legal standard for energy.gov/gc/office-general-counsel. promulgated or is expected to lead to affected conduct rather than a general DOE examined this proposed rule promulgation of a final rule, and that: standard; and (4) promote simplification according to UMRA and its statement of (1) Is a significant regulatory action policy and determined that the rule and burden reduction. Section 3(b) of under Executive Order 12866, or any contains neither an intergovernmental Executive Order 12988 specifically successor order; and (2) is likely to have mandate, nor a mandate that may result requires that Executive agencies make a significant adverse effect on the every reasonable effort to ensure that the in the expenditure of $100 million or more in any year, so these requirements supply, distribution, or use of energy; or regulation: (1) Clearly specifies the do not apply. (3) is designated by the Administrator of preemptive effect, if any; (2) clearly OIRA as a significant energy action. For specifies any effect on existing Federal H. Review Under the Treasury and any proposed significant energy action, law or regulation; (3) provides a clear General Government Appropriations the agency must give a detailed legal standard for affected conduct Act, 1999 statement of any adverse effects on while promoting simplification and Section 654 of the Treasury and energy supply, distribution, or use burden reduction; (4) specifies the General Government Appropriations should the proposal be implemented, retroactive effect, if any; (5) adequately Act, 1999 (Pub. L. 105–277) requires and of reasonable alternatives to the defines key terms; and (6) addresses Federal agencies to issue a Family action and their expected benefits on other important issues affecting clarity Policymaking Assessment for any rule energy supply, distribution, and use. and general draftsmanship under any that may affect family well-being. This This regulatory action to establish the guidelines issued by the Attorney proposed rule would not have any test procedure for measuring the energy General. Section 3(c) of Executive Order impact on the autonomy or integrity of efficiency of portable ACs is not a 12988 requires Executive agencies to the family as an institution. significant regulatory action under review regulations in light of applicable Accordingly, DOE has concluded that it Executive Order 12866. Moreover, it standards in sections 3(a) and 3(b) to is not necessary to prepare a Family would not have a significant adverse determine whether they are met or it is Policymaking Assessment. effect on the supply, distribution, or use unreasonable to meet one or more of I. Review Under Executive Order 12630 of energy, nor has it been designated as them. DOE has completed the required a significant energy action by the review and determined that, to the DOE has determined, under Executive Order 12630, ‘‘Governmental Actions Administrator of OIRA. Therefore, it is extent permitted by law, this proposed and Interference with Constitutionally not a significant energy action, and, rule meets the relevant standards of Protected Property Rights’’ 53 FR 8859 accordingly, DOE has not prepared a Executive Order 12988. (March 18, 1988) that this proposed rule Statement of Energy Effects.

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L. Review Under Section 32 of the org/ht/d/ProductDetails/sku/PAC12009/ capabilities available to webinar Federal Energy Administration Act of from/714/pid/. participants will be published on DOE’s 1974 Web site http://www1.eere.energy.gov/ V. Public Participation buildings/appliance_standards/product. Under section 301 of the Department A. Attendance at Public Meeting aspx/productid/79. Participants are of Energy Organization Act (Pub. L. 95– The time, date and location of the responsible for ensuring their systems 91; 42 U.S.C. 7101), DOE must comply are compatible with the webinar public meeting are listed in the DATES with section 32 of the Federal Energy software. Administration Act of 1974, as amended and ADDRESSES sections at the beginning by the Federal Energy Administration of this document. If you plan to attend B. Procedure for Submitting Prepared Authorization Act of 1977. (15 U.S.C. the public meeting, please notify Ms. General Statements for Distribution 788; FEAA) Section 32 essentially Brenda Edwards at (202) 586–2945 or Any person who has plans to present provides in relevant part that, where a [email protected]. a prepared general statement may proposed rule authorizes or requires use Please note that foreign nationals request that copies of his or her of commercial standards, the notice of participating in the public meeting are statement be made available at the proposed rulemaking must inform the subject to advance security screening public meeting. Such persons may public of the use and background of procedures which require advance submit requests, along with an advance such standards. In addition, section notice prior to attendance at the public electronic copy of their statement in 32(c) requires DOE to consult with the meeting. If a foreign national wishes to PDF (preferred), Microsoft Word or Attorney General and the Chairman of participate in the public meeting, please Excel, WordPerfect, or text (ASCII) file the Federal Trade Commission (FTC) inform DOE of this fact as soon as format, to the appropriate address concerning the impact of the possible by contacting Ms. Regina shown in the ADDRESSES section at the commercial or industry standards on Washington at (202) 586–1214 or by beginning of this N. The request and competition. email: [email protected] advance copy of statements must be so that the necessary procedures can be received at least one week before the As discussed in this NOPR, the completed. proposed rule incorporates testing public meeting and may be emailed, DOE requires visitors with laptop hand-delivered, or sent by mail. DOE methods contained in the following computers and other devices, such as commercial standards: AHAM PAC–1– prefers to receive requests and advance tablets, to be checked upon entry into copies via email. Please include a 2014, Portable Air Conditions; and IEC the building. Any person wishing to 62301, Household Electrical telephone number to enable DOE staff to bring these devices into the Forrestal make a follow-up contact, if needed. Appliances—Measurement of Standby Building will be required to obtain a Power. DOE has evaluated these property pass. Visitors should avoid C. Conduct of Public Meeting standards and is unable to conclude bringing these devices, or allow an extra DOE will designate a DOE official to whether they fully comply with the 45 minutes to check in. Please report to preside at the public meeting and may requirements of section 32(b) of the the visitor’s desk to have devices also use a professional facilitator to aid FEAA, (i.e., that they were developed in checked before proceeding through discussion. The meeting will not be a a manner that fully provides for public security. judicial or evidentiary-type public participation, comment, and review). Due to the REAL ID Act implemented hearing, but DOE will conduct it in DOE will consult with the Attorney by the Department of Homeland accordance with section 336 of EPCA General and the Chairwoman of the FTC Security (DHS), there have been recent (42 U.S.C. 6306). A court reporter will concerning the impact of these test changes regarding ID requirements for be present to record the proceedings and procedures on competition, prior to individuals wishing to enter Federal prepare a transcript. DOE reserves the prescribing a final rule. buildings from specific states and U.S. right to schedule the order of M. Description of Materials territories. Driver’s licenses from the presentations and to establish the Incorporated by Reference following states or territory will not be procedures governing the conduct of the accepted for building entry and one of public meeting. After the public meeting In this NOPR, DOE proposes to the alternate forms of ID listed below and until the end of the comment incorporate by reference the test will be required. DHS has determined period, interested parties may submit standard published by AHAM, titled that regular driver’s licenses (and ID further comments on the proceedings ‘‘Portable Air Conditioners,’’ AHAM cards) from the following jurisdictions and any aspect of the rulemaking. PAC–1–2014. AHAM PAC–1–2014 is an are not acceptable for entry into DOE The public meeting will be conducted industry accepted test procedure that facilities: Alaska, American Samoa, in an informal, conference style. DOE measures portable AC performance in Arizona, Louisiana, Maine, will present summaries of comments cooling mode and is applicable to Massachusetts, Minnesota, New York, received before the public meeting, products sold in North America. AHAM Oklahoma, and Washington. Acceptable allow time for prepared general PAC–1–2014 specifies testing conducted alternate forms of Photo-ID include: U.S. statements by participants, and in accordance with other industry Passport or Passport Card; an Enhanced encourage all interested parties to share accepted test procedures (already Driver’s License or Enhanced ID-Card their views on issues affecting this incorporated by reference) and issued by the states of Minnesota, New rulemaking. Each participant will be determines energy efficiency metrics for York or Washington (Enhanced licenses allowed to make a general statement various portable AC configurations. The issued by these states are clearly marked (within time limits determined by DOE), test procedure proposed in this NOPR Enhanced or Enhanced Driver’s before the discussion of specific topics. references various sections of AHAM License); a military ID or other Federal DOE will permit, as time permits, other PAC–1–2014 that address test setup, government issued Photo-ID card. participants to comment briefly on any instrumentation, test conduct, In addition, you can attend the public general statements. calculations, and rounding. AHAM meeting via webinar. Webinar At the end of all prepared statements PAC–1–2014 is readily available on registration information, participant on a topic, DOE will permit participants AHAM’s Web site at http://www.aham. instructions, and information about the to clarify their statements briefly and

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comment on statements made by others. secrets and commercial or financial or she believes to be confidential and Participants should be prepared to information (hereinafter referred to as exempt by law from public disclosure answer questions by DOE and by other Confidential Business Information should submit via email, postal mail, or participants concerning these issues. (CBI)). Comments submitted through hand delivery two well-marked copies: DOE representatives may also ask regulations.gov cannot be claimed as One copy of the document marked questions of participants concerning CBI. Comments received through the confidential including all the other matters relevant to this Web site will waive any CBI claims for information believed to be confidential, rulemaking. The official conducting the the information submitted. For and one copy of the document marked public meeting will accept additional information on submitting CBI, see the non-confidential with the information comments or questions from those Confidential Business Information believed to be confidential deleted. attending, as time permits. The section. Submit these documents via email or on presiding official will announce any DOE processes submissions made a CD, if feasible. DOE will make its own further procedural rules or modification through regulations.gov before posting. determination about the confidential of the above procedures that may be Normally, comments will be posted status of the information and treat it needed for the proper conduct of the within a few days of being submitted. according to its determination. public meeting. However, if large volumes of comments Factors of interest to DOE when A transcript of the public meeting will are being processed simultaneously, evaluating requests to treat submitted be included in the docket, which can be your comment may not be viewable for information as confidential include: (1) viewed as described in the Docket up to several weeks. Please keep the A description of the items; (2) whether section at the beginning of this notice. comment tracking number that and why such items are customarily In addition, any person may buy a copy regulations.gov provides after you have treated as confidential within the of the transcript from the transcribing successfully uploaded your comment. industry; (3) whether the information is reporter. Submitting comments via email, hand generally known by or available from delivery, or mail. Comments and D. Submission of Comments other sources; (4) whether the documents submitted via email, hand information has previously been made DOE will accept comments, data, and delivery, or mail also will be posted to available to others without obligation information regarding this proposed regulations.gov. If you do not want your concerning its confidentiality; (5) an rule before or after the public meeting, personal contact information to be explanation of the competitive injury to but no later than the date provided in publicly viewable, do not include it in the submitting person which would the DATES section at the beginning of your comment or any accompanying result from public disclosure; (6) when this proposed rule. Interested parties documents. Instead, provide your such information might lose its may submit comments using any of the contact information on a cover letter. confidential character due to the methods described in the ADDRESSES Include your first and last names, email passage of time; and (7) why disclosure section at the beginning of this notice. address, telephone number, and of the information would be contrary to Submitting comments via optional mailing address. The cover the public interest. www.regulations.gov. The letter will not be publicly viewable as It is DOE’s policy that all comments regulations.gov Web page will require long as it does not include any may be included in the public docket, you to provide your name and contact comments. information. Your contact information Include contact information each time without change and as received, will be viewable to DOE Building you submit comments, data, documents, including any personal information Technologies staff only. Your contact and other information to DOE. If you provided in the comments (except information will not be publicly submit via mail or hand delivery, please information deemed to be exempt from viewable except for your first and last provide all items on a CD, if feasible. It public disclosure). names, organization name (if any), and is not necessary to submit printed E. Issues on Which DOE Seeks Comment submitter representative name (if any). copies. No facsimiles (faxes) will be Although DOE welcomes comments If your comment is not processed accepted. on any aspect of this proposal, DOE is properly because of technical Comments, data, and other particularly interested in receiving difficulties, DOE will use this information submitted to DOE comments and views of interested information to contact you. If DOE electronically should be provided in parties concerning the following issues: cannot read your comment due to PDF (preferred), Microsoft Word or technical difficulties and cannot contact Excel, WordPerfect, or text (ASCII) file 1.The description and definition for you for clarification, DOE may not be format. Provide documents that are not residential and commercial portable ACs, able to consider your comment. secured, written in English and free of different configurations, and the clarification However, your contact information any defects or viruses. Documents that commercial portable ACs are not considered a covered product. (See section will be publicly viewable if you include should not contain special characters or III.A.) it in the comment or in any documents any form of encryption and, if possible, 2.The definitions for active mode, cooling attached to your comment. Any they should carry the electronic mode, and heating mode. DOE also seeks information that you do not want to be signature of the author. information on annual hours associated with publicly viewable should not be Campaign form letters. Please submit the consumer initiated air-circulation mode. included in your comment, nor in any campaign form letters by the originating (See section III.B.1.) document attached to your comment. organization in batches of between 50 to 3.The proposal that AHAM PAC–1–2014 Persons viewing comments will see only 500 form letters per PDF or as one form be used as the basis for the test procedure first and last names, organization letter with a list of supporters’ names proposed in this NOPR (See section compiled into one or more PDFs. This III.B.1.a.i.) names, correspondence containing 4.The proposal to modify the cooling comments, and any documents reduces comment processing and capacity equation as included in AHAM submitted with the comments. posting time. PAC–1–2014 to address the effects of Do not submit to www.regulations.gov Confidential Business Information. infiltration air. In addition, DOE welcomes information for which disclosure is According to 10 CFR 1004.11, any input on the proposed infiltration air restricted by statute, such as trade person submitting information that he conditions of 95 °F dry-bulb temperature and

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° th 75.2 F wet-bulb temperature. (See section VI. Approval of the Office of the xi is the i sample; and III.B.1.a.ii.) Secretary n is the number of units in the test sample. 5.The proposal to specify a more stringent Or, evaporator inlet air stream dry-bulb The Secretary of Energy has approved temperature tolerance for single-duct units publication of this proposed rule. (B) The upper 95 percent confidence limit (UCL) of the true mean divided by and to not consider the effects of condenser List of Subjects exhaust air and inlet air mixing for dual-duct 1.10: units. (See sectionIII.B.1.a.iii.) 10 CFR Part 429 6.The proposal to use the manufacturer- supplied ducting components during Administrative practice and performance testing and the approach to procedure, Buildings and facilities, characterize and determine the condenser Business and industry, Energy Where: duct(s) heat transfer to the conditioned space. conservation, Grant programs-energy, x¯ is the sample mean; (See section III.B.1.a.iv.) Housing, Reporting and recordkeeping s is the sample standard deviation; 7.The proposal and approach to include requirements, Technical assistance. n is the number of units in the test sample; case heat transfer effects instead of the and evaporator fan heat, based on the average 10 CFR Part 430 t0.95 is the t statistic for a 95% one-tailed case surface temperature and temperature. Administrative practice and confidence interval with n ¥ 1 degrees (See section III.B.1.a.v.) of freedom. 8. The test setup for portable ACs with and procedure, Confidential business without means for auto-evaporation to information, Energy conservation, And, remove the collected condensate, including Household appliances, Imports, (ii) Any represented value of the the use of any internal pump only if it is Incorporation by reference, cooling or heating energy efficiency specified by the manufacturer for use during Intergovernmental relations, Small ratio, combined energy efficiency ratio, typical cooling operation. (See section businesses. or other measure of energy consumption III.B.1.a.vi.) Issued in Washington, DC, on February 12, of a basic model for which consumers 9. The proposed control settings for cooling 2015. would favor higher values shall be less mode and heating mode testing, which Kathleen B. Hogan, than or equal to the lower of: would require selecting the highest fan (A) The mean of the sample: speed, for units with user-adjustable fan Deputy Assistant Secretary for Energy speed, and the lowest and highest available Efficiency, Energy Efficiency and Renewable temperature settings for cooling mode and Energy. heating mode, respectively. Also, the For the reasons stated in the proposed clarification that all portable AC preamble, DOE proposes to amend parts performance testing be conducted with the maximum louver opening and, where 429 and 430 of Chapter II of Title 10, Where: applicable, with the louver oscillation feature Code of Federal Regulations as set forth x¯ is the sample mean; th disabled throughout testing. (See section below: xi is the i sample; and III.B.1.a.vii.) n is the number of units in the test sample. PART 429—CERTIFICATION, 10. The proposed minimum clearance Or, COMPLIANCE, AND ENFORCEMENT between the test unit and chamber wall (B) The lower 95 percent confidence surfaces. (See section III.B.1.a.viii.) FOR CONSUMER PRODUCTS AND limit (LCL) of the true mean divided by 11. The proposed test setup, standard COMMERCIAL AND INDUSTRIAL 0.90: rating conditions, and conduct for EQUIPMENT determining heating mode performance for portable ACs. (See section III.B.1.b.) ■ 1. The authority citation for part 429 12. The provisions for measuring energy continues to read as follows: consumption in off-cycle mode, including the use of the maximum speed setting for Authority: 42 U.S.C. 6291–6317. Where: those units with adjustable fan speed ■ 2. Add § 429.62 to read as follows: x¯ is the sample mean; settings, the measurement period s is the sample standard deviation; specifications. DOE seeks comment on § 429.62 Portable Air Conditioners. n is the number of units in the test sample; whether off-cycle mode energy consumption (a) Sampling plan for selection of and is independent of ambient conditions. (See units for testing. (1) The requirements of t0.95 is the t statistic for a 95% one-tailed section III.B.2.) confidence interval with n ¥ 1 degrees § 429.11 are applicable to portable air of freedom. 13. The proposed definitions and conditioners; and provisions for measuring energy And, consumption in various standby modes and (2) For each basic model of portable air conditioner, a sample of sufficient (3) The value of cooling or heating off mode. (See section III.B.3.) mode capacity of a basic model shall be 14. The proposed equation for calculating size shall be randomly selected and individual cooling combined energy tested to ensure that— the mean of the capacities for each tested unit of the basic model. Round efficiency ratio (CEERcm) and an overall CEER (i) Any represented value of energy that incorporates performance in both consumption or other measure of energy the mean capacity value to the nearest cooling and heating modes, in addition to consumption of a basic model for which 50, 100, 200, or 500 Btu/h, depending other low power modes. DOE also seeks consumers would favor lower values on the value being rounded, in comment on the proposed annual operating shall be greater than or equal to the accordance with Table 1 of PAC–1– hours and their implementation for higher of: 2014, ‘‘Multiples for reporting Dual calculating the CEERcm and CEER. (See (A) The mean of the sample: Duct Cooling Capacity, Single Duct section III.B.4.) Cooling Capacity, Spot Cooling 15. The proposed reporting requirements including the sampling plan and rounding Capacity, Water Cooled Condenser instructions. (See section III.C.) Capacity and Power Input Ratings.’’ 16. The testing burden, including DOE’s (4) The value of energy efficiency determination that the test would not be ratio or combined energy efficiency ratio unduly burdensome to conduct. (See section Where: of a basic model shall be the mean of the III.D.1.) x¯ is the sample mean; efficiency metric for each tested unit of

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the basic model. Round energy heating function, the adjusted heating may draw additional condenser inlet air efficiency ratio or combined energy capacity, expressed in Btu/h, and the from the conditioned space. The efficiency ratio to the, to the nearest 0.1 total combined energy efficiency ratio, condenser outlet air is discharged Btu/Wh. expressed in Btu/W-h, for portable air outside the conditioned space by means (b) [Reserved] conditioners, shall be measured in of a separate duct. accordance with section 5 of appendix 2.5 Energy efficiency ratio for PART 430—ENERGY CONSERVATION CC of this subpart. portable air conditioners means a PROGRAM FOR CONSUMER (2) The estimated annual operating measure of energy efficiency of a PRODUCTS cost for portable air conditioners in portable air conditioner calculated by ■ 3. The authority citation for part 430 cooling mode, expressed in dollars per dividing the cooling mode or heating continues to read as follows: year, shall be determined by mode capacity by the power multiplying the following two factors: consumption in that mode, measured in Authority: 42 U.S.C. 6291–6309; 28 U.S.C. (i) The sum of the AECcm and AECT Btu per watt-hours (Btu/Wh). 2461 note. as measured using the ‘‘Cooling Only’’ 2.6 Heating mode means an active ■ 4. Section 430.2 is amended by adding operating hours in accordance with mode in which a portable air the definition of ‘‘portable air section 5.4 of appendix CC of this conditioner has activated the main conditioner’’ in alphabetical order to subpart, and heating function according to the read as follows: (ii) A representative average unit cost thermostat or temperature sensor signal, including activating a resistance heater, § 430.2 Definitions. of electrical energy in dollars per kilowatt-hour as provided by the the refrigeration system with a reverse * * * * * Secretary, the resulting product then refrigerant flow valve, or the fan or Portable air conditioner means an being rounded off to the nearest dollar blower without activation of the encased assembly, other than a per year. resistance heater or refrigeration system. ‘‘packaged terminal air conditioner,’’ ■ 7. Add appendix CC to read as 2.7 IEC 62301 means the test ‘‘room air conditioner,’’ or follows: standard published by the International ‘‘dehumidifier,’’ designed as a portable Electrotechnical Commission, titled unit for delivering cooled, conditioned Appendix CC to Subpart B of Part 430— ‘‘Household electrical appliances– air to an enclosed space, that is powered Uniform Test Method for Measuring the Measurement of standby power,’’ by single-phase electric current, which Energy Consumption of Portable Air Publication 62301 (Edition 2.0 2011–01) may rest on the floor or other elevated Conditioners (incorporated by reference; see § 430.3). surface. It includes a source of 1. Scope 2.8 Inactive mode means a standby refrigeration and may include additional mode that facilitates the activation of means for air circulation and heating. This appendix covers the test active mode by remote switch * * * * * requirements used to measure the (including remote control), internal ■ 5. Section 430.3 is amended by adding energy performance of single-duct and sensor, or timer, or that provides paragraph (h)(8) and revising paragraph dual-duct portable air conditioners. It continuous status display. (o)(4) to read as follows: does not contain testing provisions for 2.9 Off-cycle mode means a mode in measuring the energy performance of which a portable air conditioner: § 430.3 Materials incorporated by spot coolers at this time. (1) Has cycled off its main heating or reference. 2. Definitions cooling function by thermostat or * * * * * temperature sensor signal; (h) * * * 2.1 Active mode means a mode in (2) May or may not operate its fan or (8) AHAM PAC–1–2014, Portable Air which a portable air conditioner is blower; and Conditioners, 2014, IBR approved for connected to a mains power source, has (3) Will reactivate the main cooling or appendix CC to subpart B. been activated, and is performing the heating function according to the * * * * * main functions of cooling or heating the thermostat or temperature sensor signal. (o) * * * conditioned space, circulating air 2.10 Off mode means a mode in (4) IEC 62301 (‘‘IEC 62301’’), through activation of its fan or blower which a portable air conditioner is Household electrical appliances— without activation of the refrigeration connected to a mains power source and Measurement of standby power, system, or defrosting the refrigerant coil. is not providing any active mode or (Edition 2.0, 2011–01), IBR approved for 2.2 AHAM PAC–1 means the test standby mode function, and where the appendices C1, D1, D2, G, H, I, J2, N, O, standard published by the Association mode may persist for an indefinite time. P, X, and CC to subpart B. of Home Appliance Manufacturers, An indicator that only shows the user * * * * * titled ‘‘Portable Air Conditioners,’’ that the portable air conditioner is in the ■ 6. Section 430.23 is amended by AHAM PAC–1–2014 (incorporated by off position is included within the adding paragraph (dd) to read as reference; see § 430.3). classification of an off mode. follows: 2.3 Cooling mode means an active 2.11 Product capacity for portable mode in which a portable air air conditioners means a measure of § 430.23 Test procedures for the conditioner has activated the main either the cooling or heating, measured measurement of energy and water cooling function according to the in Btu/h, provided to the indoor consumption. thermostat or temperature sensor signal, conditioned space, measured under the * * * * * including activating the refrigeration specified ambient conditions for each (dd) Portable air conditioners. (1) The system or the fan or blower without active mode. Separate product adjusted cooling capacity, expressed in activation of the refrigeration system. capacities are calculated for cooling and British thermal units per hour (Btu/h), 2.4 Dual-duct portable air heating modes. the combined energy efficiency ratio in conditioner means a portable air 2.12 Single-duct portable air cooling mode, expressed in British conditioner that draws some or all of the conditioner means a portable air thermal units per Watts per hour (Btu/ condenser inlet air from outside the conditioner that draws all of the W-h), and, for units equipped with a conditioned space through a duct, and condenser inlet air from the conditioned

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space without the means of a duct, and drain plug installed as shipped and do 3.2.1 Installation requirements. For discharges the condenser outlet air not provide other means of condensate the standby mode and off mode testing, outside the conditioned space through a removal. If the internal condensate install the portable air conditioner in single duct. collection bucket fills during the test, accordance with Section 5, Paragraph 2.13 Spot cooler means a portable halt the test, remove the drain plug, 5.2 of IEC 62301 (incorporated by air conditioner that draws condenser install a gravity drain line, and start the reference; see § 430.3), disregarding the inlet air from and discharges condenser test from the beginning. If no auto- provisions regarding batteries and the outlet air to the conditioned space, and evaporative feature is available, remove determination, classification, and draws evaporator inlet air from and the drain plug and install a gravity drain testing of relevant modes. discharges evaporator outlet air to a line. If no auto-evaporative feature or 3.2.2 Electrical energy supply. localized zone within the conditioned gravity drain is available and a 3.2.2.1 Electrical supply. For the space. condensate pump is included, or if the standby mode and off mode testing, 2.14 Standby mode means any mode manufacturer specifies the use of an maintain the input standard voltage at where a portable air conditioner is included condensate pump during 115 V ±1 percent. Maintain the connected to a mains power source and cooling mode operation, then test the electrical supply at the rated frequency offers one or more of the following user- portable air conditioner with the ±1 percent. oriented or protective functions which condensate pump enabled. For units 3.2.2.2 Supply voltage waveform. may persist for an indefinite time: that shall be tested with a condensate For the standby mode and off mode (1) To facilitate the activation of other pump, apply the provisions in Section testing, maintain the electrical supply modes (including activation or 7.1.2 of AHAM PAC–1–2014 voltage waveform indicated in Section deactivation of active mode) by remote (incorporated by reference; see § 430.3) 4, Paragraph 4.3.2 of IEC 62301 switch (including remote control), if the pump cycles on and off. (incorporated by reference; see § 430.3). internal sensor, or timer; or 3.1.1.4 Unit Placement. The 3.2.3 Standby mode and off mode (2) Continuous functions, including evaporator inlet (condenser inlet in wattmeter. The wattmeter used to information or status displays heating mode) must be no less than 6 measure standby mode and off mode (including clocks) or sensor-based feet from any test chamber wall surface. power consumption must meet the functions. A timer is a continuous clock For single-duct units, the condenser requirements specified in Section 4, function (which may or may not be inlet (evaporator inlet in heating mode) Paragraph 4.4 of IEC 62301 associated with a display) that provides must be no less than 6 feet from any (incorporated by reference; see § 430.3). regular scheduled tasks (e.g., switching) other wall surface. Additionally, there 3.2.4 Standby mode and off mode and that operates on a continuous basis. must be no less than 3 feet between any ambient temperature. For standby mode wall surfaces and the other surfaces of and off mode testing, maintain room 3. Test Apparatus and General the portable air conditioner with no air ambient air temperature conditions as Instructions inlet or exhaust. specified in Section 4, Paragraph 4.2 of 3.1 Active mode. 3.1.1.5 Electrical supply. For active IEC 62301 (incorporated by reference; 3.1.1 Test conduct. The test mode testing, maintain the input see § 430.3). apparatus and instructions for testing standard voltage at 115 V ±1 percent. 3.2.5 Duct temperature portable air conditioners in cooling Test at the rated frequency, maintained measurements. Measure the surface mode and heating mode shall conform within ±1 percent. temperatures of each duct using four to the requirements specified in Section 3.1.2 Control settings. Set the equally spaced thermocouples per duct, 4, ‘‘Definitions’’ and Section 7, ‘‘Tests,’’ controls to the lowest available adhered to the outer surface of the entire of AHAM PAC–1–2014 (incorporated by temperature setpoint for cooling mode length of the duct. Temperature reference; see § 430.3), except as and the highest available temperature measurements must be accurate to otherwise specified in this appendix. setpoint for heating mode. If the within ±0.5 °F. Measure duct heat transfer, case heat portable air conditioner has a user- 3.2.6 Case temperature transfer, and infiltration air heat transfer adjustable fan speed, select the measurements. Measure case surface according to section 4.1.1.1, section maximum fan speed setting. If the temperatures using four equally spaced 4.1.1.2, and section 4.1.1.3 of this portable air conditioner has an thermocouples adhered to each of the appendix, respectively. automatic louver oscillation feature, six case surfaces: front, right, left, back, 3.1.1.1 Duct setup. Use ducting disable that feature throughout testing. top, and bottom. Place the components provided by the If the louver oscillation feature is thermocouples in a configuration that manufacturer during active mode included but there is no option to ensures that the case surface, when testing, including, where provided by disable it, testing shall proceed with the divided into quadrants, contains at least the manufacturer, ducts, connectors for louver oscillation enabled. If the one thermocouple in each quadrant. If attaching the duct(s) to the test unit, and portable air conditioner has adjustable an evenly spaced case surface window mounting fixtures. Do not louvers, position the louvers parallel temperature thermocouple would apply additional sealing or insulation. with the airflow to maximize air flow otherwise be placed on an air inlet or 3.1.1.2 Single-duct evaporator inlet and minimize static pressure loss. exhaust grille, place the thermocouple test conditions. When testing single- 3.1.3 Measurement resolution and adjacent to the inlet or exhaust grille, as duct units, maintain the evaporator inlet rounding. Record measurements at the close as possible to even spacing with (or condenser inlet for heating mode) resolution of the test instrumentation. the other thermocouples on that surface. dry-bulb temperature within a range of Round the final cooling and heating Temperature measurements must be 1.0 °F with an average difference of 0.3 capacity values in accordance with accurate to within ±0.5 °F. °F. Table 1 of AHAM PAC–1–2014 3.1.1.3 Condensate Removal— (incorporated by reference; see § 430.3). 4. Test Measurement Cooling Mode. Setup the test unit in Round EERcm, EERhm, CEERcm, and 4.1 Active mode. accordance with manufacturer CEER, as calculated in section 5 of this 4.1.1 Cooling mode. Measure the instructions. If the unit has an auto- appendix, to the nearest 0.1 Btu/Wh. indoor room cooling capacity, evaporative feature, keep any provided 3.2 Standby mode and off mode. Capacitycm, in accordance with Section

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7.1.b of AHAM PAC–1–2014 j represents the condenser exhaust duct 4.1.1.3 Infiltration Air Heat (incorporated by reference; see § 430.3). and, for dual-duct units, condenser inlet Transfer. Measure the heat contribution Measure the overall power input in duct. from infiltration air for single-duct units cooling mode, P , in Watts, in Tei is the average evaporator inlet air dry- and dual-duct units that draw at least cm bulb temperature, in °F. accordance with Section 7.1.c of AHAM part of the condenser air from the PAC–1–2014 (incorporated by reference; 4.1.1.2 Case Heat Transfer. conditioned space. The dry air mass see § 430.3). Determine the average surface flow rate of infiltration air shall be 4.1.1.1 Duct Heat Transfer. Measure temperature, Tcase_k, for each side of the calculated according to the following. the surface temperature of the test unit case by averaging the four condenser exhaust duct and condenser temperature measurements on that side. inlet duct, where applicable, calculating Calculate the surface area of each case the average temperature on each duct side as the product of the two primary (Tduct_j) from the average of the four surface dimensions. Calculate the temperature measurements taken on surface area of the case side according that duct. Calculate the surface area to the following: _ (Aduct j) of each duct according to the Acase_k = D1_k × D2_k following: Where: Where: _ × × m˙ sd is the dry air mass flow rate of infiltration Aduct j = p dj Lj D1_k and D2_k are the two primary air for a single-duct unit, in pounds per Where: dimensions of the case side ‘‘k’’ exposed to ambient air. minute (lb/m). dj is the outer diameter of duct ‘‘j’’. m˙ dd is the dry air mass flow rate of Lj is the extended length of duct ‘‘j’’ while Calculate the heat transferred from all infiltration air for a dual-duct unit, in lb/ under test. case sides to the indoor conditioned m. j represents the condenser exhaust duct and, space according to the following: Vco is the volumetric flow rate of the for dual-duct units, condenser inlet duct. condenser outlet air, in cubic feet per Qcase_cm = Sk{h × Acase_k × (Tcase_k ¥ Calculate the total heat transferred minute (cfm). Tei)} from the surface of the duct(s) to the Vci is the volumetric flow rate of the indoor conditioned space while Where: condenser inlet air, in cfm. operating in cooling mode as follows. Qcase_cm is the total heat transferred from all rco is the density of the condenser outlet air, 3 case sides to the indoor conditioned in pounds mass per cubic foot (lbm/ft ). Qduct_cm = Sj{h × Aduct_j × (Tduct_j ¥ Tei)} space in cooling mode. rci is the density of the condenser inlet air, 3 Where: h is the convection coefficient, 4 Btu/h per in lbm/ft . Qduct_cm is the total heat transferred from the square foot per °F. wco is the humidity ratio of condenser outlet duct(s) to the indoor conditioned space k represents the case sides, including front, air, in pounds mass of water vapor per in cooling mode. back, right, left, top, and bottom. pounds mass of dry air (lbw/lbda). h is the convection coefficient, 4 Btu/h per Acase_k is the surface area of case side ‘‘k’’, wci is the humidity ratio of condenser inlet square foot per °F. in square feet. air, in lbw/lbda. Aduct_j is the surface area of duct ‘‘j’’, in Tcase_k is the average surface temperature of square feet. case side ‘‘k’’, in °F. Calculate the sensible component of Tduct_j is the average surface temperature for Tei is the average evaporator inlet air dry-bulb infiltration air heat contribution duct ‘‘j’’, in °F. temperature, in °F. according to the following:

Where: Calculate the latent heat contribution Qinfiltration_cm = Qs + Ql Qs is the sensible heat added to the room by of the infiltration air according to the Where: infiltration air, in Btu/h. following:: Qinfiltration_cm is the total infiltration air heat in m˙ is the dry air mass flow rate of infiltration cooling mode, in Btu/h. air, Qs is the sensible heat added to the room by m˙ SD or infiltration air, in Btu/h. m˙ DD, in lb/m. Q is the latent heat added to the room by Where: l cp_da is the specific heat of dry air, 0.24 Btu/ infiltration air, in Btu/h. lb -°F. Ql is the latent heat added to the room by m infiltration air, in Btu/h. 4.1.2 Heating Mode. Measure the c _ is the specific heat of water vapor, p wv m˙ is the mass flow rate of infiltration air, indoor room heating capacity, 0.444 Btu/lbm-°F. m˙ SD or Capacityhm, overall power input in wia is the humidity ratio of the infiltration air, m˙ DD, in lb/m. heating mode, Phm, duct heat transfer, 0.0141 lbw/lbda. wia is the humidity ratio of the infiltration air, Qduct_hm, case heat transfer, Qcase_hm, and wei is the humidity ratio of the evaporator 0.0141 lbw/lbda. infiltration air heat transfer, Qinfiltration_ inlet air, in lbw/lbda. wei is the humidity ratio of the evaporator , as for cooling in section 4.1.1 of this inlet air, in lb /lb . hm 60 is the conversion factor from minutes to w da appendix, except that: (1) The terms Hfg is the latent heat of vaporization for water hours. ‘‘Evaporator’’ and ‘‘Condenser’’ shall T is the indoor chamber dry-bulb vapor, 1061 Btu/lbm. ei refer to the heat exchanger configuration temperature measured at the evaporator 60 is the conversion factor from minutes to hours. in cooling mode, not the reverse cycle inlet, in °F. The total heat contribution of the heating mode; (2) the resulting T is the infiltration air dry-bulb ia infiltration air is the sum of the sensible Capacity shall be multiplied by ¥1 to temperature, 95 °F. hm and latent heat: convert from cooling capacity to heating

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capacity; and (3) the temperatures used in place of the standard rating PAC–1–2014 (incorporated by reference; provided in the table below shall be conditions found in Table 2 of AHAM see § 430.3).

Evaporator inlet air, °F (°C) Condenser inlet air, °F (°C) Test Configuration from table 2 in AHAM PAC–1–2014 Dry-bulb Wet-bulb Dry-bulb Wet-bulb

3 ...... 70.0 (21.1) 60.0 (15.6) 47.0 (8.33) 43.0 (6.11) 5 ...... 70.0 (21.1) 60.0 (15.6) 70.0 (21.1) 60.0 (15.6)

4.2 Off-cycle mode. Establish the test for portable air conditioners, ACC, Pcm is the overall power input in cooling conditions specified in section 3.1.1 of expressed in Btu/h, according to the mode, in watts, measured in section this appendix, except that the wattmeter following: 4.1.1 of this appendix. P is the overall power input in heating specified in section 3.2.3 of this ¥ _ ¥ _ hm ACC = Capacitycm Qduct cm Qcase cm mode, in watts, measured in section appendix shall be used. Begin the off- ¥ Qinfiltration_cm 4.1.2 of this appendix. cycle mode test period 5 minutes following the cooling mode test period. Where: 5.4 Annual Energy Consumption. Adjust the setpoint higher than the Capacitycm is the cooling capacity measured Calculate the annual energy in section 4.1.1 of this appendix. ambient temperature to ensure the _ consumption in each operating mode, Qduct cm is the duct heat transfer while AEC expressed in kilowatt-hours per product will not enter cooling mode and operating in cooling mode, measured in m, begin the test 5 minutes after the section 4.1.1.1 of this appendix. year (kWh/year). The annual hours of compressor cycles off due to the change Qcase_cm is the case heat transfer while operation in each mode are estimated as in setpoint. The off-cycle mode test operating in cooling mode, measured in follows: period shall be 2 hours in duration, section 4.1.1.2 of this appendix. during which the power consumption is Qinfiltration_cm is the infiltration air heat Annual operating hours recorded at the same intervals as transfer while operating in cooling mode, for calculating: measured in section 4.1.1.3 of this Operating mode recorded for cooling mode testing. Cooling and Measure and record the average off- appendix. Cooling only heating cycle mode power of the portable air 5.2 Adjusted Heating Capacity. Cooling ...... 750 750 conditioner, Poc, in watts. Calculate the adjusted heating capacity Heating ...... 0 1,008 4.3 Standby mode and off mode. for portable air conditioners, AHC, Establish the testing conditions set forth Off-Cycle ...... 880 2,063 expressed in Btu/h, according to the Inactive or Off ... 1,355 1,704 in section 3.2 of this appendix, ensuring following: that the portable air conditioner does AHC = Capacityhm + Qduct_hm + Qcase_hm AECm = Pm × tm × k not enter any active modes during the + Qinfiltration_hm test. For portable air conditioners that Where: Where: take some time to enter a stable state AECm is the annual energy consumption in from a higher power state as discussed Capacityhm is the heating capacity measured each mode, in kWh/year. in Section 5, Paragraph 5.1, Note 1 of in section 4.1.2 of this appendix. Pm is the average power in each mode, in Qduct_hm is the duct heat transfer while watts. IEC 62301, (incorporated by reference; operating in heating mode, measured in t is the number of annual operating time in see § 430.3), allow sufficient time for the section 4.1.2 of this appendix. each mode, in hours. portable air conditioner to reach the Qcase_hm is the case heat transfer while m represents the operating mode (‘‘cm’’ lowest power state before proceeding operating in heating mode, measured in cooling, ‘‘hm’’ heating, ‘‘oc’’ off-cycle, with the test measurement. Follow the section 4.1.2 of this appendix. and ‘‘ia’’ inactive or ‘‘om’’ off mode). _ test procedure specified in Section 5, Qinfiltration hm is the infiltration air heat k is 0.001 kWh/Wh conversion factor from Paragraph 5.3.2 of IEC 62301 transfer while operating in heating mode, watt-hours to kilowatt-hours. (incorporated by reference; see § 430.3) measured in section 4.1.2 of this appendix. Total annual energy consumption in for testing in each possible mode as all modes except cooling and heating, is described in sections 4.2.1 and 4.2.2 of 5.3 Energy Efficiency Ratio. calculated according to the following: this appendix. Calculate the cooling energy efficiency AECT = Sm AECm 4.3.1 If the portable air conditioner ratio, EERcm, and heating energy Where: has an inactive mode, as defined in efficiency ratio, EERhm, both expressed section 2.8 of this appendix, but not an in Btu/Wh, according to the following: AECT is the total annual energy consumption off mode, as defined in section 2.10 of attributed to all modes except cooling this appendix, measure and record the and heating, in kWh/year; average inactive mode power of the AECm is the total annual energy consumption portable air conditioner, P , in watts. in each mode, in kWh/year. ia m represents the operating modes included 4.3.2 If the portable air conditioner in AECT (‘‘oc’’ off-cycle, and ‘‘im’’ has an off mode, as defined in section inactive or ‘‘om’’ off mode). 2.10 of this appendix, measure and record the average off mode power of 5.5 Combined Energy Efficiency Ratio in Cooling Mode. Using the annual the portable air conditioner, Pom, in Where: watts. operating hours for cooling only, as ACC is the adjusted cooling capacity, in Btu/ outlined in section 5.4 of this appendix, h, calculated in section 5.1 of this 5. Calculation of Derived Results From calculate the cooling mode combined Test Measurements appendix. AHC is the adjusted heating capacity, in Btu/ energy efficiency ratio, CEERcm, 5.1 Adjusted Cooling Capacity. h, calculated in section 5.2 of this expressed in Btu/Wh, according to the Calculate the adjusted cooling capacity appendix. following:

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AECcm is the annual energy consumption in 5.6 Total Combined Energy cooling mode, in kWh/year, calculated in Efficiency Ratio. For units with heating section 5.4 of this appendix. and cooling modes, use the annual AECT is the total annual energy consumption operating hours for cooling and heating, Where: attributed to all modes except cooling as outlined in section 5.4 of this and heating, in kWh/year, calculated in CEERcm is the combined energy efficiency appendix to calculate the total ratio in cooling mode, in Btu/Wh. section 5.4 of this appendix. combined energy efficiency ratio, CEER, ACC is the adjusted cooling capacity, in Btu/ t is the number of hours per year, 8,760. expressed in Btu/Wh. For units with no h, calculated in section 5.1 of this k is 0.001 kWh/Wh conversion factor for heating mode, CEER shall be equal to watt-hours to kilowatt-hours. appendix. CEERcm, calculated as described in section 5.5 of this appendix.

Where: AECcm is the annual energy consumption in and heating, in kWh/year, calculated in ACC is the adjusted cooling capacity, in Btu/ cooling mode, in kWh/year, calculated in section 5.4 of this appendix. h, calculated in section 5.1 of this section 5.4 of this appendix. t is the number of hours per year, 8,760. appendix. AEChm is the annual energy consumption in k is 0.001 kWh/Wh conversion factor for AHC is the adjusted heating capacity, in Btu/ heating mode, in kWh/year, calculated in watt-hours to kilowatt-hours. h, calculated in section 5.2 of this section 5.4 of this appendix. [FR Doc. 2015–03589 Filed 2–24–15; 8:45 am] appendix. AECT is the total annual energy consumption hcm and hhm are the cooling and heating mode attributed to all modes except cooling BILLING CODE 6450–01–P operating hours, respectively.

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Part III

Department of Commerce

National Oceanic and Atmospheric Administration 50 CFR Part 679 Fisheries of the Exclusive Economic Zone Off Alaska; Gulf of Alaska; Final 2015 and 2016 Harvest Specifications for Groundfish; Final Rule

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DEPARTMENT OF COMMERCE Alaska (FMP). The Council prepared the sectors of trawl catcher/processors, FMP under the authority of the trawl catcher vessels participating in the National Oceanic and Atmospheric Magnuson-Stevens Fishery Central GOA Rockfish Program, and Administration Conservation and Management Act trawl catcher vessels not participating in (Magnuson-Stevens Act), 16 U.S.C. 1801 the Central GOA Rockfish Program 50 CFR Part 679 et seq. Regulations governing U.S. fishing for groundfish species other than [Docket No. 140918791–4999–02] fisheries and implementing the FMP pollock. The pollock directed fishery is appear at 50 CFR parts 600, 679, and not included in the Council’s RIN 0648–XD516 680. recommended action, as that fishery is The FMP and its implementing already subject to Chinook salmon PSC Fisheries of the Exclusive Economic regulations require NMFS, after limits (§ 679.21(h)). Zone Off Alaska; Gulf of Alaska; Final consultation with the Council, to NMFS published a notice of 2015 and 2016 Harvest Specifications specify the total allowable catch (TAC) availability for Amendment 97 on June for Groundfish for each target species, the sum of which 5, 2014 (79 FR 32525). On , AGENCY: National Marine Fisheries must be within the optimum yield (OY) 2014, the Secretary of Commerce Service (NMFS), National Oceanic and range of 116,000 to 800,000 metric tons (Secretary) approved Amendment 97. Atmospheric Administration (NOAA), (mt). Section 679.20(c)(1) further The proposed rule that would Commerce. requires NMFS to publish and solicit implement Amendment 97 published public comment on proposed annual on June 25, 2014 (79 FR 35971), with ACTION: Final rule; harvest specifications public comments accepted through July and closures. TACs, Pacific halibut prohibited species catch (PSC) limits, and seasonal 25, 2014. The proposed rule contains a SUMMARY: NMFS announces final 2015 allowances of pollock and Pacific cod. description of the affected management and 2016 harvest specifications, Upon consideration of public comment areas and groundfish fisheries, the non- apportionments, and Pacific halibut received under § 679.20(c)(1), NMFS pollock trawl groundfish fisheries and prohibited species catch limits for the must publish notice of final harvest associated sectors, the history and goals groundfish fishery of the Gulf of Alaska specifications for up to two fishing years of Amendment 97, and the provisions of (GOA). This action is necessary to as annual target TAC, per the proposed action. Those provisions establish harvest limits for groundfish § 679.20(c)(3)(ii). The final harvest include proposed Chinook salmon PSC during the 2015 and 2016 fishing years specifications set forth in Tables 1 limits by sector, seasonal allocations, and to accomplish the goals and through 36 of this document reflect the and other aspects associated with the objectives of the Fishery Management outcome of this process, as required at implementation of Chinook salmon PSC Plan for Groundfish of the GOA. The § 679.20(c). limits for the non-pollock trawl intended effect of this action is to The proposed 2015 and 2016 harvest groundfish fisheries in the Western and Central GOA. One provision that could conserve and manage the groundfish specifications for groundfish of the GOA affect the 2016 Chinook salmon PSC resources in the GOA in accordance and Pacific halibut PSC limits were limits is the ‘‘incentive buffer.’’ This with the Magnuson-Stevens Fishery published in the Federal Register on mechanism provides for an increased Conservation and Management Act. December 8, 2014 (79 FR 72593). annual Chinook salmon PSC limit if DATES: Harvest specifications and Comments were invited and accepted through , 2015. NMFS did not sectors catch less than their limit of closures are effective at 1200 hrs, Alaska Chinook salmon in the previous year. local time (A.l.t.), February 25, 2015, receive any comments on the proposed harvest specifications. In December The final rule to implement through 2400 hrs, A.l.t., December 31, Amendment 97 published on December 2016. 2014, NMFS consulted with the Council regarding the 2015 and 2016 harvest 2, 2014 (79 FR 71350). The Chinook ADDRESSES: Electronic copies of the specifications. After considering public salmon PSC limits implemented by Final Alaska Groundfish Harvest testimony, as well as biological and Amendment 97 were effective on Specifications Environmental Impact economic data that were available at the January 1, 2015. Specific sector limits Statement (EIS), Record of Decision Council’s December 2014 meeting, for the non-pollock groundfish fisheries (ROD), and the Supplementary NMFS is implementing the final 2015 are described later in this preamble. Information Report (SIR) to the EIS and 2016 harvest specifications, as NMFS will monitor the Chinook salmon prepared for this action are available recommended by the Council. For 2015, PSC in the non-pollock GOA groundfish from http://alaskafisheries.noaa.gov. the sum of the TAC amounts is 536,158 fisheries and close an applicable sector The final 2014 Stock Assessment and mt. For 2016, the sum of the TAC if it reaches its 2015 Chinook salmon PSC limit. Fishery Evaluation (SAFE) report for the amounts is 590,161 mt. groundfish resources of the GOA, dated Acceptable Biological Catch (ABC) and Other Actions Affecting the 2015 and November 2014, is available from the TAC Specifications North Pacific Fishery Management 2016 Harvest Specifications Council (Council) at 605 West 4th In December 2014, the Council, its Amendment 97 to the FMP: Chinook Advisory Panel (AP), and its Scientific Avenue, Suite 306, Anchorage, AK Salmon Prohibited Species Catch Limits 99510–2252, phone 907–271–2809, or and Statistical Committee (SSC) in the Non-Pollock Trawl Groundfish reviewed the most recent biological and from the Council’s Web site at http:// Fisheries www.npfmc.org. harvest information about the condition In June 2013, the Council took final of groundfish stocks in the GOA. This FOR FURTHER INFORMATION CONTACT: action to implement measures to control information was compiled by the Obren Davis, 907–586–7228. Chinook salmon PSC in all non-pollock Council’s GOA Groundfish Plan Team SUPPLEMENTARY INFORMATION: NMFS trawl groundfish fisheries in the and was presented in the draft 2014 manages the GOA groundfish fisheries Western and Central GOA. This action, SAFE report for the GOA groundfish in the exclusive economic zone of the Amendment 97 to the FMP, would set fisheries, dated November 2014 (see GOA under the Fishery Management an initial annual PSC limit of 7,500 ADDRESSES). The SAFE report contains a Plan for Groundfish of the Gulf of Chinook salmon apportioned among the review of the latest scientific analyses

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and estimates of each species’ biomass The Council recommended 2015 and Specification and Apportionment of and other biological parameters, as well 2016 TACs that are equal to ABCs for TAC Amounts as summaries of the available sablefish, deep-water flatfish, rex sole, NMFS’ apportionment of groundfish information on the GOA ecosystem and Pacific ocean perch, northern rockfish, species is based on the distribution of the economic condition of the shortraker rockfish, dusky rockfish, biomass among the regulatory areas over groundfish fisheries off Alaska. From rougheye rockfish, demersal shelf which NMFS manages the species. these data and analyses, the Plan Team rockfish, thornyhead rockfish, ‘‘other Additional regulations govern the estimates an overfishing level (OFL) and rockfish,’’ big skates, longnose skates, apportionment of pollock, Pacific cod, ABC for each species or species group. other skates, sculpins, sharks, squids, and sablefish. Additional detail on the The 2014 report was made available for and octopuses in the GOA. The Council apportionment of pollock, Pacific cod, public review during the public recommended TACs for 2015 and 2016 and sablefish are described below. comment period for the proposed that are less than the ABCs for pollock, The ABC for the pollock stock in the harvest specifications. Pacific cod, shallow-water flatfish in the combined Western, Central, and West In previous years, the largest changes Western GOA, arrowtooth flounder, Yakutat Regulatory Areas (W/C/WYK) from the proposed to the final harvest flathead sole in the Western and Central includes the amount for the GHL specifications have been based on recent GOA, ‘‘other rockfish’’ in the Southeast established by the State for the Prince NMFS stock surveys, which provide Outside district, and Atka mackerel. The William Sound (PWS) pollock fishery. updated estimates of stock biomass and Pacific cod TACs are set to The Plan Team, SSC, AP, and Council spatial distribution, and changes to the accommodate the State’s guideline recommended that the sum of all State models used for producing stock harvest levels (GHLs) for Pacific cod so and Federal water pollock removals assessments. At the November 2014 that the ABCs are not exceeded. The from the GOA not exceed ABC Plan Team meeting, NMFS scientists shallow-water flatfish, arrowtooth recommendations. Based on genetic presented updated and new survey flounder, and flathead sole TACs are set studies, fisheries scientists believe that results, changes to stock assessment to allow for increased harvest the pollock in PWS is not a separate models, and accompanying stock opportunities for these target species stock from the combined W/C/WYK assessment estimates for all groundfish while conserving the halibut PSC limit population. Since 1996, the Plan Team species and species groups that are for use in other, more fully utilized has had a protocol of recommending included in the final 2014 SAFE report. fisheries. The ‘‘other rockfish’’ TAC in that the GHL amount be deducted from The SSC reviewed this information at the Southeast Outside District (SEO) is the GOA-wide ABC. For 2015 and 2016, the December 2014 Council meeting. set to reduce the amount of discards. the SSC recommended and the Council Changes from the proposed to the final The Atka mackerel TAC is set to approved the W/C/WYK pollock ABC 2015 and 2016 harvest specifications are accommodate incidental catch amounts including the amount to account for the discussed below. in other fisheries. State’s PWS GHL. At the November The final 2015 and 2016 OFLs, ABCs, The final 2015 and 2016 harvest 2014 Plan Team meeting, State fisheries and TACs are based on the best specifications approved by the Secretary managers recommended setting the available biological and socioeconomic are unchanged from those PWS GHL at 2.5 percent of the annual information, including projected recommended by the Council and are W/C/WYK pollock ABC. For 2015, this biomass trends, information on assumed consistent with the preferred harvest yields a PWS pollock GHL of 4,783 mt, distribution of stock biomass, and strategy alternative in the EIS (see an increase of 620 mt from the 2014 revised methods used to calculate stock ADDRESSES). NMFS finds that the PWS GHL of 4,163 mt. For 2016, the biomass. The FMP specifies the Council’s recommended OFLs, ABCs, PWS pollock GHL is 6,271 mt, an formulas, or tiers, to be used to compute and TACs are consistent with the increase of 2,108 mt from the 2014 PWS OFLs and ABCs. The formulas biological condition of the groundfish pollock GHL. applicable to a particular stock or stock stocks as described in the final 2014 The Council also adopted the SSC’s complex are determined by the level of SAFE report. NMFS also finds that the recommendation to revise the reliable information available to Council’s recommendations for OFLs, terminology used when apportioning fisheries scientists. This information is ABCs, and TACs are consistent with the pollock in the Western, Central, and categorized into a successive series of biological condition of groundfish West Yakutat Regulatory Areas. The six tiers to define OFL and ABC stocks as adjusted for other biological SSC recommended describing amounts, with Tier 1 representing the and socioeconomic considerations, apportionments of pollock to the highest level of information quality including maintaining the total TAC Western, Central, and West Yakutat available and Tier 6 representing the within the OY range. NMFS reviewed Regulatory Areas as ‘‘apportionments of lowest level of information quality the Council’s recommended TAC annual catch limit (ACLs)’’ rather than available. The Plan Team used the FMP specifications and apportionments, and ‘‘ABCs.’’ The SSC annually recommends tier structure to calculate OFL and ABC approves these harvest specifications a combined pollock ABC for the amounts for each groundfish species. under 50 CFR 679.20(c)(3)(ii). The Western, Central, and West Yakutat The SSC adopted the final 2015 and apportionment of TAC amounts among Regulatory Areas based on factors such 2016 OFLs and ABCs recommended by gear types and sectors, processing as scientific uncertainty in the estimate the Plan Team for all groundfish sectors, and seasons is discussed below. of the area-wide OFL, data uncertainty, species. The Council adopted the SSC’s Tables 1 and 2 list the final 2015 and and recruitment variability. Section OFL and ABC recommendations and the 2016 OFLs, ABCs, TACs, and area 3.2.3.3.2 of FMP specifies that the ACL AP’s TAC recommendations. The final apportionments of groundfish in the is equal to the ABC. Historically, the TAC recommendations were based on GOA. The sums of the 2015 and 2016 SSC has recommended apportioning the the ABCs as adjusted for other biological ABCs are 685,597 mt and 731,049 mt, combined Western, Central, and West and socioeconomic considerations, respectively, which are higher in 2015 Yakutat ABC between these three including maintaining the sum of all and 2016 than the 2014 ABC sum of individual Regulatory Areas. However, TACs within the required OY range of 640,675 mt (79 FR 12890, March 6, the subarea ABCs have not been based 116,000 to 800,000 mt. 2014). on scientific uncertainty in the OFL,

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data uncertainty, or other conservation mt; and (3) Western GOA, 11,611 mt. 72593, December 8, 2014) for pollock, or biological concerns, but rather on These amounts reflect the sum of the Pacific cod, sablefish, shallow-water seasonal and spatial apportionment State’s 2015 and 2016 GHLs in these flatfish, deep-water flatfish, arrowtooth procedures established under the Steller areas, which are 25 percent of the flounder, flathead sole, Pacific ocean sea lion protection measures for pollock Eastern and Central ABCs, and 30 perch, dusky rockfish, longnose skate, TAC in the Western and Central percent of the Western GOA ABC. and ‘‘other skates.’’ The final 2015 ABCs Regulatory Areas. The SSC noted that NMFS establishes seasonal are lower than the proposed 2015 ABCs describing subarea apportionments as apportionments of the annual Pacific for northern rockfish, rougheye rockfish, ‘‘apportionments of the ACL’’ more cod TAC in the Central and Western demersal shelf rockfish, and big skates. accurately reflects that such Regulatory Areas. Sixty percent of the The final 2016 ABCs are higher than the apportionments address management, annual TAC is apportioned to the A proposed 2016 ABCs for pollock, Pacific rather than biological or conservation, season for hook-and-line, pot, and jig cod, shallow-water flatfish, flathead concerns. In addition, apportioning the gear from January 1 through , sole, Pacific ocean perch, longnose ACL in this manner allow NMFS to and for trawl gear from skate, and ‘‘other skates.’’ The final 2016 balance any transfer of TAC from one through June 10. Forty percent of the ABCs are lower than the proposed 2016 area to another pursuant to regulations annual TAC is apportioned to the B ABCs for deep-water flatfish, rex sole, at § 679.20(a)(5)(iv)(B) to ensure that the season for hook-and-line, pot, and jig arrowtooth flounder, northern rockfish, area-wide ACL and ABC are not gear from through dusky rockfish, rougheye rockfish, and exceeded. The SSC noted that this December 31, and for trawl gear from big skates. For the remaining target terminology change is acceptable for September 1 through November 1 species—Atka mackerel, sculpins, pollock in the Western, Central, and (§§ 679.23(d)(3) and 679.20(a)(12)). The sharks, squids, and octopus—the West Yakutat Regulatory Areas only. Central and Western GOA Pacific cod Council recommended, and the There is one aggregate pollock OFL in TACs are allocated among various gear Secretary approved, the final 2015 and these areas, and Steller sea lion and operational sectors. The Pacific cod 2016 ABCs that are the same as the protection measures provide a spatial sector apportionments are discussed in proposed 2015 and 2016 ABCs. and seasonal apportionment procedure detail in a subsequent section of this Additional information explaining the for the pollock TAC in the Western and preamble. changes between the proposed and final Central Regulatory Areas. This change is The Council’s recommendation for ABCs is included in the final 2014 not applicable for pollock in the sablefish area apportionments takes into SAFE report, which was not available Southeast Outside GOA Regulatory account the prohibition on the use of when the Council made its proposed Area, which is managed as a separate trawl gear in the SEO District of the ABC and TAC recommendations in stock. Eastern Regulatory Area and makes October 2014. At that time, the most NMFS establishes pollock TACs in available 5 percent of the combined recent stock assessment information was the Western, Central, West Yakutat Eastern Regulatory Area ABCs to trawl contained in the final 2013 SAFE report. Regulatory Areas, and the Southeast gear for use as incidental catch in other The final 2014 SAFE report contains the Outside District of the GOA (see Tables groundfish fisheries in the WYK District best and most recent scientific 1 and 2). NMFS also establishes (§ 679.20(a)(4)(i)). Tables 7 and 8 list the information on the condition of the seasonal apportionments of the annual final 2015 and 2016 allocations of groundfish stocks, as previously pollock TAC in the Western and Central sablefish TAC to hook-and-line and discussed in this preamble, and is Regulatory Areas of the GOA among trawl gear in the GOA. available for review (see ADDRESSES). Statistical Areas 610, 620, and 630. Changes From the Proposed 2015 and The Council considered the final 2014 These apportionments are divided 2016 Harvest Specifications in the GOA SAFE report in December 2014 when it equally among each of the following made recommendations for the final four seasons: The A season (January 20 In October 2014, the Council’s 2015 and 2016 harvest specifications. In through March 10), the B season (March recommendations for the proposed 2015 the GOA, the total final 2015 TAC 10 through May 31), the C season and 2016 harvest specifications (79 FR amount is 536,158 mt, an increase of 5 ( through October 1), and the 72593, December 8, 2014) were based percent from the total proposed 2015 D season (October 1 through November largely on information contained in the TAC amount of 511,599 mt. The total 1) (§ 679.23(d)(2)(i) through (iv), and final 2013 SAFE report for the GOA final 2016 TAC amount is 590,161 mt, § 679.20(a)(5)(iv)(A) and (B)). Additional groundfish fisheries, dated November an increase of 15 percent from the total detail is provided below; Tables 3 and 2013 (see ADDRESSES). The Council proposed 2016 TAC amount of 511,599 4 list these amounts. proposed that the final OFLs, ABCs, and mt. The following table in this preamble The 2015 and 2016 Pacific cod TACs TACs established for the 2015 summarizes the principle reason for the are set to accommodate the State’s GHL groundfish fisheries (79 FR 12890, difference between the proposed and for Pacific cod in State waters in the March 6, 2014) be used for the proposed final TACs. Central and Western Regulatory Areas, 2015 and 2016 harvest specifications, Based on changes to the assessment as well as in PWS. The Plan Team, SSC, pending completion and review of the method (model) used by stock AP, and Council recommended that the 2014 SAFE report at its December 2014 assessment scientists, for 2015 and 2016 sum of all State and Federal water meeting. the greatest TAC increase is for Pacific Pacific cod removals from the GOA not As described previously, the SSC cod. Based on changes in the estimates exceed ABC recommendations. adopted the final 2015 and 2016 OFLs of overall biomass, the greatest TAC Accordingly, the Council set the 2015 and ABCs recommended by the Plan increases are for shallow-water flatfish, and 2016 Pacific cod TACs in the Team. The Council adopted the SSC’s longnose skate, other skates, and Pacific Eastern, Central, and Western OFL and ABC recommendations and the ocean perch. Based upon changes in the Regulatory Areas to account for State AP’s TAC recommendations for 2015 estimates of biomass, the greatest GHLs. Therefore, the 2015 and 2016 and 2016. The final 2015 ABCs are decreases in TACs are for rougheye Pacific cod TACs are less than the ABCs higher than the proposed 2015 ABCs rockfish, demersal shelf rockfish, and by the following amounts: (1) Eastern published in the proposed 2015 and big skate. For all other species and GOA, 707 mt; (2) Central GOA, 15,330 2016 harvest specifications (79 FR species groups, changes from the

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proposed to the final TACs are within arrowtooth flounder, flathead sole, and contained in the final 2014 SAFE report. plus or minus five percent of the ‘‘other rockfish.’’ The Council believed, The final TACs are based on the best proposed TACs. These TAC changes and NMFS concurs, that setting TACs scientific information available. These correspond to associated changes in the for the three preceding flatfish species TACs are specified in compliance with ABCs and TACs, as recommended by equal to ABCs would not reflect the harvest strategy described in the the SSC, AP, and Council. anticipated harvest levels accurately, as proposed and final rules for the 2015 Additionally, based upon the the Council and NMFS expect halibut and 2016 harvest specifications. The Council’s recommended changes in PSC limits to constrain these fisheries in changes in TACs between the proposed setting the TACs at amounts below 2015 and 2016. rule and this final rule are compared in ABCs, the greatest decreases in TACs Detailed information providing the the following table. are for shallow-water flatfish, basis for the changes described above is COMPARISON OF PROPOSED AND FINAL 2015 AND 2016 GOA TOTAL ALLOWABLE CATCH LIMITS [Values are rounded to the nearest metric ton and percentage]

2015 Final 2016 final 2015 and 2015 Final minus 2015 Percentage 2016 minus 2016 Percentage Principle Species 2016 pro- TAC Proposed difference final TAC proposed difference reason for posed TAC TAC TAC difference

Pollock ...... 193,809 199,151 5,342 3 257,178 63,369 33 Model 1 Pacific cod...... 61,519 75,202 13,683 22 75,202 13,683 22 Model Sablefish ...... 9,554 10,522 968 10 9,558 4 0 N/A Shallow-water flatfish ...... 32,027 35,381 3,354 10 32,877 850 3 Biomass 2 Deep-water flatfish ...... 13,303 13,334 31 0 13,177 ¥126 ¥1 Biomass Rex sole ...... 9,155 9,150 ¥5 0 8,979 ¥176 ¥2 Biomass Arrowtooth flounder ...... 103,300 103,300 0 0 103,300 0 0 N/A Flathead sole ...... 27,726 27,756 30 0 27,759 33 0 N/A Pacific ocean perch ...... 19,764 21,012 1,248 6 21,436 1,672 8 Biomass Northern rockfish ...... 5,010 4,998 ¥12 0 4,721 ¥289 ¥6 Biomass Shortraker rockfish ...... 1,323 1,323 0 0 1,323 0 0 N/A Dusky rockfish ...... 5,081 5,109 28 1 4,711 ¥370 ¥7 Biomass Rougheye rockfish ...... 1,262 1,122 ¥140 ¥11 1,142 ¥120 ¥10 Biomass Demersal shelf rockfish ...... 274 225 ¥49 ¥18 225 ¥49 ¥18 Biomass Thornyhead rockfish ...... 1,841 1,841 0 0 1,841 0 0 N/A Other rockfish ...... 1,811 1,811 0 0 1,811 0 0 N/A Atka mackerel ...... 2,000 2,000 0 0 2,000 0 0 N/A Big skate ...... 3,762 3,255 ¥507 ¥13 3,255 ¥507 ¥13 Biomass Longnose skate ...... 2,876 3,218 342 12 3,218 342 12 Biomass Other skates...... 1,989 2,235 246 12 2,235 246 12 Biomass Sculpins ...... 5,569 5,569 0 0 5,569 0 0 N/A Sharks ...... 5,989 5,989 0 0 5,989 0 0 N/A Squids ...... 1,148 1,148 0 0 1,148 0 0 N/A Octopuses ...... 1,507 1,507 0 0 1,507 0 0 N/A

Total ...... 511,599 536,158 24,559 5 590,161 78,562 15 1 Model—Change in assessment methodology. 2 Biomass—Change in estimate of biomass.

The final 2015 and 2016 TAC GOA and do not exceed the ABC for any amounts for GOA groundfish for 2015 recommendations for the GOA are species or species group. Tables 1 and and 2016, respectively. within the OY range established for the 2 list the final OFL, ABC, and TAC

TABLE 1—FINAL 2015 ABCS, TACS, AND OFLSOFGROUNDFISH FOR THE WESTERN/CENTRAL/WEST YAKUTAT, WEST- ERN, CENTRAL, EASTERN REGULATORY AREAS, AND IN THE WEST YAKUTAT, SOUTHEAST OUTSIDE, AND GULFWIDE DISTRICTS OF THE GULF OF ALASKA [Values are rounded to the nearest metric ton]

Species Area 1 OFL ABC TAC

Pollock 2 ...... Shumagin (610) ...... n/a 31,634 31,634 Chirikof (620) ...... n/a 97,579 97,579 Kodiak (630) ...... n/a 52,594 52,594 WYK (640) ...... n/a 4,719 4,719 W/C/WYK (subtotal) ...... 256,545 191,309 186,526 SEO (650) ...... 16,833 12,625 12,625 Total ...... 273,378 203,934 199,151 Pacific cod 3 ...... W ...... n/a 38,702 27,091 C ...... n/a 61,320 45,990 E ...... n/a 2,828 2,121 Total ...... 140,300 102,850 75,202 Sablefish 4 ...... W ...... n/a 1,474 1,474 C ...... n/a 4,658 4,658 WYK ...... n/a 1,708 1,708 SEO ...... n/a 2,682 2,682 E (WYK and SEO) (subtotal) ...... n/a 4,390 4,390

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TABLE 1—FINAL 2015 ABCS, TACS, AND OFLSOFGROUNDFISH FOR THE WESTERN/CENTRAL/WEST YAKUTAT, WEST- ERN, CENTRAL, EASTERN REGULATORY AREAS, AND IN THE WEST YAKUTAT, SOUTHEAST OUTSIDE, AND GULFWIDE DISTRICTS OF THE GULF OF ALASKA—Continued [Values are rounded to the nearest metric ton]

Species Area 1 OFL ABC TAC

Total ...... 12,425 10,522 10,522 Shallow-water flatfish 5 ...... W ...... n/a 22,074 13,250 C ...... n/a 19,297 19,297 WYK ...... n/a 2,209 2,209 SEO ...... n/a 625 625 Total ...... 54,207 44,205 35,381 Deep-water flatfish 6 ...... W ...... n/a 301 301 C ...... n/a 3,689 3,689 WYK ...... n/a 5,474 5,474 SEO ...... n/a 3,870 3,870 Total ...... 15,993 13,334 13,334 Rex sole ...... W ...... n/a 1,258 1,258 C ...... n/a 5,816 5,816 WYK ...... n/a 772 772 SEO ...... n/a 1,304 1,304 Total ...... 11,957 9,150 9,150 Arrowtooth flounder ...... W ...... n/a 30,752 14,500 C ...... n/a 114,170 75,000 WYK ...... n/a 36,771 6,900 SEO ...... n/a 11,228 6,900 Total ...... 226,390 192,921 103,300 Flathead sole ...... W ...... n/a 12,767 8,650 C ...... n/a 24,876 15,400 WYK ...... n/a 3,535 3,535 SEO ...... n/a 171 171 Total ...... 50,792 41,349 27,756 Pacific ocean perch 7 ...... W ...... n/a 2,302 2,302 C ...... n/a 15,873 15,873 WYK ...... n/a 2,014 2,014 W/C/WYK subtotal ...... 23,406 20,189 20,189 SEO ...... 954 823 823 Total ...... 24,360 21,012 21,012 Northern rockfish 8 ...... W ...... n/a 1,226 1,226 C ...... n/a 3,772 3,772 E ...... n/a n/a n/a Total ...... 5,961 4,998 4,998 Shortraker rockfish 9 ...... W ...... n/a 92 92 C ...... n/a 397 397 E ...... n/a 834 834 Total ...... 1,764 1,323 1,323 Dusky rockfish 10 ...... W ...... n/a 296 296 C ...... n/a 3,336 3,336 WYK ...... n/a 1,288 1,288 SEO ...... n/a 189 189 Total ...... 6,246 5,109 5,109 Rougheye and Blackspotted rockfish 11 ...... W ...... n/a 115 115 C ...... n/a 632 632 E ...... n/a 375 375 Total ...... 1,345 1,122 1,122 Demersal shelf rockfish 12 ...... SEO ...... 361 225 225 Thornyhead rockfish ...... W ...... n/a 235 235 C ...... n/a 875 875 E ...... n/a 731 731 Total ...... 2,454 1,841 1,841 Other rockfish 13 14 ...... W and C ...... n/a 1,031 1,031 WYK ...... n/a 580 580 SEO ...... n/a 2,469 200 Total ...... 5,347 4,080 1,811 Atka mackerel ...... GW ...... 6,200 4,700 2,000 Big skate 15 ...... W ...... n/a 731 731 C ...... n/a 1,257 1,257 E ...... n/a 1,267 1,267 Total ...... 4,340 3,255 3,255 Longnose skate 16 ...... W ...... n/a 152 152 C ...... n/a 2,090 2,090 E ...... n/a 976 976 Total ...... 4,291 3,218 3,218 Other skates 17 ...... GW ...... 2,980 2,235 2,235

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TABLE 1—FINAL 2015 ABCS, TACS, AND OFLSOFGROUNDFISH FOR THE WESTERN/CENTRAL/WEST YAKUTAT, WEST- ERN, CENTRAL, EASTERN REGULATORY AREAS, AND IN THE WEST YAKUTAT, SOUTHEAST OUTSIDE, AND GULFWIDE DISTRICTS OF THE GULF OF ALASKA—Continued [Values are rounded to the nearest metric ton]

Species Area 1 OFL ABC TAC

Sculpins ...... GW ...... 7,448 5,569 5,569 Sharks ...... GW ...... 7,986 5,989 5,989 Squids ...... GW ...... 1,530 1,148 1,148 Octopus ...... GW ...... 2,009 1,507 1,507

Total ...... 870,064 685,597 536,158 1 Regulatory areas and districts are defined at § 679.2. (W = Western Gulf of Alaska; C = Central Gulf of Alaska; E = Eastern Gulf of Alaska; WYK = West Yakutat District; SEO = Southeast Outside District; GW = Gulf-wide). 2 The aggregate pollock ABC for the Western, Central, and West Yakutat Regulatory Areas is apportioned among four statistical areas after deducting 2.5 percent of the ABC for the State’s pollock GHL fishery. These apportionments are considered subarea ACLs, rather than ABCs, for specification and reapportionment purposes. The ACLs in Areas 610, 620, and 630 are further divided by season, as detailed in Table 3. In the West Yakutat and Southeast Outside Districts of the Eastern Regulatory Area, pollock is not divided into seasonal allowances. 3 The annual Pacific cod TAC is apportioned 60 percent to the A season and 40 percent to the B season in the Western and Central Regu- latory Areas of the GOA. Pacific cod in the Eastern Regulatory Area is allocated 90 percent for processing by the inshore component and 10 percent for processing by the offshore component. Table 5 lists the final 2015 Pacific cod seasonal apportionments. 4 Sablefish is allocated to trawl and hook-and-line gear in 2015. Table 7 lists the final 2015 allocations of sablefish TACs. 5 ‘‘Shallow-water flatfish’’ means flatfish not including ‘‘deep-water flatfish,’’ flathead sole, rex sole, or arrowtooth flounder. 6 ‘‘Deep-water flatfish’’ means Dover sole, Greenland turbot, Kamchatka flounder, and deepsea sole. 7 ‘‘Pacific ocean perch’’ means Sebastes alutus. 8 ‘‘Northern rockfish’’ means Sebastes polyspinis. For management purposes the 2 mt apportionment of ABC to the WYK District of the East- ern Gulf of Alaska has been included in the other rockfish species group. 9 ‘‘Shortraker rockfish’’ means Sebastes borealis. 10 ‘‘Dusky rockfish’’ means Sebastes variabilis. 11 ‘‘Rougheye rockfish’’ means Sebastes aleutianus (rougheye) and Sebastes melanostictus (blackspotted). 12 ‘‘Demersal shelf rockfish’’ means Sebastes pinniger (canary), S. nebulosus (china), S. caurinus (copper), S. maliger (quillback), S. helvomaculatus (rosethorn), S. nigrocinctus (tiger), and S. ruberrimus (yelloweye). 13 ‘‘Other rockfish’’ means Sebastes aurora (aurora), S. melanostomus (blackgill), S. paucispinis (bocaccio), S. goodei (chilipepper), S. crameri (darkblotch), S. elongatus (greenstriped), S. variegatus (harlequin), S. wilsoni (pygmy), S. babcocki (redbanded), S. proriger (redstripe), S. zacentrus (sharpchin), S. jordani (shortbelly), S. brevispinis (silvergrey), S. diploproa (splitnose), S. saxicola (stripetail), S. miniatus (vermilion), S. reedi (yellowmouth), S. entomelas (widow), and S. flavidus (yellowtail). In the Eastern GOA only, other rockfish also includes northern rockfish, S. polyspinis. 14 ‘‘Other rockfish’’ in the Western and Central Regulatory Areas and in the West Yakutat District means other rockfish and demersal shelf rockfish. The ‘‘other rockfish’’ species group in the SEO District only includes other rockfish. 15 ‘‘Big skate’’ means Raja binoculata. 16 ‘‘Longnose skate’’ means Raja rhina. 17 ‘‘Other skates’’ means Bathyraja spp.

TABLE 2—FINAL 2016 ABCS, TACS, AND OFLSOFGROUNDFISH FOR THE WESTERN/CENTRAL/WEST YAKUTAT, WEST- ERN, CENTRAL, EASTERN REGULATORY AREAS, AND IN THE WEST YAKUTAT, SOUTHEAST OUTSIDE, AND GULFWIDE DISTRICTS OF THE GULF OF ALASKA [Values are rounded to the nearest metric ton]

Species Area 1 OFL ABC TAC

Pollock 2 ...... Shumagin (610) ...... n/a 41,472 41,472 Chirikof (620) ...... n/a 127,936 127,936 Kodiak (630) ...... n/a 68,958 68,958 WYK (640) ...... n/a 6,187 6,187 W/C/WYK (subtotal) ...... 321,067 250,824 244,553 SEO (650) ...... 16,833 12,625 12,625 Total ...... 337,900 263,449 257,178 Pacific cod 3 ...... W ...... n/a 38,702 27,091 C ...... n/a 61,320 45,990 E ...... n/a 2,828 2,121 Total ...... 133,100 102,850 75,202 Sablefish 4 ...... W ...... n/a 1,338 1,338 C ...... n/a 4,232 4,232 WYK ...... n/a 1,552 1,552 SEO ...... n/a 2,436 2,436 E (WYK and SEO) (subtotal) ...... n/a 3,988 3,988 Total ...... 11,293 9,558 9,558 Shallow-water flatfish 5 ...... W ...... n/a 19,577 13,250 C ...... n/a 17,114 17,114 WYK ...... n/a 1,959 1,959 SEO ...... n/a 554 554 Total ...... 48,407 39,204 32,877 Deep-water flatfish 6 ...... W ...... n/a 299 299 C ...... n/a 3,645 3,645 WYK ...... n/a 5,409 5,409 SEO ...... n/a 3,824 3,824

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TABLE 2—FINAL 2016 ABCS, TACS, AND OFLSOFGROUNDFISH FOR THE WESTERN/CENTRAL/WEST YAKUTAT, WEST- ERN, CENTRAL, EASTERN REGULATORY AREAS, AND IN THE WEST YAKUTAT, SOUTHEAST OUTSIDE, AND GULFWIDE DISTRICTS OF THE GULF OF ALASKA—Continued [Values are rounded to the nearest metric ton]

Species Area 1 OFL ABC TAC

Total ...... 15,803 13,177 13,177 Rex sole ...... W ...... n/a 1,234 1,234 C ...... n/a 5,707 5,707 WYK ...... n/a 758 758 SEO ...... n/a 1,280 1,280 Total ...... 11,733 8,979 8,979 Arrowtooth flounder ...... W ...... n/a 29,545 14,500 C ...... n/a 109,692 75,000 WYK ...... n/a 35,328 6,900 SEO ...... n/a 10,787 6,900 Total ...... 217,522 185,352 103,300 Flathead sole ...... W ...... n/a 12,776 8,650 C ...... n/a 24,893 15,400 WYK ...... n/a 3,538 3,538 SEO ...... n/a 171 171 Total ...... 50,818 41,378 27,759 Pacific ocean perch 7 ...... W ...... n/a 2,358 2,358 C ...... n/a 16,184 16,184 WYK ...... n/a 2,055 2,055 W/C/WYK ...... 23,876 20,597 20,597 SEO ...... 973 839 839 Total ...... 24,849 21,436 21,436 Northern rockfish 8 ...... W ...... n/a 1,158 1,158 C ...... n/a 3,563 3,563 E ...... n/a n/a n/a Total ...... 5,631 4,721 4,721 Shortraker rockfish 9 ...... W ...... n/a 92 92 C ...... n/a 397 397 E ...... n/a 834 834 Total ...... 1,764 1,323 1,323 Dusky rockfish 10 ...... W ...... n/a 273 273 C ...... n/a 3,077 3,077 WYK ...... n/a 1,187 1,187 SEO ...... n/a 174 174 Total ...... 5,759 4,711 4,711 Rougheye and Blackspotted rockfish 11 ...... W ...... n/a 117 117 C ...... n/a 643 643 E ...... n/a 382 382 Total ...... 1,370 1,142 1,142 Demersal shelf rockfish 12 ...... SEO ...... 361 225 225 Thornyhead rockfish ...... W ...... n/a 235 235 C ...... n/a 875 875 E ...... n/a 731 731 Total ...... 2,454 1,841 1,841 Other rockfish 13 14 ...... W and C ...... n/a 1,031 1,031 WYK ...... n/a 580 580 SEO ...... n/a 2,469 200 Total ...... 5,347 4,080 1,811 Atka mackerel ...... GW ...... 6,200 4,700 2,000 Big skate 15 ...... W ...... n/a 731 731 C ...... n/a 1,257 1,257 E ...... n/a 1,267 1,267 Total ...... 4,340 3,255 3,255 Longnose skate 16 ...... W ...... n/a 152 152 C ...... n/a 2,090 2,090 E ...... n/a 976 976 Total ...... 4,291 3,218 3,218 Other skates 17 ...... GW ...... 2,980 2,235 2,235 Sculpins ...... GW ...... 7,448 5,569 5,569 Sharks ...... GW ...... 7,986 5,989 5,989 Squids ...... GW ...... 1,530 1,148 1,148 Octopus ...... GW ...... 2,009 1,507 1,507

Total ...... 910,895 731,049 590,161 1 Regulatory areas and districts are defined at § 679.2. (W = Western Gulf of Alaska; C = Central Gulf of Alaska; E = Eastern Gulf of Alaska; WYK = West Yakutat District; SEO = Southeast Outside District; GW = Gulf-wide).

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2 The aggregate pollock ABC for the Western, Central, and West Yakutat Regulatory Areas is apportioned among four statistical areas after deducting 2.5 percent of the ABC for the State’s pollock GHL fishery. These apportionments are considered subarea ACLs, rather than ABCs, for specification and reapportionment purposes. The ACLs in Areas 610, 620, and 630 are further divided by season, as detailed in Table 4. In the West Yakutat and Southeast Outside Districts of the Eastern Regulatory Area, pollock is not divided into seasonal allowances. 3 The annual Pacific cod TAC is apportioned 60 percent to the A season and 40 percent to the B season in the Western and Central Regu- latory Areas of the GOA. Pacific cod in the Eastern Regulatory Area is allocated 90 percent for processing by the inshore component and 10 percent for processing by the offshore component. Table 6 lists the final 2016 Pacific cod seasonal apportionments. 4 Sablefish is only allocated to trawl gear for 2016. Table 8 lists the final 2016 allocation of sablefish TACs to trawl gear. 5 ‘‘Shallow-water flatfish’’ means flatfish not including ‘‘deep-water flatfish,’’ flathead sole, rex sole, or arrowtooth flounder. 6 ‘‘Deep-water flatfish’’ means Dover sole, Greenland turbot, Kamchatka flounder, and deepsea sole. 7 ‘‘Pacific ocean perch’’ means Sebastes alutus. 8 ‘‘Northern rockfish’’ means Sebastes polyspinis. For management purposes the 2 mt apportionment of ABC to the WYK District of the East- ern Gulf of Alaska has been included in the other rockfish species group. 9 ‘‘Shortraker rockfish’’ means Sebastes borealis. 10 ‘‘Dusky rockfish’’ means Sebastes variabilis. 11 ‘‘Rougheye rockfish’’ means Sebastes aleutianus (rougheye) and Sebastes melanostictus (blackspotted). 12 ‘‘Demersal shelf rockfish’’ means Sebastes pinniger (canary), S. nebulosus (china), S. caurinus (copper), S. maliger (quillback), S. helvomaculatus (rosethorn), S. nigrocinctus (tiger), and S. ruberrimus (yelloweye). 13 ‘‘Other rockfish’’ means Sebastes aurora (aurora), S. melanostomus (blackgill), S. paucispinis (bocaccio), S. goodei (chilipepper), S. crameri (darkblotch), S. elongatus (greenstriped), S. variegatus (harlequin), S. wilsoni (pygmy), S. babcocki (redbanded), S. proriger (redstripe), S. zacentrus (sharpchin), S. jordani (shortbelly), S. brevispinis (silvergrey), S. diploproa (splitnose), S. saxicola (stripetail), S. miniatus (vermilion), S. reedi (yellowmouth), S. entomelas (widow), and S. flavidus (yellowtail). In the Eastern GOA only, other rockfish also includes northern rockfish, S. polyspinis. 14 ‘‘Other rockfish’’ in the Western and Central Regulatory Areas and in the West Yakutat District means other rockfish and demersal shelf rockfish. The ‘‘other rockfish’’ species group in the SEO District only includes other rockfish. 15 ‘‘Big skate’’ means Raja binoculata. 16 ‘‘Longnose skate’’ means Raja rhina. 17 ‘‘Other skates’’ means Bathyraja spp.

Apportionment of Reserves Pollock TACs in the Western and added to, or subtracted from, Central Regulatory Areas of the GOA are subsequent seasonal allowances in a Section 679.20(b)(2) requires NMFS to apportioned among Statistical Areas manner to be determined by the set aside 20 percent of each TAC for 610, 620, and 630, pursuant to Regional Administrator pollock, Pacific cod, flatfish, sculpins, § 679.20(a)(5)(iv)(A). In the A and B (§ 679.20(a)(5)(iv)(B)). The rollover sharks, squids, and octopuses in reserve seasons, the apportionments are in amount is limited to 20 percent of the for possible apportionment at a later proportion to the distribution of pollock subsequent seasonal apportionment for date during the fishing year. For 2015 biomass based on the four most recent the statistical area. Any unharvested and 2016, NMFS proposed NMFS winter surveys. In the C and D pollock above the 20-percent limit could reapportionment of all the reserves in seasons, the apportionments are in be further distributed to the other the proposed 2015 and 2016 harvest proportion to the distribution of pollock statistical areas, in proportion to the specifications published in the Federal biomass based on the four most recent estimated biomass in the subsequent Register on December 8, 2014 (79 FR NMFS summer surveys. However, for season in those statistical areas 72593). NMFS did not receive any 2015 and 2016, the Council (§ 679.20(a)(5)(iv)(B)). The pollock TACs public comments on the proposed recommended, and NMFS approves, in the WYK and SEO District of 4,719 reapportionments. For the final 2015 averaging the winter and summer and 2016 harvest specifications, NMFS mt and 12,625 mt, respectively, in 2015, distribution of pollock in the Central and 6,187 mt and 12,625 mt, reapportioned, as proposed, all the Regulatory Area for the A season instead reserves for pollock, Pacific cod, flatfish, respectively, in 2016, are not allocated of using the distribution based on only by season. sculpins, sharks, squids, and octopuses. the winter surveys. The average is The TACs listed in Tables 1 and 2 intended to reflect the migration Section 679.20(a)(6)(i) requires the reflect reapportionments of reserve patterns and distribution of pollock, and allocation of 100 percent of the pollock amounts for these species and species the anticipated performance of the TAC in all regulatory areas and all groups. fishery, in that area during the A season seasonal allowances to vessels catching pollock for processing by the inshore Apportionments of Pollock TAC Among for the 2015 and 2016 fishing years. For component after subtraction of amounts Seasons and Regulatory Areas, and the A season, the apportionment is projected by the Regional Administrator Allocations for Processing by Inshore based on an adjusted estimate of the to be caught by, or delivered to, the and Offshore Components relative distribution of pollock biomass of approximately 8 percent, 67 percent, offshore component incidental to In the GOA, pollock is apportioned by and 25 percent in Statistical Areas 610, directed fishing for other groundfish season and area, and is further allocated 620, and 630, respectively. For the B species. Thus, the amount of pollock for processing by inshore and offshore season, the apportionment is based on available for harvest by vessels components. Pursuant to the relative distribution of pollock harvesting pollock for processing by the § 679.20(a)(5)(iv)(B), the annual pollock biomass at 8 percent, 83 percent, and 9 offshore component is that amount that TAC specified for the Western and percent in Statistical Areas 610, 620, will be taken as incidental catch during Central Regulatory Areas of the GOA is and 630, respectively. For the C and D directed fishing for groundfish species apportioned into four equal seasonal seasons, the apportionment is based on other than pollock, up to the maximum allowances of 25 percent. As established the relative distribution of pollock retainable amounts allowed by by § 679.23(d)(2)(i) through (iv), the A, biomass at 27 percent, 32 percent, and § 679.20(e) and (f). At this time, these B, C, and D season allowances are 41 percent in Statistical Areas 610, 620, incidental catch amounts of pollock are available from January 20 to March 10, and 630, respectively. unknown and will be determined March 10 to May 31, August 25 to Within any fishing year, the amount during the fishing year during the October 1, and October 1 to November by which a seasonal allowance is course of fishing activities by the 1, respectively. underharvested or overharvested may be offshore component.

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Tables 3 and 4 list the final 2015 and Regulatory Areas, area apportionments, of pollock for processing by the inshore 2016 seasonal biomass distribution of and seasonal allowances. The amounts and offshore components are not shown. pollock in the Western and Central

TABLE 3—FINAL 2015 DISTRIBUTION OF POLLOCK IN THE CENTRAL AND WESTERN REGULATORY AREAS OF THE GOA; SEASONAL BIOMASS DISTRIBUTION, AREA APPORTIONMENTS; AND SEASONAL ALLOWANCES OF ANNUAL TAC [Values are rounded to the nearest metric ton and percentages are rounded to the nearest 0.01]

Season 1 Shumagin (Area 610) Chirikof (Area 620) Kodiak (Area 630) Total 2

A (Jan 20–Mar 10) ...... 3,632 (7.99%) 30,503 (67.11%) 11,316 (24.90%) 45,452 B (Mar 10–May 31) ...... 3,632 (7.99%) 37,820 (83.21%) 4,000 (8.80%) 45,452 C (Aug 25–Oct 1) ...... 12,185 (26.81%) 14,628 (32.18%) 18,639 (41.01%) 45,452 D (Oct 1–Nov 1) ...... 12,185 (26.81%) 14,628 (32.18%) 18,639 (41.01%) 45,452

Annual Total...... 31,634 ...... 97,579 ...... 52,594 ...... 181,806 1 As established by § 679.23(d)(2)(i) through (iv), the A, B, C, and D season allowances are available from January 20 to March 10, March 10 to May 31, August 25 to October 1, and October 1 to November 1, respectively. The amounts of pollock for processing by the inshore and off- shore components are not shown in this table. 2 The WYK and SEO District pollock TACs are not allocated by season and are not included in the total pollock TACs shown in this table.

TABLE 4—FINAL 2016 DISTRIBUTION OF POLLOCK IN THE CENTRAL AND WESTERN REGULATORY AREAS OF THE GOA; SEASONAL BIOMASS DISTRIBUTION, AREA APPORTIONMENTS; AND SEASONAL ALLOWANCES OF ANNUAL TAC [Values are rounded to the nearest metric ton and percentages are rounded to the nearest 0.01]

Season 1 Shumagin (Area 610) Chirikof (Area 620) Kodiak (Area 630) Total 2

A (Jan 20–Mar 10) ...... 4,760 (7.99%) 39,992 (67.11%) 14,839 (24.90%) 59,592 B (Mar 10–May 31) ...... 4,760 (7.99%) 49,586 (83.21%) 5,245 (8.80%) 59,592 C (Aug 25–Oct 1) ...... 15,975 (26.81%) 19,179 (32.18%) 24,437 (41.01%) 59,592 D (Oct 1–Nov 1) ...... 15,975 (26.81%) 19,179 (32.18%) 24,437 (41.01%) 59,592

Annual Total...... 41,472 ...... 127,936 ...... 68,958 ...... 238,366 1 As established by § 679.23(d)(2)(i) through (iv), the A, B, C, and D season allowances are available from January 20 to March 10, March 10 to May 31, August 25 to October 1, and October 1 to November 1, respectively. The amounts of pollock for processing by the inshore and off- shore components are not shown in this table. 2 The WYK and SEO District pollock TACs are not allocated by season and are not included in the total pollock TACs shown in this table.

Annual and Seasonal Apportionments Central GOA are 60 percent of the increases are established for a minimum of Pacific Cod TAC annual TAC to the A season and 40 of 2 years. NMFS has evaluated the 2014 percent of the annual TAC to the B harvest performance of the jig sector in Section 679.20(a)(12)(i) requires the season. the Western and Central GOA, and is allocation of the Pacific cod TACs in the Under § 679.20(a)(12)(ii), any overage revising the 2015 and 2016 Pacific cod Western and Central Regulatory Areas of or underage of the Pacific cod allowance apportionments to this sector as follows. the GOA among gear and operational from the A season will be subtracted NMFS allocates the jig sector 3.5 sectors. Section 679.20(a)(6)(ii) requires from, or added to, the subsequent B percent of the annual Pacific cod TAC the allocation of the Pacific cod TACs in season allowance. In addition, any in the Western GOA, a 1.0 percent the Eastern Regulatory Area of the GOA portion of the hook-and-line, trawl, pot, increase from the 2014 jig sector between the inshore and offshore or jig sector allocations that NMFS allocation. The 2015 and 2016 components. NMFS allocates the 2015 determines is likely to go unharvested allocations include a base allocation of and 2016 Pacific cod TAC based on by a sector may be reapportioned to 1.5 percent, an addition of 1.0 percent these sector allocations annually other sectors for harvest during the and an additional 2.0 percent because between the inshore and offshore remainder of the fishery year. this sector harvested greater than 90 components in the Eastern GOA; Pursuant to § 679.20(a)(12)(i)(A) and percent of its initial 2012 and 2014 seasonally between vessels using jig (B), a portion of the annual Pacific cod allocations in the Western GOA. NMFS gear, catcher vessels (CVs) using hook- TACs in the Western and Central GOA also allocates the jig sector 1.0 percent and-line gear, catcher/processors (C/Ps) will be allocated to vessels with an FFP of the annual Pacific cod TAC in the using hook-and-line gear, CVs using that use jig gear before TAC is Central GOA, a 1.0 percent decrease trawl gear, and vessels using pot gear in apportioned among other non-jig from the 2014 jig sector allocation. The the Western GOA; seasonally between sectors. In accordance with the FMP, the 2015 and 2016 allocations consist of a vessels using jig gear, CVs less than 50 annual jig sector allocations may base allocation of 1.0 percent. The feet in length overall using hook-and- increase to up to 6 percent of the annual Central GOA jig sector harvested greater line gear, CVs equal to or greater than Western and Central GOA Pacific cod than 90 percent of its initial 2012 50 feet in length overall using hook-and- TACs, depending on the annual allocation in the Central GOA and line gear, C/Ps using hook-and-line gear, performance of the jig sector (See Table received an additional 1.0 percent of the CVs using trawl gear, C/Ps using trawl 1 of Amendment 83 to the FMP for a Central GOA Pacific cod TAC in 2013 gear, and vessels using pot gear in the detailed discussion of the jig sector and 2014. However, in both 2013 and Central GOA. The overall seasonal allocation process (76 FR 74670, 2014, the jig sector harvested less than apportionments in the Western and December 1, 2011)). Jig sector allocation 90 percent of the annual Central GOA

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Pacific cod allocation, resulting in the 1.0 percent increase. Tables 5 and 6 list allocations of the 2015 and 2016 Pacific loss of this sector’s performance-based the seasonal apportionments and cod TACs.

TABLE 5—FINAL 2015 SEASONAL APPORTIONMENTS AND ALLOCATION OF PACIFIC COD TOTAL ALLOWABLE CATCH AMOUNTS IN THE GOA; ALLOCATIONS FOR THE WESTERN GOA AND CENTRAL GOA SECTORS AND THE EASTERN GOA INSHORE AND OFFSHORE PROCESSING COMPONENTS [Values are rounded to the nearest metric ton and percentages to the nearest 0.01. Seasonal allowances may not total precisely to annual allocation amount]

A Season B Season Annual Sector Sector Regulatory area and sector allocation percentage of Seasonal percentage of Seasonal (mt) annual non-jig allowances annual non-jig allowances TAC (mt) TAC (mt)

Western GOA: Jig (3.5% of TAC) ...... 948 N/A 569 N/A 379 Hook-and-line CV ...... 366 0.70 183 0.70 183 Hook-and-line C/P...... 5,176 10.90 2,850 8.90 2,327 Trawl CV...... 10,039 27.70 7,242 10.70 2,797 Trawl C/P ...... 627 0.90 235 1.50 392 All Pot CV and Pot C/P ...... 9,934 19.80 5,176 18.20 4,758

Total ...... 27,091 60.00 16,255 40.00 10,837

Central GOA: Jig (1.0% of TAC) ...... 460 N/A 276 N/A 184 Hook-and-line <50 CV ...... 6,648 9.32 4,241 5.29 2,407 Hook-and-line ≥50 CV ...... 3,054 5.61 2,554 1.10 500 Hook-and-line C/P ...... 2,324 4.11 1,870 1.00 454 Trawl CV 1 ...... 18,933 21.14 9,623 20.45 9,310 Trawl C/P ...... 1,911 2.00 912 2.19 999 All Pot CV and Pot C/P ...... 12,660 17.83 8,118 9.97 4,542

Total ...... 45,990 60.00 27,594 40.00 18,396

Eastern GOA ...... Inshore (90% of Annual TAC) Offshore (10% of Annual TAC)

2,121 1,909 212 1 Trawl vessels participating in Rockfish Program cooperatives receive 3.81 percent of the annual Central GOA TAC (see Table 28c to 50 CFR part 679), which is deducted from the Trawl CV B season allowance (see Table 12).

TABLE 6—FINAL 2016 SEASONAL APPORTIONMENTS AND ALLOCATION OF PACIFIC COD TOTAL ALLOWABLE CATCH AMOUNTS IN THE GOA; ALLOCATIONS FOR THE WESTERN GOA AND CENTRAL GOA SECTORS AND THE EASTERN GOA INSHORE AND OFFSHORE PROCESSING COMPONENTS [Values are rounded to the nearest metric ton and percentages to the nearest 0.01. Seasonal allowances may not total precisely to annual allocation amount.]

A Season B Season Annual Sector Sector Regulatory area and sector allocation percentage of Seasonal percentage of Seasonal (mt) annual non-jig allowances annual non-jig allowances TAC (mt) TAC (mt)

Western GOA: Jig (3.5% of TAC) ...... 948 N/A 569 N/A 379 Hook-and-line CV ...... 366 0.70 183 0.70 183 Hook-and-line C/P...... 5,176 10.90 2,850 8.90 2,327 Trawl CV...... 10,039 27.70 7,242 10.70 2,797 Trawl C/P ...... 627 0.90 235 1.50 392 All Pot CV and Pot C/P ...... 9,934 19.80 5,176 18.20 4,758

Total ...... 27,091 60.00 16,255 40.00 10,837

Central GOA: Jig (1.0% of TAC) ...... 460 N/A 276 N/A 184 Hook-and-line <50 CV ...... 6,648 9.32 4,241 5.29 2,407 Hook-and-line ≥50 CV ...... 3,054 5.61 2,554 1.10 500 Hook-and-line C/P ...... 2,324 4.11 1,870 1.00 454 Trawl CV 1 ...... 18,933 21.14 9,623 20.45 9,310 Trawl C/P ...... 1,911 2.00 912 2.19 999 All Pot CV and Pot C/P ...... 12,660 17.83 8,118 9.97 4,542

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TABLE 6—FINAL 2016 SEASONAL APPORTIONMENTS AND ALLOCATION OF PACIFIC COD TOTAL ALLOWABLE CATCH AMOUNTS IN THE GOA; ALLOCATIONS FOR THE WESTERN GOA AND CENTRAL GOA SECTORS AND THE EASTERN GOA INSHORE AND OFFSHORE PROCESSING COMPONENTS—Continued [Values are rounded to the nearest metric ton and percentages to the nearest 0.01. Seasonal allowances may not total precisely to annual allocation amount.]

A Season B Season Annual Sector Sector Regulatory area and sector allocation percentage of Seasonal percentage of Seasonal (mt) annual non-jig allowances annual non-jig allowances TAC (mt) TAC (mt)

Total ...... 45,990 60.00 27,594 40.00 18,396

Eastern GOA ...... Inshore (90% of Annual TAC) Offshore (10% of Annual TAC)

2,121 1,909 212 1 Trawl vessels participating in Rockfish Program cooperatives receive 3.81 percent of the annual Central GOA TAC (see Table 28c to 50 CFR part 679), which is deducted from the Trawl CV B season allowance (see Table 13).

Allocations of the Sablefish TACs sablefish TAC available to vessels using catch of sablefish by trawl gear could Section 679.20(a)(4)(i) and (ii) require hook-and-line gear. NMFS allocates 100 commence in January in the second year allocations of sablefish TACs for each of percent of the sablefish TAC in the SEO of the groundfish harvest specifications. the regulatory areas and districts to District to vessels using hook-and-line Since there is an annual assessment for hook-and-line and trawl gear. In the gear. This action results in a 2015 sablefish and the final harvest Western and Central Regulatory Areas, allocation of 220 mt to trawl gear and specifications are expected to be 80 percent of each TAC is allocated to 1,489 mt to hook-and-line gear in the published before the IFQ season begins hook-and-line gear, and 20 percent of WYK District, a 2015 allocation of 2,682 March 14, 2015, the Council each TAC is allocated to trawl gear. In mt to hook-and-line gear in the SEO recommended that the hook-and-line the Eastern Regulatory Area, 95 percent District, and a 2016 allocation of 199 mt sablefish TAC be set on an annual basis, of the TAC is allocated to hook-and-line to trawl gear in the WYK District. Table rather than for two years, so that the gear, and 5 percent is allocated to trawl 7 lists the allocations of the 2015 best scientific information available gear. The trawl gear allocation in the sablefish TACs to hook-and-line and could be considered in establishing the Eastern Regulatory Area may only be trawl gear. Table 8 lists the allocations sablefish ABCs and TACs. With the used to support incidental catch of of the 2016 sablefish TACs to trawl gear. exception of the trawl allocations that sablefish in directed fisheries for other The Council recommended that the were provided to the Rockfish Program target species (§ 679.20(a)(4)(i)). hook-and-line sablefish TAC be cooperatives, directed fishing for In recognition of the prohibition established annually to ensure that this sablefish with trawl gear is closed against trawl gear in the SEO District of Individual Fishery Quota (IFQ) fishery during the fishing year. Also, fishing for the Eastern Regulatory Area, the Council is conducted concurrently with the groundfish with trawl gear is prohibited recommended and NMFS approves the halibut IFQ fishery and is based on prior to January 20. Therefore, it is not allocation of 5 percent of the combined recent sablefish survey information. The likely that the sablefish allocation to Eastern Regulatory Area sablefish TAC Council also recommended that only a trawl gear would be reached before the to trawl gear in the WYK District, trawl sablefish TAC be established for effective date of the final 2015 and 2016 making the remainder of the WYK two years so that retention of incidental harvest specifications.

TABLE 7—FINAL 2015 SABLEFISH TAC SPECIFICATIONS IN THE GOA AND ALLOCATIONS TO HOOK-AND-LINE AND TRAWL GEAR [Values are rounded to the nearest metric ton]

Hook-and-line Trawl Area/district TAC allocation allocation

Western ...... 1,474 1,179 295 Central ...... 4,658 3,726 932 West Yakutat 1 ...... 1,708 1,489 220 Southeast Outside ...... 2,682 2,682 0

Total ...... 10,522 9,076 1,446 1 The trawl allocation is based on allocating 5 percent of the combined Eastern Regulatory Area (West Yakutat and Southeast Outside com- bined) sablefish TAC to trawl gear in the West Yakutat District.

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TABLE 8—FINAL 2016 SABLEFISH TAC SPECIFICATIONS IN THE GOA AND ALLOCATION TO TRAWL GEAR 1 [Values are rounded to the nearest metric ton]

Hook-and-line Trawl Area/district TAC allocation allocation

Western ...... 1,338 n/a 268 Central ...... 4,232 n/a 846 West Yakutat 2 ...... 1,552 n/a 199 Southeast Outside ...... 2,436 n/a 0

Total ...... 9,558 n/a 1,313 1 The Council recommended that harvest specifications for the hook-and-line gear sablefish Individual Fishing Quota fisheries be limited to 1 year. 2 The trawl allocation is based on allocating 5 percent of the combined Eastern Regulatory Area (West Yakutat and Southeast Outside com- bined) sablefish TAC to trawl gear in the West Yakutat District.

Demersal Shelf Rockfish (DSR) Apportionments to the Central GOA Program fisheries. Besides groundfish Rockfish Program species, the Rockfish Program allocates The recommended 2015 and 2016 a portion of the trawl halibut PSC limit DSR TAC is 225 mt, and management of These final 2015 and 2016 harvest specifications for the GOA include the (191 mt) from the third season deep- DSR is delegated to the State. The various fishery cooperative allocations water species fishery allowance for the Alaska Board of Fish has apportioned and sideboard limitations established by GOA trawl fisheries to Rockfish Program the annual SEO District DSR TACs the Central GOA Rockfish Program. participants (§ 679.81(d)), which between the commercial fishery (84 Program participants are primarily trawl includes 117 mt to the trawl CV sector percent) and the sport fishery (16 CVs and trawl C/Ps, with limited and 74 mt to the trawl C/P sector. percent) after deductions were made for participation by vessels using longline Section 679.81(a)(2)(ii) requires anticipated subsistence harvests (7 mt). gear. The Rockfish Program assigns allocations of 5 mt of Pacific ocean This results in 2015 and 2016 quota share and cooperative quota to perch, 5 mt of northern rockfish, and 30 allocations of 183 mt to the commercial participants for primary and secondary mt of dusky rockfish to the entry level fishery and 35 mt to the sport fishery. species, allows participants holding a longline fishery in 2015 and 2016. The The State deducts estimates of license limitation program (LLP) license allocation for the entry level longline fishery would increase incrementally incidental catch of DSR in the with rockfish quota share to form a each year if the catch exceeds 90 commercial halibut fishery and test rockfish cooperative, and allows holders of C/P LLP licenses to opt out of the percent of the allocation of a species. fishery mortality from the DSR The incremental increase in the commercial fishery allocation. In 2014, fishery. The Rockfish Program also has an entry level fishery for rockfish allocation would continue each year this resulted in 32 mt being available for primary species for vessels using until it is the maximum percent of the the directed commercial DSR fishery longline gear. TAC for that species. In 2014, the catch apportioned in one DSR district. The Under the Rockfish Program, rockfish did not exceed 90 percent of any State estimated that there was not primary species (Pacific ocean perch, allocated rockfish species. Therefore, sufficient DSR quota available to have northern rockfish, and dusky rockfish) NMFS is not increasing the entry level orderly fisheries in the three other DSR in the Central GOA are allocated to longline fishery 2015 and 2016 districts. DSR harvest in the halibut participants after deducting for allocations in the Central GOA. fishery is linked to the annual halibut incidental catch needs in other directed Longline gear includes hook-and-line, catch limits; therefore the State can only groundfish fisheries. Participants in the jig, troll, and handline gear. The estimate potential DSR incidental catch Rockfish Program also receive a portion remainder of the TACs for the rockfish because halibut catch limits are of the Central GOA TAC of specific primary species would be allocated to established by the International Pacific secondary species (Pacific cod, the CV and C/P cooperatives. Table 9 Halibut Commission (IPHC). Federally rougheye rockfish, sablefish, shortraker lists the allocations of the 2015 and permitted CVs using hook-and-line or rockfish, and thornyhead rockfish). initial 2016 TACs for each rockfish jig gear fishing for groundfish and Additionally, the Rockfish Program primary species to the entry level Pacific halibut in the SEO District of the establishes sideboard limits to restrict longline fishery, the incremental GOA are required to retain all DSR the ability of harvesters operating under increase for future years, and the (§ 679.20(j)). the Rockfish Program to increase their maximum percent of the TAC for the participation in other, non-Rockfish entry level longline fishery.

TABLE 9—FINAL 2015 AND INITIAL 2016 ALLOCATIONS OF ROCKFISH PRIMARY SPECIES TO THE ENTRY LEVEL LONGLINE FISHERY IN THE CENTRAL GULF OF ALASKA

Incremental increase in 2016 if ≥90% of Up to max- Rockfish primary species 2015 and 2016 allocations 2015 allocation is harvested imum % of TAC

Pacific ocean perch ...... 5 metric tons ...... 5 metric tons ...... 1 Northern rockfish ...... 5 metric tons ...... 5 metric tons ...... 2 Dusky rockfish ...... 30 metric tons ...... 20 metric tons ...... 5

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Section 679.81(a)(2) requires Central GOA of 2,000 mt of Pacific C/P cooperatives are not due to NMFS allocations of the rockfish primary ocean perch, 200 mt of northern until March 1 of each calendar year, species among various sectors of the rockfish, and 250 mt of dusky rockfish. therefore, NMFS cannot calculate 2015 Rockfish Program. Tables 10 and 11 list These amounts are based on recent and 2016 allocations in conjunction the final 2015 and 2016 allocations of average incidental catches in the Central with these final harvest specifications. rockfish primary species in the Central GOA by other groundfish fisheries. NMFS will post these allocations on the GOA to the entry level longline fishery Allocations between vessels belonging Alaska Region Web site at (http:// and Rockfish CV and C/P Cooperatives to CV or C/P cooperatives are not alaskafisheries.noaa.gov/ in the Rockfish Program. NMFS also is included in these final harvest sustainablefisheries/rockfish/) when setting aside incidental catch amounts specifications. Rockfish Program they become available after March 1. (ICAs) for other directed fisheries in the applications for CV cooperatives and

TABLE 10—FINAL 2015 ALLOCATIONS OF ROCKFISH PRIMARY SPECIES IN THE CENTRAL GULF OF ALASKA TO THE ENTRY LEVEL LONGLINE FISHERY AND ROCKFISH COOPERATIVES IN THE ROCKFISH PROGRAM [Values are rounded to the nearest metric ton]

Allocation to Incidental TAC minus the entry level Allocation to Rockfish primary species TAC catch the Rockfish ICA longline 1 allowance 2 fishery Cooperatives

Pacific ocean perch ...... 15,873 2,000 13,873 5 13,868 Northern rockfish ...... 3,772 200 3,572 5 3,567 Dusky rockfish ...... 3,336 250 3,086 30 3,056

Total ...... 22,981 2,450 20,531 40 20,491 1 Longline gear includes hook-and-line, jig, troll, and handline gear. 2 Rockfish Cooperatives include vessels in CV and C/P cooperatives.

TABLE 11—FINAL 2016 ALLOCATIONS OF ROCKFISH PRIMARY SPECIES IN THE CENTRAL GULF OF ALASKA TO THE ENTRY LEVEL LONGLINE FISHERY AND ROCKFISH COOPERATIVES IN THE ROCKFISH PROGRAM [Values are rounded to the nearest metric ton]

Allocation to Incidental TAC minus the entry level Allocation to Rockfish primary species TAC catch 1 the Rockfish ICA longline 2 allowance fishery Cooperatives

Pacific ocean perch ...... 16,184 2,000 14,184 5 14,179 Northern rockfish ...... 3,563 200 3,363 5 3,358 Dusky rockfish ...... 3,077 250 2,827 30 2,797

Total ...... 22,824 2,450 20,374 40 20,334 1 Longline gear includes hook-and-line, jig, troll, and handline gear. 2 Rockfish Cooperatives include vessels in CV and C/P cooperatives.

Section 679.81(c) requires allocations allocation, and thornyhead rockfish. C/ 13 list the apportionments of the 2015 of rockfish secondary species to CV and P cooperatives receive allocations of and 2016 TACs of rockfish secondary C/P cooperatives in the Central GOA. sablefish from the trawl allocation, species in the Central GOA to CV and CV cooperatives receive allocations of rougheye rockfish, shortraker rockfish, C/P cooperatives. Pacific cod, sablefish from the trawl gear and thornyhead rockfish. Tables 12 and

TABLE 12—FINAL 2015 APPORTIONMENTS OF ROCKFISH SECONDARY SPECIES IN THE CENTRAL GOA TO CATCHER VESSEL AND CATCHER/PROCESSOR COOPERATIVES [Values are rounded to the nearest metric ton]

Catcher vessel cooperatives Catcher/processor coopera- tives Rockfish secondary species Annual central GOA TAC Percentage of Apportionment Percentage of Apportionment TAC (mt) TAC (mt)

Pacific cod ...... 45,990 3.81 1,752 0.00 ...... Sablefish ...... 4,658 6.78 316 3.51 163 Shortraker rockfish ...... 397 0.00 ...... 40.00 159 Rougheye rockfish ...... 632 0.00 ...... 58.87 372 Thornyhead rockfish ...... 875 7.84 69 26.50 232

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TABLE 13—FINAL 2016 APPORTIONMENTS OF ROCKFISH SECONDARY SPECIES IN THE CENTRAL GOA TO CATCHER VESSEL AND CATHER/PROCESSOR COOPERATIVES [Values are rounded to the nearest metric ton]

Catcher vessel cooperatives Catcher/processor coopera- tives Rockfish secondary species Annual central GOA TAC Percentage of Apportionment Percentage of Apportionment TAC (mt) TAC (mt)

Pacific cod ...... 45,990 3.81 1,752 0.00 ...... Sablefish ...... 4,232 6.78 287 3.51 149 Shortraker rockfish ...... 397 0.00 ...... 40.00 159 Rougheye rockfish ...... 643 0.00 ...... 58.87 379 Thornyhead rockfish ...... 875 7.84 69 26.50 232

Halibut PSC Limits halibut, and 3) the directed commercial system contains historical and recent Section 679.21(d) establishes the DSR fishery has a low DSR TAC. catch information compiled from each annual halibut PSC limit The FMP authorizes the Council to Alaska groundfish fishery. apportionments to trawl and hook-and- exempt specific gear from the halibut Section 679.21(d)(4)(i) and (ii) line gear, and authorizes the PSC limits. NMFS, after consultation authorizes NMFS to seasonally establishment of apportionments for pot with the Council, exempts pot gear, jig apportion the halibut PSC limits after gear. Amendment 95 to the FMP (79 FR gear, and the sablefish IFQ hook-and- consultation with the Council. The FMP 9625, February 20, 2014) implemented line gear fishery categories from the and regulations require the Council and measures establishing GOA halibut PSC non-trawl halibut PSC limit for 2015 NMFS to consider the following limits in Federal regulations and and 2016. The Council recommended, information in seasonally apportioning reducing the halibut PSC limits in the and NMFS approves, these exemptions halibut PSC limits: 1) Seasonal GOA trawl and hook-and-line because 1) the pot gear fisheries have distribution of halibut; 2) seasonal groundfish fisheries. These reductions low annual halibut bycatch mortality; 2) distribution of target groundfish species are incorporated into the final 2015 and IFQ program regulations prohibit relative to halibut distribution; 3) 2016 halibut PSC limits. For most gear discard of halibut if any halibut IFQ expected halibut bycatch needs on a and operational types, the halibut PSC permit holder on board a catcher vessel seasonal basis relative to changes in limit reductions are phased-in over 3 holds unused halibut IFQ halibut biomass and expected catch of years, beginning in 2014 and ending in (§ 679.7(f)(11)); 3) sablefish IFQ target groundfish species; 4) expected 2016. fishermen typically hold halibut IFQ bycatch rates on a seasonal basis; 5) In December 2014, the Council permits and are therefore required to expected changes in directed groundfish incorporated these reductions into its retain the halibut they catch while fishing seasons; 6) expected actual start recommended final 2015 and 2016 fishing sablefish IFQ; and 4) NMFS of fishing effort; and 7) economic effects harvest specifications. The Council estimates negligible halibut mortality for of establishing seasonal halibut recommended 2015 halibut PSC limits the jig gear fisheries. NMFS estimates allocations on segments of the target of 1,759 mt for trawl gear, 261 mt for that halibut mortality is negligible in the groundfish industry. The Council hook-and-line gear, and 9 mt for the jig gear fisheries given the small amount considered information from the 2014 DSR fishery. The Council also of groundfish harvested by jig gear, the SAFE report, NMFS catch data, State of recommended 2016 halibut PSC limits selective nature of jig gear, and the high Alaska catch data, IPHC stock of 1,706 mt for the trawl sector, 256 mt survival rates of halibut caught and assessment and mortality data, and for the hook-and-line sector, and 9 mt released with jig gear. public testimony when apportioning the for the DSR fishery. The best available information on halibut PSC limits. NMFS concurs with The DSR fishery in the SEO District estimated halibut bycatch consists of the Council’s recommendations listed in is defined at § 679.21(d)(2)(ii)(A). This data collected by fisheries observers Tables 14 and 15, which respectively fishery is apportioned 9 mt of the during 2014. The calculated halibut shows the final 2015 and 2016 Pacific halibut PSC limit in recognition of its bycatch mortality through December 20, halibut PSC limits, allowances, and small-scale harvests of groundfish. 2014, is 1,394 mt for trawl gear and 199 apportionments. NMFS estimates low halibut bycatch in mt for hook-and-line gear for a total Sections 679.21(d)(4)(iii) and (iv) the DSR fishery because 1) the duration halibut mortality of 1,593 mt. This specify that any underages or overages of the DSR fisheries and the gear soak halibut mortality was calculated using of a seasonal apportionment of a PSC times are short, 2) the DSR fishery groundfish and halibut catch data from limit will be deducted from or added to occurs in the winter when less overlap the NMFS Alaska Region’s catch the next respective seasonal occurs in the distribution of DSR and accounting system. This accounting apportionment within the fishing year.

TABLE 14—FINAL 2015 PACIFIC HALIBUT PSC LIMITS, ALLOWANCES, AND APPORTIONMENTS [Values are in metric tons]

Trawl gear Hook-and-line gear 1 Other than DSR DSR Season Percent Amount Season Percent Amount Season Amount

January 20–April 1 ...... 27.5 484 January 1–June 10 ...... 86 225 January 1–December 31 9

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TABLE 14—FINAL 2015 PACIFIC HALIBUT PSC LIMITS, ALLOWANCES, AND APPORTIONMENTS—Continued [Values are in metric tons]

Trawl gear Hook-and-line gear 1 Other than DSR DSR Season Percent Amount Season Percent Amount Season Amount

April 1–July 1 ...... 20 352 June 10–September 1 ..... 2 5 ...... July 1–September 1 ...... 30 528 September 1–December 12 31 ...... 31. September 1–October 1 ... 7.5 132 ...... October 1–December 31 .. 15 264 ......

Total ...... 1,759 ...... 261 ...... 9 1 The Pacific halibut prohibited species catch (PSC) limit for hook-and-line gear is allocated to the demersal shelf rockfish (DSR) fishery and fisheries other than DSR. The hook-and-line sablefish fishery is exempt from halibut PSC limits, as are pot and jig gear for all groundfish fish- eries. Note: Seasonal or sector apportionments may not total precisely due to rounding.

TABLE 15—FINAL 2016 PACIFIC HALIBUT PSC LIMITS, ALLOWANCES, AND APPORTIONMENTS [Values are in metric tons]

Trawl gear Hook-and-line gear 1 Other than DSR DSR Season Percent Amount Season Percent Amount Season Amount

January 20–April 1 ...... 27.5 469 January 1–June 10 ...... 86 220 January 1–December 31 9 April 1–July 1 ...... 20 341 June 10–September 1 ..... 2 5 ...... July 1–September 1 ...... 30 512 September 1–December 12 31 ...... 31. September 1–October 1 ... 7.5 128 ...... October 1–December 31 .. 15 256 ......

Total ...... 1,706 ...... 256 ...... 9 1 The Pacific halibut prohibited species catch (PSC) limit for hook-and-line gear is allocated to the demersal shelf rockfish (DSR) fishery and fisheries other than DSR. The hook-and-line sablefish fishery is exempt from halibut PSC limits, as are pot and jig gear for all groundfish fish- eries. Note: Seasonal or sector apportionments may not total precisely due to rounding.

Section 679.21(d)(3)(ii) authorizes flatfish, flathead sole, Atka mackerel, are allocated from the trawl deep-water further apportionment of the trawl skates, and ‘‘other species’’ (sculpins, species fishery’s halibut PSC third halibut PSC limit to trawl fishery sharks, squids, and octopuses) seasonal apportionment. categories. The annual apportionments (§ 679.21(d)(3)(iii)). Tables 16 and 17 Section 679.21(d)(4)(iii)(B) limits the are based on each category’s list, respectively, the final 2015 and amount of the halibut PSC limit proportional share of the anticipated 2016 apportionments of halibut PSC allocated to Rockfish Program halibut bycatch mortality during the trawl limits between the trawl gear participants that could be re- fishing year and optimization of the deep-water and the shallow-water total amount of groundfish harvest species fishery categories. apportioned to the general GOA trawl under the halibut PSC limit. The fishery Table 28d to 50 CFR part 679 specifies fisheries to no more than 55 percent of categories for the trawl halibut PSC the amount of the trawl halibut PSC the unused annual halibut PSC limits are 1) a deep-water species limit that is assigned to the CV and C/ apportioned to Rockfish Program fishery, composed of sablefish, rockfish, P sectors that are participating in the participants. The remainder of the deep-water flatfish, rex sole, and Central GOA Rockfish Program. This unused Rockfish Program halibut PSC arrowtooth flounder; and 2) a shallow- includes 117 mt of halibut PSC limit to limit is unavailable for use by vessels water species fishery, composed of the CV sector and 74 mt of halibut PSC directed fishing with trawl gear for the pollock, Pacific cod, shallow-water limit to the C/P sector. These amounts remainder of the fishing year.

TABLE 16—FINAL 2015 APPORTIONMENT OF PACIFIC HALIBUT PSC TRAWL LIMITS BETWEEN THE TRAWL GEAR DEEP- WATER SPECIES FISHERY AND THE SHALLOW-WATER SPECIES FISHERY CATEGORIES [Values are in metric tons]

Season Shallow-water Deep-water 1 Total

January 20–April 1 ...... 396 88 ...... 484 April 1–July 1 ...... 88 264 ...... 352 July 1–September 1 ...... 176 352 ...... 528 September 1–October 1 ...... 132 Any remainder ...... 132 Subtotal January 20–October 1 ...... 792 704 ...... 1,496

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TABLE 16—FINAL 2015 APPORTIONMENT OF PACIFIC HALIBUT PSC TRAWL LIMITS BETWEEN THE TRAWL GEAR DEEP- WATER SPECIES FISHERY AND THE SHALLOW-WATER SPECIES FISHERY CATEGORIES—Continued [Values are in metric tons]

Season Shallow-water Deep-water 1 Total

October 1–December 31 2 ...... 264

Total ...... 1,760 1 Vessels participating in cooperatives in the Central GOA Rockfish Program will receive 191 mt of the third season (July 1 through September 1) deep-water species fishery halibut PSC apportionment. 2 There is no apportionment between trawl shallow-water and deep-water species fishery categories during the fifth season (October 1 through December 31).

TABLE 17—FINAL 2016 APPORTIONMENT OF PACIFIC HALIBUT PSC TRAWL LIMITS BETWEEN THE TRAWL GEAR DEEP- WATER SPECIES FISHERY AND THE SHALLOW-WATER SPECIES FISHERY CATEGORIES [Values are in metric tons]

Season Shallow-water Deep-water 1 Total

January 20–April 1 ...... 384 85 ...... 469 April 1–July 1 ...... 85 256 ...... 341 July 1–September 1 ...... 171 341 ...... 512 September 1–October 1 ...... 128 Any remainder ...... 128 Subtotal January 20–October 1 ...... 768 682 ...... 1,450 October 1–December 31 2 ...... 256

Total ...... 1,706 1 Vessels participating in cooperatives in the Central GOA Rockfish Program will receive 191 mt of the third season (July 1 through September 1) deep-water species fishery halibut PSC apportionment. 2 There is no apportionment between trawl shallow-water and deep-water species fishery categories during the fifth season (October 1 through December 31).

Section 679.21(d)(2)(B) requires that halibut PSC limits between the hook- in accordance with § 679.21(d)(2)(iii) the ‘‘other hook-and-line fishery’’ and-line CV and hook-and-line C/P incorporate the most recent change in halibut PSC limit apportionment to sectors. GOA Pacific cod distribution with vessels using hook-and-line gear must Pursuant to § 679.21(d)(2)(iii), the respect to establishing the annual be apportioned between CVs and C/Ps hook-and-line halibut PSC limit is halibut PSC limits for the CV and C/P in accordance with § 679.21(d)(2)(iii) in apportioned between the CV and C/P hook-and-line sectors. The annual conjunction with these harvest sectors in proportion to the total halibut PSC limits are divided into three specifications. A comprehensive Western and Central GOA Pacific cod seasonal apportionments, using seasonal allocations, which vary annually based description and example of the percentages of 86 percent, 2 percent, calculations necessary to apportion the on the proportion of the Pacific cod and 12 percent. ‘‘other hook-and-line fishery’’ halibut biomass. Pacific cod is apportioned PSC limit between the hook-and-line CV among these two management areas No later than November 1 of each and C/P sectors were included in the based on the percentage of overall year, NMFS will calculate the projected proposed rule to implement biomass per area, as calculated in the unused amount of halibut PSC limit by Amendment 83 (76 FR 44700, July 26, 2014 Pacific cod stock assessment. either of the hook-and-line sectors for 2011) and are not repeated here. Updated information in the final 2014 the remainder of the year. The projected For 2015, NMFS apportions halibut SAFE report describes this unused amount of halibut PSC limit is PSC limits of 145 mt and 116 mt to the distributional change, which is based on made available to the other hook-and- hook-and-line CV and hook-and-line C/ allocating ABC among regulatory areas line sector for the remainder of that P sectors, respectively. For 2016, NMFS on the basis of the three most recent fishing year if NMFS determines that an apportions halibut PSC limits of 140 mt stock surveys. The distribution of the additional amount of halibut PSC is and 116 mt to the hook-and-line CV and total GOA Pacific cod ABC has changed necessary for that sector to continue its hook-and-line C/P sectors, respectively. to 36 percent Western GOA, 61 percent directed fishing operations Tables 18 and 19 list, respectively, the Central GOA, and 3 percent Eastern (§ 679.21(d)(2)(iii)(C)). final 2015 and 2016 apportionments of GOA. Therefore, the calculations made

TABLE 18—FINAL 2015 APPORTIONMENTS OF THE ‘‘OTHER HOOK-AND-LINE FISHERIES’’ ANNUAL HALIBUT PSC ALLOWANCE BETWEEN THE HOOK-AND-LINE GEAR CATCHER VESSEL AND CATCHER/PROCESSOR SECTORS [Values are in metric tons]

‘‘Other than Sector DSR’’ Hook-and-line sector Sector annual Season Seasonal seasonal allowance amount percentage amount

261 ...... Catcher Vessel ...... 145 January 1–June 10 ...... 86 125 ...... June 10–September 1 ...... 2 3

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TABLE 18—FINAL 2015 APPORTIONMENTS OF THE ‘‘OTHER HOOK-AND-LINE FISHERIES’’ ANNUAL HALIBUT PSC ALLOWANCE BETWEEN THE HOOK-AND-LINE GEAR CATCHER VESSEL AND CATCHER/PROCESSOR SECTORS—Continued [Values are in metric tons]

‘‘Other than Sector DSR’’ Hook-and-line sector Sector annual Season Seasonal seasonal allowance amount percentage amount

...... September 1–December 31 ...... 12 17 Catcher/Processor ...... 116 January 1–June 10 ...... 86 100 ...... June 10–September 1 ...... 2 2 ...... September 1–December 31 ...... 12 14

TABLE 19—FINAL 2016 APPORTIONMENTS OF THE ‘‘OTHER HOOK-AND-LINE FISHERIES’’ ANNUAL HALIBUT PSC ALLOWANCE BETWEEN THE HOOK-AND-LINE GEAR CATCHER VESSEL AND CATCHER/PROCESSOR SECTORS [Values are in metric tons]

‘‘Other than Sector DSR’’ Hook-and-line sector Sector annual Season Seasonal seasonal allowance amount percentage amount

256 ...... Catcher Vessel ...... 140 January 1–June 10 ...... 86 120 ...... June 10–September 1 ...... 2 3 ...... September 1–December 31 ...... 12 17 Catcher/Processor ...... 116 January 1–June 10 ...... 86 100 ...... June 10–September 1 ...... 2 2 ...... September 1–December 31 ...... 12 14

Estimates of Halibut Biomass and Stock Regional Administrator uses observed fisheries. Long-term average DMRs were Condition halibut incidental catch rates, discard not available for some fisheries, so rates The IPHC annually assesses the mortality rates (DMRs), and estimates of from the most recent years were used. abundance and potential yield of the groundfish catch to project when a For the skate, sculpin, shark, squid, and Pacific halibut using all available data fishery’s halibut bycatch mortality octopus target fisheries, where not from the commercial and sport fisheries, allowance or seasonal apportionment is enough halibut mortality data are other removals, and scientific surveys. reached. The DMRs are based on the available, the mortality rate of halibut Additional information on the Pacific best information available, including caught in the Pacific cod fishery for that halibut stock assessment may be found information contained in the annual gear type was recommended as a default in the IPHC’s 2014 Pacific halibut stock SAFE report. rate. The IPHC will analyze observer assessment (December 2014), available NMFS is implementing the Council’s data annually and recommend changes on the IPHC Web site at www.iphc.int. recommendation that the halibut DMRs to the DMRs when a fishery DMR shows The IPHC considered the 2014 Pacific developed and recommended by the large variation from the mean. A halibut stock assessment at its January IPHC for the 2013 through 2015 GOA discussion of the DMRs and how the 2015 annual meeting when it set the groundfish fisheries be used for IPHC establishes them is available from 2015 commercial halibut fishery catch monitoring the final 2015 and 2016 the Council (see ADDRESSES). Table 20 limits. halibut bycatch mortality allowances lists the final 2015 and 2016 DMRs. (see Tables 14 through 19). The IPHC These DMRs are unchanged from the Halibut Discard Mortality Rates developed the DMRs for the 2013 proposed 2015 and 2016 harvest To monitor halibut bycatch mortality through 2015 GOA groundfish fisheries specifications (79 FR 72593, December allowances and apportionments, the using the 10-year mean DMRs for those 8, 2014).

TABLE 20—FINAL 2015 AND 2016 HALIBUT DISCARD MORTALITY RATES FOR VESSELS FISHING IN THE GULF OF ALASKA [Values are percent of halibut assumed to be dead]

Mortality rate Gear Target fishery (%)

Hook-and-line ...... Other fisheries 1 ...... 11 Skates ...... 11 Pacific cod ...... 11 Rockfish ...... 9 Trawl ...... Arrowtooth flounder ...... 73 Deep-water flatfish ...... 43 Flathead sole ...... 65 Non-pelagic pollock ...... 60 Other fisheries 1 ...... 62 Pacific cod ...... 62 Pelagic pollock ...... 71 Rex sole ...... 69 Rockfish ...... 66

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TABLE 20—FINAL 2015 AND 2016 HALIBUT DISCARD MORTALITY RATES FOR VESSELS FISHING IN THE GULF OF ALASKA—Continued [Values are percent of halibut assumed to be dead]

Mortality rate Gear Target fishery (%)

Sablefish ...... 71 Shallow-water flatfish ...... 67 Pot ...... Other fisheries 1 ...... 17 Pacific cod ...... 17 1 Other fisheries includes all gear types for skates, sculpins, sharks, squids, octopuses, and hook-and-line sablefish.

Chinook Salmon Prohibited Species processors, 1,200 Chinook salmon to those fishermen and processors who Catch Limits trawl catcher vessels participating in the receive exclusive harvesting and In 2012, NMFS issued a final rule to Central GOA Rockfish Program, and processing privileges under the AFA. implement Amendment 93 to the GOA 2,700 Chinook salmon to trawl catcher Section 679.7(k)(1)(ii) prohibits listed FMP (77 FR 42629, July 20, 2012). vessels not participating in the Central AFA C/Ps from harvesting any species Amendment 93 established separate GOA Rockfish Program that are fishing of groundfish in the GOA. Additionally, Chinook salmon PSC limits in the for groundfish species other than § 679.7(k)(1)(iv) prohibits listed AFA C/ Western and Central GOA in the pollock (§ 679.21(i)(3)). NMFS will Ps from processing any pollock directed pollock fishery. These limits monitor the Chinook salmon PSC in the harvested in a directed pollock fishery require NMFS to close the pollock non-pollock GOA groundfish fisheries in the GOA and any groundfish directed fishery in the Western and and close an applicable sector if it harvested in Statistical Area 630 of the Central regulatory areas of the GOA if reaches its Chinook salmon PSC limit. GOA. the applicable limit is reached The Chinook salmon PSC limit for AFA CVs that are less than 125 ft (§ 679.21(h)(6)). The annual Chinook two sectors, trawl catcher/processors (38.1 meters) length overall, have salmon PSC limits in the pollock and trawl catcher vessels not annual landings of pollock in the Bering directed fishery of 6,684 salmon in the participating in the Central GOA Sea and Aleutian Islands less than 5,100 Western GOA and 18,316 salmon in the Rockfish Program, may be increased in mt, and have made at least 40 Central GOA are set in regulation at subsequent years based on the groundfish landings from 1995 through § 679.21(h)(2)(i) and (ii). In addition, all performance of these two sectors and 1997 are exempt from GOA sideboard salmon (regardless of species) taken in their ability to minimize their use of limits under § 679.64(b)(2)(ii). the pollock directed fisheries in the their respective Chinook salmon PSC Sideboard limits for non-exempt AFA Western and Central GOA must be limits. If either or both of these two CVs in the GOA are based on their retained until an observer at the sectors limits its use of Chinook salmon traditional harvest levels of TAC in processing facility that takes delivery of PSC to a certain threshold amount in groundfish fisheries covered by the the catch is provided an opportunity to 2015, that sector will receive an FMP. Section 679.64(b)(3)(iii) count the number of salmon and to incremental increase to its 2016 establishes the groundfish sideboard collect any scientific data or biological Chinook salmon PSC limit limitations in the GOA based on the samples from the salmon (§ 679.21(i)(3)). retained catch of non-exempt AFA CVs of each sideboard species from 1995 (§ 679.21(h)(4)). American Fisheries Act (AFA) C/P and As described earlier in this preamble, through 1997 divided by the TAC for CV Groundfish Harvest and PSC Limits NMFS issued a final rule to implement that species over the same period. Amendment 97 to the FMP (79 FR Section 679.64 establishes groundfish Tables 21 and 22 list the final 2015 71350, , 2014). That action harvesting and processing sideboard and 2016 groundfish sideboard limits established an initial annual PSC limit limitations on AFA C/Ps and CVs in the for non-exempt AFA CVs. NMFS will of 7,500 Chinook salmon for the non- GOA. These sideboard limits are deduct all targeted or incidental catch of pollock groundfish fisheries. This limit necessary to protect the interests of sideboard species made by non-exempt is apportioned among three sectors: fishermen and processors who do not AFA CVs from the sideboard limits 3,600 Chinook salmon to trawl catcher/ directly benefit from the AFA from listed in Tables 21 and 22.

TABLE 21—FINAL 2015 GOA NON-EXEMPT AMERICAN FISHERIES ACT CATCHER VESSEL (CV) GROUNDFISH HARVEST SIDEBOARD LIMITS [Values are rounded to the nearest metric ton]

Ratio of 1995– 1997 non-ex- Final 2015 Species Apportionments by season/ Area/component empt AFA CV Final 2015 non-exempt gear catch to 1995– TACs AFA CV 1997 TAC sideboard limit

Pollock ...... A Season, January 20– Shumagin (610) ...... 0.6047 3,632 2,196 March 10. Chirikof (620) ...... 0.1167 30,503 3,560 Kodiak (630) ...... 0.2028 11,316 2,295 B Season, March 10–May 31 Shumagin (610) ...... 0.6047 3,632 2,196 Chirikof (620) ...... 0.1167 37,820 4,414 Kodiak (630) ...... 0.2028 4,000 811

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TABLE 21—FINAL 2015 GOA NON-EXEMPT AMERICAN FISHERIES ACT CATCHER VESSEL (CV) GROUNDFISH HARVEST SIDEBOARD LIMITS—Continued [Values are rounded to the nearest metric ton]

Ratio of 1995– 1997 non-ex- Final 2015 Species Apportionments by season/ Area/component empt AFA CV Final 2015 non-exempt gear catch to 1995– TACs AFA CV 1997 TAC sideboard limit

C Season, August 25–Octo- Shumagin (610) ...... 0.6047 12,185 7,368 ber 1. Chirikof (620) ...... 0.1167 14,628 1,707 Kodiak (630) ...... 0.2028 18,639 3,780 D Season, October 1–No- Shumagin (610) ...... 0.6047 12,185 7,368 vember 1. Chirikof (620) ...... 0.1167 14,628 1,707 Kodiak (630) ...... 0.2028 18,639 3,780 Annual ...... WYK (640) ...... 0.3495 4,719 1,649 SEO (650) ...... 0.3495 12,625 4,412 Pacific cod ...... A Season, 1 January 1–June W ...... 0.1331 16,255 2,164 10. C ...... 0.0692 27,594 1,910 B Season, 2 September 1– W ...... 0.1331 10,837 1,442 December 31. C ...... 0.0692 18,396 1,273 Annual ...... E inshore ...... 0.0079 1,909 15 E offshore ...... 0.0078 212 2 Sablefish ...... Annual, trawl gear ...... W ...... 0.0000 295 ...... C ...... 0.0642 932 60 E ...... 0.0433 220 10 Flatfish, Shallow-water ...... Annual ...... W ...... 0.0156 13,250 207 C ...... 0.0587 19,297 1,133 E ...... 0.0126 2,834 36 Flatfish, deep-water ...... Annual ...... W ...... 0.0000 301 ...... C ...... 0.0647 3,689 239 E ...... 0.0128 9,344 120 Rex sole ...... Annual ...... W ...... 0.0007 1,258 1 C ...... 0.0384 5,816 223 E ...... 0.0029 2,076 6 Arrowtooth flounder ...... Annual ...... W ...... 0.0021 14,500 30 C ...... 0.0280 75,000 2,100 E ...... 0.0002 13,800 3 Flathead sole ...... Annual ...... W ...... 0.0036 8,650 31 C ...... 0.0213 15,400 328 E ...... 0.0009 3,706 3 Pacific ocean perch ...... Annual ...... W ...... 0.0023 2,302 5 C ...... 0.0748 15,873 1,187 E ...... 0.0466 2,837 132 Northern rockfish ...... Annual ...... W ...... 0.0003 1,226 ...... C ...... 0.0277 3,772 104 Shortraker rockfish ...... Annual ...... W ...... 0.0000 92 ...... C ...... 0.0218 397 9 E ...... 0.0110 834 9 Dusky rockfish ...... Annual ...... W ...... 0.0001 296 ...... C ...... 0.0000 3,336 ...... E ...... 0.0067 1,477 10 Rougheye rockfish ...... Annual ...... W ...... 0.0000 115 ...... C ...... 0.0237 632 15 E ...... 0.0124 375 5 Demersal shelf rockfish ...... Annual ...... SEO ...... 0.0020 225 ...... Thornyhead rockfish ...... Annual ...... W ...... 0.0280 235 7 C ...... 0.0280 875 25 E ...... 0.0280 731 20 Other rockfish ...... Annual ...... W ...... 0.0034 ...... C ...... 0.1699 1,031 175 E ...... 0.0000 780 Atka mackerel ...... Annual ...... Gulfwide ...... 0.0309 2,000 62 Big skates ...... Annual ...... W ...... 0.0063 731 5 C ...... 0.0063 1,257 8 E ...... 0.0063 1,267 8 Longnose skates ...... Annual ...... W ...... 0.0063 152 1 C ...... 0.0063 2,090 13 E ...... 0.0063 976 6 Other skates ...... Annual ...... Gulfwide ...... 0.0063 2,235 14 Sculpins ...... Annual ...... Gulfwide ...... 0.0063 5,569 35 Sharks ...... Annual ...... Gulfwide ...... 0.0063 5,989 38 Squids ...... Annual ...... Gulfwide ...... 0.0063 1,148 7

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TABLE 21—FINAL 2015 GOA NON-EXEMPT AMERICAN FISHERIES ACT CATCHER VESSEL (CV) GROUNDFISH HARVEST SIDEBOARD LIMITS—Continued [Values are rounded to the nearest metric ton]

Ratio of 1995– 1997 non-ex- Final 2015 Species Apportionments by season/ Area/component empt AFA CV Final 2015 non-exempt gear catch to 1995– TACs AFA CV 1997 TAC sideboard limit

Octopuses ...... Annual ...... Gulfwide ...... 0.0063 1,507 9 1 The Pacific cod A season for trawl gear does not open until January 20. 2 The Pacific cod B season for trawl gear closes November 1.

TABLE 22—FINAL 2016 GOA NON-EXEMPT AMERICAN FISHERIES ACT CATCHER VESSEL (CV) GROUNDFISH HARVEST SIDEBOARD LIMITS [Values are rounded to the nearest metric ton]

Ratio of 1995– 1997 non-ex- Final 2016 Species Apportionments by season/gear Area/component empt AFA CV Final 2016 non-exempt catch to 1995– TACs AFA CV 1997 TAC sideboard limit

Pollock ...... A Season, January 20–March 10 Shumagin (610) ...... 0.6047 4,760 2,879 Chirikof (620) ...... 0.1167 39,992 4,667 Kodiak (630) ...... 0.2028 14,839 3,009 B Season, March 10–May 31 ..... Shumagin (610) ...... 0.6047 4,760 2,879 Chirikof (620) ...... 0.1167 49,586 5,787 Kodiak (630) ...... 0.2028 5,245 1,064 C Season, August 25–October 1 Shumagin (610) ...... 0.6047 15,975 9,660 Chirikof (620) ...... 0.1167 19,179 2,238 Kodiak (630) ...... 0.2028 24,437 4,956 D Season, October 1–November Shumagin (610) ...... 0.6047 15,975 9,660 1. Chirikof (620) ...... 0.1167 19,179 2,238 Kodiak (630) ...... 0.2028 24,437 4,956 Annual WYK (640) ...... 0.3495 6,187 2,162 SEO (650) ...... 0.3495 12,625 4,412 Pacific cod ...... A Season 1, January 1–June 10 W ...... 0.1331 16,255 2,164 C ...... 0.0692 27,594 1,910 B Season 2, September 1–De- W ...... 0.1331 10,837 1,442 cember 31. C ...... 0.0692 18,396 1,273 Annual ...... E inshore ...... 0.0079 1,909 15 E offshore ...... 0.0078 212 2 Sablefish ...... Annual, trawl gear ...... W ...... 0.0000 268 ...... C ...... 0.0642 846 54 E ...... 0.0433 199 9 Flatfish, Shallow-water ...... Annual ...... W ...... 0.0156 13,250 207 C ...... 0.0587 17,114 1,005 E ...... 0.0126 2,513 32 Flatfish, deep-water ...... Annual ...... W ...... 0.0000 299 ...... C ...... 0.0647 3,645 236 E ...... 0.0128 9,233 118 Rex sole ...... Annual ...... W ...... 0.0007 1,234 1 C ...... 0.0384 5,707 219 E ...... 0.0029 2,038 6 Arrowtooth flounder ...... Annual ...... W ...... 0.0021 14,500 30 C ...... 0.0280 75,000 2,100 E ...... 0.0002 13,800 3 Flathead sole ...... Annual ...... W ...... 0.0036 8,650 31 C ...... 0.0213 15,400 328 E ...... 0.0009 3,709 3 Pacific ocean perch ...... Annual ...... W ...... 0.0023 2,358 5 C ...... 0.0748 16,184 1,211 E ...... 0.0466 2,894 135 Northern rockfish ...... Annual ...... W ...... 0.0003 1,158 ...... C ...... 0.0277 3,563 99 Shortraker rockfish ...... Annual ...... W ...... 0.0000 92 ...... C ...... 0.0218 397 9 E ...... 0.0110 834 9 Dusky rockfish ...... Annual ...... W ...... 0.0001 273 ...... C ...... 0.0000 3,077 ...... E ...... 0.0067 1,361 9

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TABLE 22—FINAL 2016 GOA NON-EXEMPT AMERICAN FISHERIES ACT CATCHER VESSEL (CV) GROUNDFISH HARVEST SIDEBOARD LIMITS—Continued [Values are rounded to the nearest metric ton]

Ratio of 1995– 1997 non-ex- Final 2016 Species Apportionments by season/gear Area/component empt AFA CV Final 2016 non-exempt catch to 1995– TACs AFA CV 1997 TAC sideboard limit

Rougheye rockfish ...... Annual ...... W ...... 0.0000 117 ...... C ...... 0.0237 643 15 E ...... 0.0124 382 5 Demersal shelf rockfish ..... Annual ...... SEO ...... 0.0020 225 ...... Thornyhead rockfish ...... Annual ...... W ...... 0.0280 235 7 C ...... 0.0280 875 25 E ...... 0.0280 731 20 Other rockfish ...... Annual ...... W ...... 0.0034 ...... C ...... 0.1699 1,031 175 E ...... 0.0000 780 - Atka mackerel ...... Annual ...... Gulfwide ...... 0.0309 2,000 62 Big skates ...... Annual ...... W ...... 0.0063 731 5 C ...... 0.0063 1,257 8 E ...... 0.0063 1,267 8 Longnose skates ...... Annual ...... W ...... 0.0063 152 1 C ...... 0.0063 2,090 13 E ...... 0.0063 976 6 Other skates ...... Annual ...... Gulfwide ...... 0.0063 2,235 14 Sculpins ...... Annual ...... Gulfwide ...... 0.0063 5,569 35 Sharks ...... Annual ...... Gulfwide ...... 0.0063 5,989 38 Squids ...... Annual ...... Gulfwide ...... 0.0063 1,148 7 Octopuses ...... Annual ...... Gulfwide ...... 0.0063 1,507 9 1 The Pacific cod A season for trawl gear does not open until January 20. 2 The Pacific cod B season for trawl gear closes November 1.

Non-Exempt AFA Catcher Vessel 1995 through 1997 divided by the of trawl halibut PSC limits between the Halibut PSC Limits retained catch of all vessels in that deep-water and shallow-water species fishery from 1995 through 1997 fisheries categories proportionately The halibut PSC sideboard limits for (§ 679.64(b)(4)). Tables 23 and 24 list the incorporate reductions made to the non-exempt AFA CVs in the GOA are final 2015 and 2016 non-exempt AFA annual trawl halibut PSC limits and based on the aggregate retained CV halibut PSC limits for vessels using associated seasonal apportionments (see groundfish catch by non-exempt AFA trawl gear in the GOA, respectively. The Tables 14 and 15). CVs in each PSC target category from 2015 and 2016 seasonal apportionments

TABLE 23—FINAL 2015 NON-EXEMPT AFA CV HALIBUT PROHIBITED SPECIES CATCH (PSC) LIMITS FOR VESSELS USING TRAWL GEAR IN THE GOA [Values are rounded to nearest metric ton]

Ratio of 1995–1997 non-ex- 2015 non-ex- Season Season dates Target fishery empt AFA CV retained 2015 PSC limit empt AFA CV catch to total retained catch PSC limit

1 ...... January 20–April 1 ...... shallow-water ...... 0.340 ...... 396 135 deep-water ...... 0.070 ...... 88 6 2 ...... April 1–July 1 ...... shallow-water ...... 0.340 ...... 88 30 deep-water ...... 0.070 ...... 264 18 3 ...... July 1–September 1 ...... shallow-water ...... 0.340 ...... 176 60 deep-water ...... 0.070 ...... 352 25 4 ...... September 1–October 1 ..... shallow-water ...... 0.340 ...... 132 45 deep-water ...... 0.070 ...... 0 0 5 ...... October 1–December 31 .... all targets ...... 0.205 ...... 264 54

Total ...... 1,760 373

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TABLE 24—FINAL 2016 NON-EXEMPT AFA CV HALIBUT PROHIBITED SPECIES CATCH (PSC) LIMITS FOR VESSELS USING TRAWL GEAR IN THE GOA [Values are rounded to nearest metric ton]

Ratio of 1995–1997 non- 2016 exempt AFA CV retained non-exempt Season Season dates Target fishery catch to total retained 2016 PSC limit AFA CV catch PSC limit

1 ...... January 20–April 1 ...... shallow-water ...... 0.340 ...... 384 131 deep-water ...... 0.070 ...... 85 6 2 ...... April 1–July 1 ...... shallow-water ...... 0.340 ...... 85 29 deep-water ...... 0.070 ...... 256 18 3 ...... July 1–September 1 ...... shallow-water ...... 0.340 ...... 171 58 deep-water ...... 0.070 ...... 341 24 4 ...... September 1–October 1 shallow-water ...... 0.340 ...... 128 44 deep-water ...... 0.070 ...... 0 0 5 ...... October 1–December 31 all targets ...... 0.205 ...... 256 52

Total ...... 1,706 361

Non-AFA Crab Vessel Groundfish groundfish fishery (except the fixed-gear Management Plan for Bering Sea/ Harvest Limitations sablefish fishery). Sideboard limits also Aleutian Island King and Tanner Crabs apply to catch made using an LLP (76 FR 35772, June 20, 2011), and Section 680.22 establishes groundfish license derived from the history of a Amendment 83 to the GOA FMP (76 FR catch limits for vessels with a history of restricted vessel, even if that LLP 74670, December 1, 2011). participation in the Bering Sea snow license is used on another vessel. crab fishery to prevent these vessels The basis for these sideboard limits is Tables 25 and 26 list the final 2015 from using the increased flexibility described in detail in the final rules and 2016 groundfish sideboard provided by the Crab Rationalization implementing the major provisions of limitations for non-AFA crab vessels. Program to expand their level of Amendments 18 and 19 to the Fishery All targeted or incidental catch of participation in the GOA groundfish Management Plan for Bering Sea/ sideboard species made by non-AFA fisheries. Sideboard limits restrict these Aleutian Islands King and Tanner Crabs crab vessels or associated LLP licenses vessels’ catch to their collective (70 FR 10174, March 2, 2005), will be deducted from these sideboard historical landings in each GOA Amendment 34 to the Fishery limits.

TABLE 25—FINAL 2015 GOA NON-AMERICAN FISHERIES ACT CRAB VESSEL GROUNDFISH HARVEST SIDEBOARD LIMITS [Values are rounded to the nearest metric ton]

Ratio of 1996– 2000 non-AFA Final 2015 crab vessel Final 2015 non-AFA crab Species Season/gear Area/component/gear catch to 1996– TACs vessel 2000 total har- sideboard limit vest

Pollock ...... A Season, January 20– Shumagin (610) ...... 0.0098 3,632 36 March 10. Chirikof (620) ...... 0.0031 30,503 95 Kodiak (630) ...... 0.0002 11,316 2 B Season, March 10–May 31 Shumagin (610) ...... 0.0098 3,632 36 Chirikof (620) ...... 0.0031 37,820 117 Kodiak (630) ...... 0.0002 4,000 1 C Season, August 25–Octo- Shumagin (610) ...... 0.0098 12,185 119 ber 1. Chirikof (620) ...... 0.0031 14,628 45 Kodiak (630) ...... 0.0002 18,639 4 D Season, October 1–No- Shumagin (610) ...... 0.0098 12,185 119 vember 1. Chirikof (620) ...... 0.0031 14,628 45 Kodiak (630) ...... 0.0002 18,639 4 Annual ...... WYK (640) ...... 0.0000 4,719 ...... SEO (650) ...... 0.0000 12,625 ...... Pacific cod ...... A Season 1, January 1–June W Jig ...... 0.0000 16,255 ...... 10. W Hook-and-line CV ...... 0.0004 16,255 7 W Hook-and-line C/P ...... 0.0018 16,255 29 W Pot CV ...... 0.0997 16,255 1,621 W Pot C/P ...... 0.0078 16,255 127 W Trawl CV ...... 0.0007 16,255 11 C Jig ...... 0.0000 27,594 ...... C Hook-and-line CV ...... 0.0001 27,594 3 C Hook-and-line C/P ...... 0.0012 27,594 33

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TABLE 25—FINAL 2015 GOA NON-AMERICAN FISHERIES ACT CRAB VESSEL GROUNDFISH HARVEST SIDEBOARD LIMITS— Continued [Values are rounded to the nearest metric ton]

Ratio of 1996– 2000 non-AFA Final 2015 crab vessel Final 2015 non-AFA crab Species Season/gear Area/component/gear catch to 1996– TACs vessel 2000 total har- sideboard limit vest

C Pot CV ...... 0.0474 27,594 1,308 C Pot C/P ...... 0.0136 27,594 375 C Trawl CV ...... 0.0012 27,594 33 B Season 2 ...... W Jig ...... 0.0000 10,837 ...... Jig Gear: June 10–Decem- W Hook-and-line CV ...... 0.0004 10,837 4 ber 31. W Hook-and-line C/P ...... 0.0001 10,837 20 All other gears: ...... W Pot CV ...... 0.0997 10,837 1,080 September 1–December 31 W Pot C/P ...... 0.0078 10,837 85 W Trawl CV ...... 0.0007 10,837 8 C Jig ...... 0.0000 18,396 ...... C Hook-and-line CV ...... 0.0001 18,396 2 C Hook-and-line C/P ...... 0.0012 18,396 22 C Pot CV ...... 0.0474 18,396 872 C Pot C/P ...... 0.0136 18,396 250 C Trawl CV ...... 0.0012 18,396 22 Annual ...... E inshore ...... 0.0110 1,909 21 E offshore ...... 0.0000 212 ...... Sablefish ...... Annual, trawl gear ...... W ...... 0.0000 295 ...... C ...... 0.0000 932 ...... E ...... 0.0000 220 ...... Flatfish, shallow-water ...... Annual ...... W ...... 0.0059 13,250 78 C ...... 0.0001 19,297 2 E ...... 0.0000 2,834 ...... Flatfish, deep-water ...... Annual ...... W ...... 0.0035 301 1 C ...... 0.0000 3,689 ...... E ...... 0.0000 9,344 ...... Rex sole ...... Annual ...... W ...... 0.0000 1,258 ...... C ...... 0.0000 5,816 ...... E ...... 0.0000 2,076 ...... Arrowtooth flounder ...... Annual ...... W ...... 0.0004 14,500 6 C ...... 0.0001 75,000 8 E ...... 0.0000 13,800 ...... Flathead sole ...... Annual ...... W ...... 0.0002 8,650 2 C ...... 0.0004 15,400 6 E ...... 0.0000 3,706 ...... Pacific ocean perch ...... Annual ...... W ...... 0.0000 2,302 ...... C ...... 0.0000 15,873 ...... E ...... 0.0000 2,837 ...... Northern rockfish ...... Annual ...... W ...... 0.0005 1,226 1 C ...... 0.0000 3,772 ...... Shortraker rockfish ...... Annual ...... W ...... 0.0013 92 0 C ...... 0.0012 397 0 E ...... 0.0009 834 1 Dusky rockfish ...... Annual ...... W ...... 0.0017 296 1 C ...... 0.0000 3,336 ...... E ...... 0.0000 1,477 ...... Rougheye rockfish ...... Annual ...... W ...... 0.0067 115 1 C ...... 0.0047 632 3 E ...... 0.0008 375 0 Demersal shelf rockfish ...... Annual ...... SEO ...... 0.0000 225 ...... Thornyhead rockfish ...... Annual ...... W ...... 0.0047 235 1 C ...... 0.0066 875 6 E ...... 0.0045 731 3 Other rockfish ...... Annual ...... W ...... 0.0035 ...... C ...... 0.0033 1,031 3 E ...... 0.0000 780 ...... Atka mackerel ...... Annual ...... Gulfwide ...... 0.0000 2,000 ...... Big skate ...... Annual ...... W ...... 0.0392 731 29 C ...... 0.0159 1,257 20 E ...... 0.0000 1,267 ...... Longnose skate ...... Annual ...... W ...... 0.0392 152 6 C ...... 0.0159 2,090 33 E ...... 0.0000 976 ...... Other skates ...... Annual ...... Gulfwide ...... 0.0176 2,235 39

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TABLE 25—FINAL 2015 GOA NON-AMERICAN FISHERIES ACT CRAB VESSEL GROUNDFISH HARVEST SIDEBOARD LIMITS— Continued [Values are rounded to the nearest metric ton]

Ratio of 1996– 2000 non-AFA Final 2015 crab vessel Final 2015 non-AFA crab Species Season/gear Area/component/gear catch to 1996– TACs vessel 2000 total har- sideboard limit vest

Sculpins ...... Annual ...... Gulfwide ...... 0.0176 5,569 98 Sharks ...... Annual ...... Gulfwide ...... 0.0176 5,989 105 Squids ...... Annual ...... Gulfwide ...... 0.0176 1,148 20 Octopuses ...... Annual ...... Gulfwide ...... 0.0176 1,507 27 1 The Pacific cod A season for trawl gear does not open until January 20. 2 The Pacific cod B season for trawl gear closes November 1.

TABLE 26—FINAL 2016 GOA NON-AMERICAN FISHERIES ACT CRAB VESSEL GROUNDFISH HARVEST SIDEBOARD LIMITS [Values are rounded to the nearest metric ton]

Ratio of 1996– 2000 non-AFA Final 2016 crab vessel Final 2016 non-AFA crab Species Season/gear Area/component/gear catch to 1996– TACs vessel 2000 total har- sideboard limit vest

Pollock ...... A Season, January 20– Shumagin (610) ...... 0.0098 4,760 47 March 10. Chirikof (620) ...... 0.0031 39,992 124 Kodiak (630) ...... 0.0002 14,839 3 B Season, March 10–May 31 Shumagin (610) ...... 0.0098 4,760 47 Chirikof (620) ...... 0.0031 49,586 154 Kodiak (630) ...... 0.0002 5,245 1 C Season, August 25–Octo- Shumagin (610) ...... 0.0098 15,975 157 ber 1. Chirikof (620) ...... 0.0031 19,179 59 Kodiak (630) ...... 0.0002 24,437 5 D Season, October 1–No- Shumagin (610) ...... 0.0098 15,975 157 vember 1. Chirikof (620) ...... 0.0031 19,179 59 Kodiak (630) ...... 0.0002 24,437 5 Annual ...... WYK (640) ...... 0.0000 6,187 ...... SEO (650) ...... 0.0000 12,625 ...... Pacific cod ...... A Season 1, January 1–June W Jig ...... 0.0000 16,255 ...... 10. W Hook-and-line CV ...... 0.0004 16,255 7 W Hook-and-line C/P ...... 0.0018 16,255 29 W Pot CV ...... 0.0997 16,255 1,621 W Pot C/P ...... 0.0078 16,255 127 W Trawl CV ...... 0.0007 16,255 11 C Jig ...... 0.0000 27,594 ...... C Hook-and-line CV ...... 0.0001 27,594 3 C Hook-and-line C/P ...... 0.0012 27,594 33 C Pot CV ...... 0.0474 27,594 1,308 C Pot C/P ...... 0.0136 27,594 375 C Trawl CV ...... 0.0012 27,594 33 B Season 2 ...... W Jig ...... 0.0000 10,837 ...... Jig Gear: June 10–Decem- W Hook-and-line CV ...... 0.0004 10,837 4 ber 31. W Hook-and-line C/P ...... 0.0018 10,837 20 All other gears: September W Pot CV ...... 0.0997 10,837 1,080 1–December 31. W Pot C/P ...... 0.0078 10,837 85 W Trawl CV ...... 0.0007 10,837 8 C Jig ...... 0.0000 18,396 ...... C Hook-and-line CV ...... 0.0001 18,396 2 C Hook-and-line C/P ...... 0.0012 18,396 22 C Pot CV ...... 0.0474 18,396 872 C Pot C/P ...... 0.0136 18,396 250 C Trawl CV ...... 0.0012 18,396 22 Annual ...... E inshore ...... 0.0110 1,909 21 E offshore ...... 0.0000 212 ...... Sablefish ...... Annual, trawl gear ...... W ...... 0.0000 268 ......

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TABLE 26—FINAL 2016 GOA NON-AMERICAN FISHERIES ACT CRAB VESSEL GROUNDFISH HARVEST SIDEBOARD LIMITS— Continued [Values are rounded to the nearest metric ton]

Ratio of 1996– 2000 non-AFA Final 2016 crab vessel Final 2016 non-AFA crab Species Season/gear Area/component/gear catch to 1996– TACs vessel 2000 total har- sideboard limit vest

C ...... 0.0000 846 ...... E ...... 0.0000 199 ...... Flatfish, shallow-water ...... Annual ...... W ...... 0.0059 13,250 78 C ...... 0.0001 17,114 2 E ...... 0.0000 2,513 ...... Flatfish, deep-water ...... Annual ...... W ...... 0.0035 299 1 C ...... 0.0000 3,645 ...... E ...... 0.0000 9,233 ...... Rex sole ...... Annual ...... W ...... 0.0000 1,234 ...... C ...... 0.0000 5,707 ...... E ...... 0.0000 2,038 ...... Arrowtooth flounder ...... Annual ...... W ...... 0.0004 14,500 6 C ...... 0.0001 75,000 8 E ...... 0.0000 13,800 ...... Flathead sole ...... Annual ...... W ...... 0.0002 8,650 2 C ...... 0.0004 15,400 6 E ...... 0.0000 3,709 ...... Pacific ocean perch ...... Annual ...... W ...... 0.0000 2,358 ...... C ...... 0.0000 16,184 ...... E ...... 0.0000 2,894 ...... Northern rockfish ...... Annual ...... W ...... 0.0005 1,158 1 C ...... 0.0000 3,563 ...... Shortraker rockfish ...... Annual ...... W ...... 0.0013 92 0 C ...... 0.0012 397 0 E ...... 0.0009 834 1 Dusky rockfish ...... Annual ...... W ...... 0.0017 273 0 C ...... 0.0000 3,077 ...... E ...... 0.0000 1,361 ...... Rougheye rockfish ...... Annual ...... W ...... 0.0067 117 1 C ...... 0.0047 643 3 E ...... 0.0008 382 0 Demersal shelf rockfish ...... Annual ...... SEO ...... 0.0000 225 ...... Thornyhead rockfish ...... Annual ...... W ...... 0.0047 235 1 C ...... 0.0066 875 6 E ...... 0.0045 731 3 Other rockfish ...... Annual ...... W ...... 0.0035 ...... C ...... 0.0033 1,031 3 E ...... 0.0000 780 ...... Atka mackerel ...... Annual ...... Gulfwide ...... 0.0000 2,000 ...... Big skate ...... Annual ...... W ...... 0.0392 731 29 C ...... 0.0159 1,257 20 E ...... 0.0000 1,267 ...... Longnose skate ...... Annual ...... W ...... 0.0392 152 6 C ...... 0.0159 2,090 33 E ...... 0.0000 976 ...... Other skates ...... Annual ...... Gulfwide ...... 0.0176 2,235 39 Sculpins ...... Annual ...... Gulfwide ...... 0.0176 5,569 98 Sharks ...... Annual ...... Gulfwide ...... 0.0176 5,989 105 Squids ...... Annual ...... Gulfwide ...... 0.0176 1,148 20 Octopuses ...... Annual ...... Gulfwide ...... 0.0176 1,507 27 1 The Pacific cod A season for trawl gear does not open until January 20. 2 The Pacific cod B season for trawl gear closes November 1.

Rockfish Program Groundfish the ability of rockfish harvesters to arrowtooth flounder, deep-water Sideboard and Halibut PSC Limitations expand into other fisheries. flatfish, and rex sole in the GOA from CVs participating in the Rockfish July 1 through July 31 (§ 679.82(d)). The Rockfish Program establishes Program may not participate in directed Catcher/processors participating in three classes of sideboard provisions: fishing for dusky rockfish, Pacific ocean Rockfish Program cooperatives are CV groundfish sideboard restrictions, C/ perch, and northern rockfish in the West restricted by rockfish and halibut PSC P rockfish sideboard restrictions, and C/ Yakutat district and Western GOA from sideboard limits. These C/Ps are P opt-out vessel sideboard restrictions. July 1 through July 31. Also, CVs may prohibited from directed fishing for These sideboards are intended to limit not participate in directed fishing for dusky rockfish, Pacific ocean perch, and

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northern rockfish in the West Yakutat cooperative will be able to access that limits in the West Yakutat district and district and Western GOA from July 1 portion of each sideboard limit that is the Western GOA. Due to confidentiality through July 31. Holders of C/P- not assigned to rockfish cooperatives. requirements associated with fisheries designated LLP licenses that opt out of Tables 27 and 28 list the final 2015 and data, the sideboard limits for the West participating in a Rockfish Program 2016 Rockfish Program C/P sideboard Yakutat district are not displayed.

TABLE 27—FINAL 2015 ROCKFISH PROGRAM HARVEST LIMITS BY SECTOR FOR WEST YAKUTAT DISTRICT AND WESTERN GOA BY THE CATCHER/PROCESSOR SECTOR [Values are rounded to the nearest metric ton]

C/P sector Final 2015 Area Fishery (% of TAC) TACs Final 2015 C/P limit

West Yakutat District ...... Dusky rockfish ...... Confidential 1 ...... 1,288 Confidential.1 Pacific ocean perch ...... Confidential 1 ...... 2,014 Confidential.1 Western GOA ...... Dusky rockfish ...... 72.3 ...... 296 214. Pacific ocean perch ...... 50.6 ...... 2,302 1,165. Northern rockfish ...... 74.3 ...... 1,226 911. 1 Not released due to confidentiality requirements associated with fish ticket data, as established by NMFS and the State of Alaska.

TABLE 28—FINAL 2016 ROCKFISH PROGRAM HARVEST LIMITS BY SECTOR FOR WEST YAKUTAT DISTRICT AND WESTERN GOA BY THE CATCHER/PROCESSOR SECTOR [Values are rounded to the nearest metric ton]

C/P sector Final 2016 Area Fishery (% of TAC) TACs Final 2016 C/P limit

West Yakutat District ...... Dusky rockfish ...... Confidential 1 ...... 1,187 Confidential.1 Pacific ocean perch ...... Confidential 1 ...... 2,055 Confidential.1 Western GOA ...... Dusky rockfish ...... 72.3 ...... 273 197. Pacific ocean perch ...... 50.6 ...... 2,358 1,193. Northern rockfish ...... 74.3 ...... 1,158 860. 1 Not released due to confidentiality requirements associated with fish ticket data, as established by NMFS and the State of Alaska.

Under the Rockfish Program, the C/P rockfish cooperatives. The sideboard these allocations on the Alaska Region sector is subject to halibut PSC provisions for C/Ps that elect to opt out Web site at http:// sideboard limits for the trawl deep- of participating in a rockfish cooperative alaskafisheries.noaa.gov/ water and shallow-water species are described in § 679.82(c), (e), and (f). sustainablefisheries/rockfish/. Tables 29 fisheries from July 1 through July 31. No Sideboard limits are linked to the catch and 30 list the 2015 and 2016 Rockfish halibut PSC sideboard limits apply to history of specific vessels that may Program halibut PSC limits for the the CV sector, as vessels participating in choose to opt out. After March 1, NMFS catcher/processor sector. These halibut cooperatives receive a portion of the will determine which C/Ps have opted- PSC limits proportionately incorporate annual halibut PSC limit. C/Ps that opt out of the Rockfish Program in 2015, reductions made to the annual trawl out of the Rockfish Program would be and will know the ratios and amounts halibut PSC limits and associated able to access that portion of the deep- used to calculate opt-out sideboard season apportionments (see Tables 14 water and shallow-water halibut PSC ratios. NMFS will then calculate any and 15). sideboard limit not assigned to C/P applicable opt-out sideboards and post

TABLE 29—FINAL 2015 ROCKFISH PROGRAM HALIBUT MORTALITY LIMITS FOR THE CATCHER/PROCESSOR SECTOR [Values are rounded to the nearest metric ton]

Annual Annual Shallow-water Deep-water shallow-water deep-water species fishery species fishery 2015 halibut species fishery species fishery Sector halibut PSC halibut PSC mortality limit halibut PSC halibut PSC sideboard ratio sideboard ratio (mt) sideboard limit sideboard limit (percent) (percent) (mt) (mt)

Catcher/processor ...... 0.10 2.50 1,759 2 44

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TABLE 30—FINAL 2016 ROCKFISH PROGRAM HALIBUT MORTALITY LIMITS FOR THE CATCHER/PROCESSOR SECTOR [Values are rounded to the nearest metric ton]

Annual Annual Shallow-water Deep-water shallow-water deep-water species fishery species fishery 2016 halibut species fishery species fishery Sector halibut PSC halibut PSC mortality limit halibut PSC halibut PSC sideboard ratio sideboard ratio (mt) sideboard limit sideboard limit (percent) (percent) (mt) (mt)

Catcher/processor ...... 0.10 2.50 1,706 2 43

Amendment 80 Program Groundfish 80 Program to expand their harvest Groundfish sideboard limits for and PSC Sideboard Limits efforts in the GOA. Amendment 80 Program vessels Amendment 80 to the Fishery Section 679.92 establishes groundfish operating in the GOA are based on their Management Plan for Groundfish of the harvesting sideboard limits on all average aggregate harvests from 1998 Bering Sea and Aleutian Islands Amendment 80 program vessels, other through 2004. Tables 31 and 32 list the Management Area (Amendment 80 than the F/V GOLDEN FLEECE, to final 2015 and 2016 sideboard limits for Program) established a limited access amounts no greater than the limits listed Amendment 80 Program vessels. NMFS privilege program for the non-AFA trawl in Table 37 to 50 CFR part 679. Under will deduct all targeted or incidental C/P sector. The Amendment 80 Program regulations at § 679.92(d), the F/V catch of sideboard species made by established groundfish and halibut PSC GOLDEN FLEECE is prohibited from Amendment 80 Program vessels from catch limits for Amendment 80 Program directed fishing for pollock, Pacific cod, the sideboard limits in Tables 31 and participants to limit the ability of Pacific ocean perch, dusky rockfish, and 32. participants eligible for the Amendment northern rockfish in the GOA.

TABLE 31—FINAL 2015 GOA GROUNDFISH SIDEBOARD LIMITS FOR AMENDMENT 80 PROGRAM VESSELS [Values are rounded to nearest metric ton]

Ratio of Amendment 2015 Apportionments and 80 sector 2015 TAC Amendment Species allocations by season Area vessels 1998– (mt) 80 vessel 2004 catch to sideboards TAC (mt)

Pollock ...... A Season, January 20–Feb- Shumagin (610) ...... 0.003 3,632 11 ruary 25. Chirikof (620) ...... 0.002 30,503 61 Kodiak (630) ...... 0.002 11,316 23 B Season, March 10–May 31 Shumagin (610) ...... 0.003 3,632 11 Chirikof (620) ...... 0.002 37,820 76 Kodiak (630) ...... 0.002 4,000 8 C Season, August 25–Sep- Shumagin (610) ...... 0.003 12,185 37 tember 15. Chirikof (620) ...... 0.002 14,628 29 Kodiak (630) ...... 0.002 18,639 37 D Season, October 1–No- Shumagin (610) ...... 0.003 12,185 37 vember 1. Chirikof (620) ...... 0.002 14,628 29 Kodiak (630) ...... 0.002 18,639 37 Annual ...... WYK (640) ...... 0.002 4,719 9 Pacific cod ...... A Season 1, January 1–June W ...... 0.020 16,255 325 10. C ...... 0.044 27,594 1,214 B Season 2, September 1– W ...... 0.020 10,837 217 December 31. C ...... 0.044 18,396 809 Annual ...... WYK ...... 0.034 2,121 72 Pacific ocean perch ...... Annual ...... W ...... 0.994 2,302 2,288 WYK ...... 0.961 2,014 1,935 Northern rockfish ...... Annual ...... W ...... 1.000 1,226 1,226 Dusky rockfish ...... Annual ...... W ...... 0.764 296 226 WYK ...... 0.896 1,288 1,154 1 The Pacific cod A season for trawl gear does not open until January 20. 2 The Pacific cod B season for trawl gear closes November 1.

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TABLE 32—FINAL 2016 GOA GROUNDFISH SIDEBOARD LIMITS FOR AMENDMENT 80 PROGRAM VESSELS [Values are rounded to nearest metric ton]

Ratio of 2016 Amendment Amendment Apportionments and allocations 80 sector 2016 TAC 80 Species by season Area vessels 1998– (mt) vessel 2004 catch to sideboards TAC (mt)

Pollock ...... A Season, January 20–February Shumagin (610) ...... 0.003 4,760 14 25. Chirikof (620) ...... 0.002 39,992 80 Kodiak (630) ...... 0.002 14,839 30 B Season, March 10–May 31 ..... Shumagin (610) ...... 0.003 4,760 14 Chirikof (620) ...... 0.002 49,586 99 Kodiak (630) ...... 0.002 5,245 10 C Season, August 25–Sep- Shumagin (610) ...... 0.003 15,975 48 tember 15. Chirikof (620) ...... 0.002 19,179 38 Kodiak (630) ...... 0.002 24,437 49 D Season, October 1–November Shumagin (610) ...... 0.003 15,975 48 1. Chirikof (620) ...... 0.002 19,179 38 Kodiak (630) ...... 0.002 24,437 49 Annual ...... WYK (640) ...... 0.002 6,187 12 Pacific cod ...... A Season 1, January 1–June 10 W ...... 0.020 16,255 325 C ...... 0.044 27,594 1,214 B Season 2, September 1–De- W ...... 0.020 10,837 217 cember 31. C ...... 0.044 18,396 809 Annual ...... WYK ...... 0.034 2,121 72 Pacific ocean perch ...... Annual ...... W ...... 0.994 2,358 2,344 WYK ...... 0.961 2,055 1,975 Northern rockfish ...... Annual ...... W ...... 1.000 1,158 1,158 Dusky rockfish ...... Annual ...... W ...... 0.764 273 209 WYK ...... 0.896 1,187 1,064 1 The Pacific cod A season for trawl gear does not open until January 20. 2 The Pacific cod B season for trawl gear closes November 1.

The PSC sideboard limits for Program and the exemption of the F/V 679. These halibut PSC limits Amendment 80 Program vessels in the GOLDEN FLEECE from this restriction proportionately incorporate the GOA are based on the historic use of (§ 679.92(b)(2)). Tables 33 and 34 list the reductions made to the annual trawl halibut PSC by Amendment 80 Program final 2015 and 2016 halibut PSC limits halibut PSC limits and associated vessels in each PSC target category from for Amendment 80 Program vessels, seasonal apportionments (see Tables 14 1998 through 2004. These values are respectively. These tables incorporate and 15). Additionally, residual amounts slightly lower than the average historic the maximum percentages of the halibut of a seasonal Amendment 80 sideboard use to accommodate two factors: PSC sideboard limits that may be used halibut PSC limit may carry forward to Allocation of halibut PSC cooperative by Amendment 80 Program vessels as the next season limit (§ 679.92(b)(2)). quota under the Central GOA Rockfish contained in Table 38 to 50 CFR part

TABLE 33—FINAL 2015 HALIBUT PSC LIMITS FOR AMENDMENT 80 PROGRAM VESSELS IN THE GOA [Values are rounded to nearest metric ton]

Historic Amendment 80 use of the 2015 Season Season dates Target fishery annual halibut 2015 annual PSC limit Amendment PSC limit (mt) 80 vessel catch PSC limit (ratio)

1 ...... January 20–April 1 ...... shallow-water ...... 0.0048 1,759 ...... 8 deep-water ...... 0.0115 1,759 ...... 20 2 ...... April 1–July 1 ...... shallow-water ...... 0.0189 1,759 ...... 33 deep-water ...... 0.1072 1,759 ...... 189 3 ...... July 1–September 1 ...... shallow-water ...... 0.0146 1,759 ...... 26 deep-water ...... 0.0521 1,759 ...... 92 4 ...... September 1–October 1 ...... shallow-water ...... 0.0074 1,759 ...... 13 deep-water ...... 0.0014 1,759 ...... 2 5 ...... October 1–December 31 ...... shallow-water ...... 0.0227 1,759 ...... 40 deep-water ...... 0.0371 1,759 ...... 65

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TABLE 33—FINAL 2015 HALIBUT PSC LIMITS FOR AMENDMENT 80 PROGRAM VESSELS IN THE GOA—Continued [Values are rounded to nearest metric ton]

Historic Amendment 80 use of the 2015 Season Season dates Target fishery annual halibut 2015 annual PSC limit Amendment PSC limit (mt) 80 vessel catch PSC limit (ratio)

Total: ...... 488

TABLE 34—FINAL 2016 HALIBUT PSC LIMITS FOR AMENDMENT 80 PROGRAM VESSELS IN THE GOA [Values are rounded to nearest metric ton]

Historic Amendment 80 use of the 2016 Season Season dates Target fishery annual halibut 2016 annual PSC limit Amendment PSC limit (mt) 80 vessel catch PSC limit (ratio)

1 ...... January 20–April 1 ...... shallow-water ...... 0.0048 1,706 ...... 8 deep-water ...... 0.0115 1,706 ...... 20 2 ...... April 1–July 1 ...... shallow-water ...... 0.0189 1,706 ...... 32 deep-water ...... 0.1072 1,706 ...... 183 3 ...... July 1–September 1 ...... shallow-water ...... 0.0146 1,706 ...... 25 deep-water ...... 0.0521 1,706 ...... 89 4 ...... September 1–October 1 ...... shallow-water ...... 0.0074 1,706 ...... 13 deep-water ...... 0.0014 1,706 ...... 2 5 ...... October 1–December 31 ...... shallow-water ...... 0.0227 1,706 ...... 39 deep-water ...... 0.0371 1,706 ...... 63 Total: ...... 474

Directed Fishing Closures inshore or offshore component or sector GOA regulatory area or district allocation will be reached, the Regional (§ 679.20(d)(1)(iii)). Pursuant to § 679.20(d)(1)(i), if the Administrator may establish a directed Regional Administrator determines (1) The Regional Administrator has fishing allowance (DFA) for that species determined that the TACs for the that any allocation or apportionment of or species group. If the Regional species listed in Table 35 are necessary a target species or species group Administrator establishes a DFA and to account for the incidental catch of allocated or apportioned to a fishery that allowance is or will be reached will be reached; or (2) with respect to before the end of the fishing year, NMFS these species in other anticipated pollock and Pacific cod, that an will prohibit directed fishing for that groundfish fisheries for the 2015 and allocation or apportionment to an species or species group in the specified 2016 fishing years.

TABLE 35—2015 AND 2016 DIRECTED FISHING CLOSURES IN THE GOA [Amounts for incidental catch in other directed fisheries are in metric tons]

Incidental catch amount and year Target Area/component/gear (if amounts differ by year)

Pollock ...... all/offshore ...... not applicable 1. Sablefish 2 ...... all/trawl ...... 1,446 (2015). 1,313 (2016). Pacific cod ...... Western, catcher/processor, trawl 627. Central, catcher/processor, trawl ... 1,911. Shortraker rockfish 2 ...... all ...... 1,323. Rougheye rockfish 2 ...... all ...... 1,122 (2015) 1,142 (2016). Thornyhead rockfish ...... all ...... 1,841. Other rockfish ...... all ...... 1,811. Atka mackerel ...... all ...... 2,000. Big skate ...... all ...... 3,255. Longnose skate ...... all ...... 3,218. Other skates ...... all ...... 2,235. Sharks ...... all ...... 5,989. Squids ...... all ...... 1,148. Octopuses ...... all ...... 1,507. 1 Pollock is closed to directed fishing in the GOA by the offshore component under § 679.20(a)(6)(i). 2 Closures not applicable to participants in cooperatives conducted under the Central GOA Rockfish Program.

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Consequently, in accordance with Section 679.64(b)(5) provides for fisheries for the 2015 and 2016 fishing § 679.20(d)(1)(i), the Regional management of AFA CV groundfish years. In accordance with Administrator establishes the DFA for harvest limits and PSC bycatch limits § 679.20(d)(1)(iv), the Regional the species or species groups listed in using directed fishing closures and PSC Administrator sets the DFAs for the Table 35 as zero mt. Therefore, in closures according to procedures set out species and species groups in Table 36 accordance with § 679.20(d)(1)(iii), at §§ 679.20(d)(1)(iv), 679.21(d)(6), and at zero mt. Therefore, in accordance NMFS is prohibiting directed fishing for 679.21(e)(3)(v). The Regional with § 679.20(d)(1)(iii), NMFS is those species, areas, gear types, and Administrator has determined that, in prohibiting directed fishing by non- components in the GOA listed in Table addition to the closures listed above, exempt AFA CVs in the GOA for the 35. These closures will remain in effect many of the non-exempt AFA CV species and specified areas listed in through 2400 hrs, A.l.t., December 31, sideboard limits listed in Tables 21 and Table 36. These closures will remain in 2016. 22 are necessary as incidental catch to effect through 2400 hrs, A.l.t., December support other anticipated groundfish 31, 2016.

TABLE 36—2015 AND 2016 NON-EXEMPT AFA CV SIDEBOARD DIRECTED FISHING CLOSURES FOR ALL GEAR TYPES IN THE GOA [Amounts for incidental catch in other directed fisheries are in metric tons]

Species Regulatory area/district Incidental catch amount

Pacific cod ...... Eastern ...... 15 (inshore) and 2 (offshore). Shallow-water flatfish ...... Eastern ...... 36 in 2015, 32 in 2016. Deep-water flatfish ...... Western ...... 0. Rex sole ...... Eastern and Western ...... 6 and 1 (2015), 5 and 1 (2016). Arrowtooth flounder ...... Eastern and Western ...... 3 and 30. Flathead sole ...... Eastern and Western ...... 3 and 31. Pacific ocean perch ...... Western ...... 5. Northern rockfish ...... Western ...... 0. Dusky rockfish ...... Entire GOA ...... 10 in 2015, 9 in 2016. Demersal shelf rockfish ...... SEO District ...... 0. Sculpins ...... Entire GOA ...... 35. Squids ...... Entire GOA ...... 7.

Section 680.22 provides for the regulations at 50 CFR part 679. NMFS area. The EIS found no significant management of non-AFA crab vessel may implement other closures during environmental consequences of this sideboards using directed fishing the 2015 and 2016 fishing years as action and its alternatives. The preferred closures in accordance with necessary for effective conservation and alternative is a harvest strategy in which § 680.22(e)(2) and (3). The Regional management. TACs are set at a level that falls within Administrator has determined that the Comments and Response the range of ABCs recommended by the non-AFA crab vessel sideboards listed Council’s SSC; the sum of the TACs NMFS did not receive any comments in Tables 25 and 26 are insufficient to must achieve the OY specified in the in response to the proposed 2015 and support a directed fishery and has set FMP. The SIR evaluates the need to the sideboard DFA at zero mt, with the 2016 harvest specifications (79 FR 72593, December 8, 2014). prepare a Supplemental EIS (SEIS) for exception of Pacific cod pot CV sector the 2015 and 2016 groundfish harvest apportionments in the Western and Classification specifications. Central Regulatory Areas. Therefore, NMFS has determined that these final NMFS is prohibiting directed fishing by An SEIS should be prepared if 1) the harvest specifications are consistent non-AFA crab vessels in the GOA for all agency makes substantial changes in the with the FMP and with the Magnuson- species and species groups listed in proposed action that are relevant to Stevens Act and other applicable laws. Tables 25 and 26, with the exception of environmental concerns, or 2) This action is authorized under 50 the Pacific cod pot CV sector significant new circumstances or CFR 679.20 and is exempt from review information exist relevant to apportionments in the Western and under Executive Orders 12866 and environmental concerns and bearing on Central Regulatory Areas. 13563. the proposed action or its impacts (40 Closures implemented under the 2014 NMFS prepared an EIS for this action CFR 1502.9(c)(1)). After reviewing the and 2015 GOA harvest specifications for (see ADDRESSES) and made it available to groundfish (79 FR 12890, March 6, the public on January 12, 2007 (72 FR information contained in the SIR and 2014) remain effective under authority 1512). On February 13, 2007, NMFS SAFE reports, the Regional of these final 2015 and 2016 harvest issued the Record of Decision (ROD) for Administrator has determined that 1) specifications, and are posted at the the EIS. In January 2015, NMFS approval of the 2015 and 2016 harvest following Web site: http:// prepared a Supplemental Information specifications, which were set according www.alaskafisheries.noaa.gov/cm/info_ Report (SIR) for this action. Copies of to the preferred harvest strategy in the bulletins/. While these closures are in the EIS, ROD, and SIR for this action are EIS, do not constitute a substantial effect, the maximum retainable amounts available from NMFS (see ADDRESSES). change in the action; and 2) there are no at § 679.20(e) and (f) apply at any time The EIS analyzes the environmental significant new circumstances or during a fishing trip. These closures to consequences of the groundfish harvest information relevant to environmental directed fishing are in addition to specifications and alternative harvest concerns and bearing on the action or its closures and prohibitions found in strategies on resources in the action

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impacts. Additionally, the 2015 and summary in the proposed rule. The number of directly regulated small 2016 harvest specifications will result in comment period closed on January 7, entities. environmental impacts within the scope 2015. No comments were received on This action does not modify of those analyzed and disclosed in the the IRFA or the economic impacts of the recordkeeping or reporting EIS. Therefore, supplemental National rule more generally. requirements. The entities directly regulated by this Environmental Policy Act NMFS considered other, alternative action include a) entities operating documentation is not necessary to harvest strategies when choosing the vessels with groundfish FFPs catching implement the 2015 and 2016 harvest preferred harvest strategy (Alternative 2) FMP groundfish in Federal waters; b) all specifications. in December 2006. These included the Section 604 of the Regulatory entities operating vessels, regardless of following: Flexibility Act requires that, when an whether they hold groundfish FFPs, • agency promulgates a final rule under catching FMP groundfish in the state- Alternative 1: Set TACs to produce section 553 of Title 5 of the United waters parallel fisheries; and c) all fishing mortality rates, F, that are equal States Code, after being required by that entities operating vessels fishing for to maxFABC, unless the sum of the section, or any other law, to publish a halibut inside three miles of the shore TACs is constrained by the OY general notice of proposed rulemaking, (whether or not they have FFPs). established in the FMPs. This is the agency shall prepare a final On June 12, 2014, the Small Business equivalent to setting TACs to produce regulatory flexibility analysis (FRFA). Administration issued an interim final harvest levels equal to the maximum Section 604 describes the required rule revising the small business size permissible ABCs, as constrained by contents of a FRFA: 1) A statement of standards for several industries effective OY. The term ‘‘maxFABC’’ refers to the the need for, and objectives of, the rule; July 14, 2014 (79 FR 33647, June 12, maximum permissible value of FABC 2) a statement of the significant issues 2014). The rule increased the size under Amendment 56 to the groundfish raised by the public comments in standard for Finfish Fishing from $19.0 FMPs. Historically, the TAC has been response to the initial regulatory million to $20.5 million, Shellfish set at or below the ABC, therefore, this flexibility analysis, a statement of the Fishing from $ 5.0 million to $5.5 alternative represents a likely upper assessment of the agency of such issues, million, and Other Marine Fishing from limit for setting the TAC within the OY and a statement of any changes made in $7.0 million to $7.5 million. and ABC limits. the proposed rule as a result of such Based on data from 2013 fishing • Alternative 3: For species in Tiers 1, comments; 3) the response of the agency activity, there were 1,156 individual 2, and 3, set TAC to produce F equal to to any comments filed by the Chief catcher vessel entities with gross the most recent 5-year average actual F. Counsel for Advocacy of the Small revenues meeting small entity criteria. For species in Tiers 4, 5, and 6, set TAC Business Administration in response to Of these entities, 1,075 used hook-and- equal to the most recent 5-year average the proposed rule, and a detailed line gear, 116 used pot gear, and 33 used actual catch. For stocks with a high statement of any change made to the trawl gear (some of these entities used level of scientific information, TACs proposed rule in the final rule as a more than one gear type, thus the counts would be set to produce harvest levels result of the comments; 4) a description of entities using the different gear types equal to the most recent 5-year average of and an estimate of the number of do not sum to the total number of actual fishing mortality rates. For stocks small entities to which the rule will entities above). Three individual with insufficient scientific information, apply or an explanation of why no such catcher/processors met the small entity TACs would be set equal to the most estimate is available; 5) a description of criterion; two used hook-and-line gear, recent 5-year average actual catch. This the projected reporting, recordkeeping and one used trawl gear. Catcher/ alternative recognizes that for some and other compliance requirements of processor gross revenues were not stocks, catches may fall well below the rule, including an estimate of the reported for confidentiality reasons, ABCs, and recent average F may provide classes of small entities which will be however hook-and-line small entities a better indicator of actual F than FABC subject to the requirement and the type had average gross revenues of $380,000, does. small pot entities had average gross of professional skills necessary for • Alternative 4: 1) Set TACs for preparation of the report or record; 6) a revenues of $960,000, and small trawl rockfish species in Tier 3 at F75%. Set description of the steps the agency has entities had average gross revenues of TACs for rockfish species in Tier 5 at F taken to minimize the significant $2.8 million. = 0.5M. Set spatially explicit TACs for economic impact on small entities Some of these vessels are members of shortraker and rougheye rockfish in the consistent with the stated objectives of AFA inshore pollock cooperatives, of GOA. 2) Taking the rockfish TACs as applicable statutes, including a GOA rockfish cooperatives, or of BSAI calculated above, reduce all other TACs statement of the factual, policy, and crab rationalization cooperatives and, by a proportion that does not vary legal reasons for selecting the alternative therefore, under the Regulatory across species, so that the sum of all adopted in the final rule and why each Flexibility Act (RFA) it is the aggregate TACs, including rockfish TACs, is equal one of the other significant alternatives gross receipts of all participating to the lower bound of the area OY to the rule considered by the agency members of the cooperative that must (116,000 mt in the GOA). This which affect the impact on small meet the threshold. Vessels that alternative sets conservative and entities was rejected. participate in these cooperatives are A description of this action, its considered to be large entities within spatially explicit TACs for rockfish purpose, and its legal basis are the meaning of the RFA. These species that are long-lived and late to contained at the beginning of the relationships are accounted for, along mature and sets conservative TACs for preamble to this final rule and are not with corporate affiliations among the other groundfish species. • repeated here. vessels, to the extent that they are Alternative 5: (No Action) Set TACs NMFS published the proposed rule on known, in the estimated number of at zero. December 8, 2014 (79 FR 72593). NMFS small entities. If affiliations exist of These four alternatives do not meet prepared an Initial Regulatory which NMFS is unaware, or if entities the objectives of this action although Flexibility Analysis (IRFA) to had non-fishing revenue sources, the they have a smaller adverse economic accompany this action, and included a estimates above may overstate the impact on small entities than the

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preferred alternative. The Council Because most species of other rockfish 2014 and 2015 harvest specifications (79 rejected these alternatives as harvest are caught exclusively with trawl gear, FR 12890, March 6, 2014) were not strategies in 2006, and the Secretary did the catch of such species with other gear reached, it is possible that they would so in 2007. types, such as hook-and-line, is low. be closed prior to the expiration of a 30- Alternative 1 selected harvest rates The commercial catch of other rockfish day delayed effectiveness period, that will allow fishermen to harvest in the Eastern regulatory area, which because their TACs could be reached stocks at the level of ABCs, unless total includes the West Yakutat and within that period. If implemented harvests are constrained by the upper Southeast Outside districts, has ranged immediately, this rule would allow bound of the GOA OY of 800,000 metric from approximately 70 mt to 248 mt per these fisheries to continue because the tons. The sums of ABCs in 2015 and year over the last decade. new TACs implemented by this rule are 2016 are 685,597 mt and 731,049 mt, • The GOA-wide Atka mackerel TAC higher than the ones under which they respectively. The sums of the TACs in is set below the ABC. The estimates of are currently fishing. 2015 and 2016 are 536,158 mt and survey biomass continue to be Certain fisheries, such as those for 590,161 mt, respectively. Thus, unreliable in the GOA. Therefore, the pollock and Pacific cod, are intensive, although the sum of ABCs in each year Council recommended and NMFS fast-paced fisheries. Other fisheries, is less than 800,000 metric tons, the agrees that the Atka mackerel TAC in such as those for sablefish, flatfish, sums of the TACs in each year are less the GOA be set at an amount to support rockfish, Atka mackerel, skates, than the sums of the ABCs. incidental catch in other directed sculpins, sharks, squids, and octopuses, In most cases, the Council has set fisheries. are critical as directed fisheries and as TACs equal to ABCs. The divergence Alternative 3 selects harvest rates incidental catch in other fisheries. U.S. between aggregate TACs and aggregate based on the most recent 5 years of fishing vessels have demonstrated the ABCs reflects a variety of special harvest rates (for species in Tiers 1 capacity to catch the TAC allocations in species- and fishery-specific through 3) or for the most recent 5 years many of these fisheries. If this rule circumstances: of harvests (for species in Tiers 4 allowed for a 30-day delay in • Pacific cod TACs are set equal to 70 through 6). This alternative is effectiveness and if a TAC were reached percent in the Western GOA and 75 inconsistent with the objectives of this during those 30 days, NMFS would percent in the Central GOA of the action, because it does not take account close directed fishing or prohibit Pacific cod ABCs in each year to of the most recent biological retention for the applicable species. Any account for the guideline harvest levels information for this fishery. delay in allocating the final TACs in (GHL) set by the State of Alaska for its Alternative 4 would lead to these fisheries would cause confusion to GHL Pacific cod fisheries (30 and 25 significantly lower harvests of all the industry and potential economic percent, respectively, of the Western species to reduce TACs from the upper harm through unnecessary discards, and Central GOA ABCs). Thus, the end of the OY range in the GOA to its thus undermining the intent of the rule. difference between the Federal TACs lower end of 116,000 mt. Overall, this Waiving the 30-day delay allows NMFS and ABCs does not actually reflect a would reduce 2015 TACs by about 78 to prevent economic loss to fishermen Pacific cod harvest below the Pacific percent. This would lead to significant that could otherwise occur should the cod ABC, as the balance is available for reductions in harvests of species by 2015 TACs be reached. Determining the State’s cod GHL fisheries. small entities. While production which fisheries may close is impossible • Shallow-water flatfish and flathead declines in the GOA would because these fisheries are affected by sole TACs are set below ABCs in the undoubtedly be associated with price several factors that cannot be predicted Western and Central GOA regulatory increases in the GOA, these increases in advance, including fishing effort, areas. Arrowtooth flounder TACs are set would still be constrained by the weather, movement of fishery stocks, below ABC in all GOA regulatory areas. availability of substitutes, and are very and market price. Furthermore, the Catches of these flatfish species rarely, unlikely to offset revenue declines from closure of one fishery has a cascading if ever, approach the proposed ABCs or smaller production. Thus, this action effect on other fisheries by freeing-up TACs. Important trawl fisheries in the would have a detrimental economic fishing vessels, allowing them to move GOA take halibut PSC, and are impact on small entities. from closed fisheries to open ones, constrained by limits on the allowable Alternative 5, which sets all harvests increasing the fishing capacity in those halibut PSC mortality. These limits equal to zero, may also address open fisheries, and causing them to routinely force the closure of trawl conservation issues, but would have a close at an accelerated pace. fisheries before they have harvested the significant adverse economic impact on In fisheries subject to declining available groundfish ABC. Thus, actual small entities. sideboard limits, a failure to implement harvests of groundfish in the GOA Impacts on marine mammals resulting the updated sideboard limits before routinely fall short of some ABCs and from fishing activities conducted under initial season’s end could deny the TACs. Markets can also constrain this rule are discussed in the EIS and intended economic protection to the harvests below the TACs, as has been SIR (see ADDRESSES). non-sideboarded sectors. Conversely, in the case with arrowtooth flounder, in Pursuant to 5 U.S.C. 553(d)(3), the fisheries with increasing sideboard the past. These TACs are set to allow for Assistant Administrator for Fisheries, limits, economic benefit could be increased harvest opportunities for NOAA, finds good cause to waive the denied to the sideboard limited sectors. these targets while conserving the 30-day delay in effectiveness for this If the final harvest specifications are halibut PSC limit for use in other, more rule because delaying this rule would be not effective by March 14, 2015, which fully utilized, fisheries. contrary to the public interest. The Plan is the start of the 2015 Pacific halibut • The other rockfish TAC is set below Team review occurred in November season as specified by the IPHC, the the ABC in the Southeast Outside 2014, and Council consideration and hook-and-line sablefish fishery will not district based on several factors. In recommendations occurred in December begin concurrently with the Pacific addition to conservation concerns for 2014. Accordingly, NMFS’ review could halibut IFQ season. This would result in the rockfish species in this group, there not begin until January 2015. For all confusion for the industry and is a regulatory prohibition against using fisheries not currently closed because economic harm from unnecessary trawl gear east of 140° W. longitude. the TACs established under the final discard of sablefish that are caught

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along with Pacific halibut, as both hook- respect to new information about TACs. fishermen who participate in the GOA and-line sablefish and Pacific halibut Therefore, NMFS finds good cause to fisheries. The specific amounts of OFL, are managed under the same IFQ waive the 30-day delay in effectiveness ABC, TAC, and PSC are provided in program. Immediate effectiveness of the under 5 U.S.C. 553(d)(3). tables to assist the reader. NMFS will final 2015 and 2016 harvest announce closures of directed fishing in Small Entity Compliance Guide specifications will allow the sablefish the Federal Register and information IFQ fishery to begin concurrently with This final rule is a plain language bulletins released by the Alaska Region. the Pacific halibut IFQ season. guide to assist small entities in Affected fishermen should keep In addition, the immediate complying with this final rule as themselves informed of such closures. effectiveness of this action is required to required by the Small Business Authority: 16 U.S.C. 773 et seq.; 16 U.S.C. provide consistent management and Regulatory Enforcement Fairness Act of 1540 (f), 1801 et seq.; 16 U.S.C. 3631 et seq.; conservation of fishery resources based 1996. This final rule’s primary purpose Pub. L. 105–277; Pub. L. 106–31; Pub. L. on the best available scientific is to announce the final 2015 and 2016 106–554; Pub. L. 108–199; Pub. L. 108–447; information. This is particularly true for harvest specifications and prohibited Pub. L. 109–241; Pub. L 109–479. those species that have lower 2015 species bycatch allowances for the ABCs and TACs than those established groundfish fisheries of the GOA. This Dated: February 17, 2015. in the 2014 and 2015 harvest action is necessary to establish harvest Samuel D. Rauch III, specifications (79 FR 12890, March 6, limits and associated management Deputy Assistant Administrator for 2014). Immediate effectiveness also measures for groundfish during the 2015 Regulatory Programs, National Marine would give the fishing industry the and 2016 fishing years, and to Fisheries Service. earliest possible opportunity to plan and accomplish the goals and objectives of [FR Doc. 2015–03896 Filed 2–24–15; 8:45 am] conduct its fishing operations with the FMP. This action affects all BILLING CODE 3510–22–P

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Part IV

Department of Homeland Security

8 CFR Parts 214 and 274a Employment Authorization for Certain H–4 Dependent Spouses; Final Rule

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DEPARTMENT OF HOMELAND FOR FURTHER INFORMATION CONTACT: 2. Immigrant Visa Processing and SECURITY Jennifer Oppenheim, Adjudications Adjustment of Status Officer, Office of Policy and Strategy, I. H–1B Nonimmigrant’s Maintenance of 8 CFR Parts 214 and 274a Status U.S. Citizenship and Immigration J. Environmental Issues [CIS No. 2501–10; DHS Docket No. USCIS– Services, Department of Homeland K. Reporting 2010–0017] Security, 20 Massachusetts Avenue L. Implementation NW., Suite 1100, Washington, DC IV. Statutory and Regulatory Requirements RIN 1615–AB92 20529–2140; Telephone (202) 272–1470. A. Unfunded Mandates Reform Act of 1995 B. Small Business Regulatory Enforcement Employment Authorization for Certain SUPPLEMENTARY INFORMATION: Fairness Act of 1996 H–4 Dependent Spouses Table of Contents C. Executive Orders 12866 and 13563 1. Summary AGENCY: U.S. Citizenship and I. Executive Summary 2. Purpose of the Rule Immigration Services, Department of A. Purpose of the Regulatory Action 3. Volume Estimate Homeland Security. B. Legal Authority 4. Costs ACTION: Final rule. C. Summary of the Major Provisions of the 5. Benefits Regulatory Action 6. Alternatives Considered SUMMARY: This final rule amends D. Summary of Costs and Benefits D. Regulatory Flexibility Act Department of Homeland Security E. Effective Date E. Executive Order 13132 II. Background F. Executive Order 12988 (‘‘DHS’’ or ‘‘Department’’) regulations by G. Paperwork Reduction Act extending eligibility for employment A. Current Framework B. Proposed Rule V. Regulatory Amendments authorization to certain H–4 dependent C. Final Rule I. Executive Summary spouses of H–1B nonimmigrants who III. Public Comments on Proposed Rule are seeking employment-based lawful A. Summary of Public Comments A. Purpose of the Regulatory Action permanent resident (‘‘LPR’’) status. B. Classes Eligible for Employment DHS does not currently extend Such H–1B nonimmigrants must be the Authorization eligibility for employment authorization principal beneficiaries of an approved 1. Comments Supporting the Rule to H–4 dependents (spouses and Immigrant Petition for Alien Worker 2. Comments Requesting Expansion of the unmarried children under 21 years of (Form I–140), or have been granted H– Rule age) of H–1B nonimmigrants. See 8 CFR 1B status in the United States under the 3. Comments Opposing the Rule 4. Comments Requesting a More Restrictive 214.2(h)(9)(iv). The lack of employment American Competitiveness in the Policy authorization for H–4 dependent Twenty-first Century Act of 2000, as C. Legal Authority To Extend Employment spouses often gives rise to personal and amended by the 21st Century Authorization to Certain H–4 Dependent economic hardships for the families of Department of Justice Appropriations Spouses H–1B nonimmigrants. Such hardships Authorization Act. DHS anticipates that D. Comments on the Analysis of Executive may increase the longer these families Orders 12866 and 13653 this regulatory change will reduce remain in the United States. In many personal and economic burdens faced 1. Comments Related to Labor Market Impacts cases, H–1B nonimmigrants and their by H–1B nonimmigrants and eligible H– families who wish to acquire LPR status 4 dependent spouses during the 2. Comments on the Volume Estimate and Methodology in the United States must wait many transition from nonimmigrant to LPR 3. Comments on Specific Costs and years for employment-based immigrant status. The final rule will also support Benefits Discussed in the Analysis visas to become available. These waiting the goals of attracting and retaining E. Comments on the Application for periods increase the disincentives for highly skilled foreign workers and Employment Authorization H–1B nonimmigrants to pursue LPR minimizing the disruption to U.S. 1. Streamlined or Modernized Filing status and thus increase the difficulties businesses resulting from H–1B Procedures that U.S. employers have in retaining nonimmigrants who choose not to 2. Employment Authorization Document (Form I–766) Validity Period highly educated and highly skilled pursue LPR status in the United States. nonimmigrant workers. These By providing the possibility of 3. EAD Renewals 4. Acceptable Evidentiary Documentation difficulties can be particularly acute in employment authorization to certain H– 5. Concurrent Filings cases where an H–1B nonimmigrant’s 4 dependent spouses, the rule will 6. Premium Processing family is experiencing economic strain ameliorate certain disincentives for 7. Automatic Extensions of Work or other stresses resulting from the H– talented H–1B nonimmigrants to Authorization 4 dependent spouse’s inability to seek permanently remain in the United 8. Filing Fees employment in the United States. States and continue contributing to the 9. Possible Restrictions on EADs Issued to Retaining highly skilled workers who U.S. economy as LPRs. This is an H–4 Dependent Spouses 10. Circular EADs intend to acquire LPR status is important goal considering the important to U.S. businesses and to the contributions such individuals make to 11. Form I–765 Worksheets 12. Other Related Issues Nation given the contributions of these entrepreneurship and research and F. Fraud and Public Safety Concerns individuals to U.S. businesses and the development, which are highly 1. Falsifying Credentials and Marriage U.S. economy. These individuals, for correlated with overall economic growth Fraud example, contribute to advances in and job creation. The rule also will 2. Prohibition Related to Felony Charges entrepreneurship and research and bring U.S. immigration policies and Convictions development, which are highly concerning this class of highly skilled 3. Unauthorized Employment correlated with overall economic growth workers more in line with those of other 4. Employer Abuse of H–1B Nonimmigrants and H–4 Dependent and job creation. countries that are also competing to In this final rule, DHS is amending its attract and retain similar highly skilled Spouses G. General Comments regulations to extend eligibility for workers. H. Modifications to the H–1B Program and employment authorization to certain H– DATES: This final rule is effective May Immigrant Visa Processing 4 dependent spouses of H–1B 26, 2015. 1. H–1B Visa Program nonimmigrants to support the retention

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of highly skilled workers who are on the 8 CFR 214.2(h)(9)(iv) and 274a.12(c) to number of H–4 dependent spouses who path to lawful permanent residence. extend eligibility for employment may become eligible to apply for DHS expects this change to reduce the authorization to H–4 dependent spouses employment authorization. Although economic burdens and personal stresses of H–1B nonimmigrants if the H–1B the estimates are larger than those that H–1B nonimmigrants and their nonimmigrants either: (1) Are the provided in the preamble to the families may experience during the principal beneficiaries of an approved proposed rule, the initial year estimate transition from nonimmigrant to LPR Immigrant Petition for Alien Worker (the year with the largest number of status while, at the same time, (Form I–140); or (2) have been granted potential eligible applicants) provided facilitating their integration into H–1B status pursuant to sections 106(a) in this final rule still represents far less American society. As such, the change and (b) of the American than one percent of the overall U.S. will ameliorate certain disincentives Competitiveness in the Twenty-first workforce. DHS’s rationale for this rule that currently lead H–1B nonimmigrants Century Act of 2000, Public Law 107– thus remains unchanged, especially as to abandon efforts to remain in the 273, 116 Stat. 1758, as amended by the the changes made in this rule simply United States while seeking LPR status, 21st Century Department of Justice alleviate the long wait for employment thereby minimizing disruptions to U.S. Appropriations Act, Public Law 107– authorization that these H–4 dependent businesses employing such workers. 273, 116 Stat. 1758 (2002) (collectively spouses endure through the green card The change will also support the U.S. referred to as ‘‘AC21’’). See Employment process, and accelerate the timeframe economy, as the contributions H–1B Authorization for Certain H–4 within which they generally will nonimmigrants make to Dependent Spouses, 79 FR 26886 (May become eligible to apply for entrepreneurship and research and 12, 2014). After careful consideration of employment authorization (such as development are expected to assist public comments, DHS is adopting the when they apply for adjustment of overall economic growth and job proposed regulatory amendments with status). minor wording changes to improve creation. The rule also will bring U.S. The costs associated with this final clarity and readability.1 Also, DHS is immigration policies concerning this rule stem from filing fees and the making additional revisions to 8 CFR class of highly skilled workers more in opportunity costs of time associated 214.2(h)(9)(iv) and 8 CFR 274a.13(d) to line with those of other countries that with filing an Application for permit H–4 dependent spouses under compete to attract similar highly skilled Employment Authorization, Form I–765 this rule to concurrently file an workers. (‘‘Application for Employment Application for Employment Authorization’’ or ‘‘Form I–765’’), as B. Legal Authority Authorization (Form I–765) with an well as the estimated cost of procuring The authority of the Secretary of Application to Extend/Change two passport-style photos. These costs Homeland Security (Secretary) for this Nonimmigrant Status (Form I–539). will only be borne by the H–4 regulatory amendment can be found in D. Summary of Costs and Benefits dependent spouses who choose to apply section 102 of the Homeland Security for employment authorization. The costs Act of 2002, Public Law 107–296, 116 In preparing this final rule, DHS to the Federal Government of Stat. 2135, 6 U.S.C. 112, and section updated its estimates of the impacted adjudicating and processing the 103(a) of the Immigration and population by examining more recent applications are covered by the Nationality Act (INA), 8 U.S.C. 1103(a), data, correcting data entry errors made application fee for Form I–765. which authorize the Secretary to in calculating the population of H–4 administer and enforce the immigration dependent spouses assumed to be in the DHS expects these regulatory and nationality laws. In addition, backlog, and revising the estimate of the amendments to provide increased section 274A(h)(3)(B) of the INA, 8 population eligible pursuant to AC21. incentives to H–1B nonimmigrants and U.S.C. 1324a(h)(3)(B), recognizes the This final rule is expected to result in their families who have begun the Secretary’s authority to extend as many as 179,600 H–4 dependent immigration process to remain employment to noncitizens in the spouses being eligible to apply for permanently in the United States and United States. employment authorization during the continue contributing to the Nation’s first year of implementation. As many as economy as they complete this process. C. Summary of the Major Provisions of 55,000 H–4 dependent spouses will be DHS believes these regulatory changes This Regulatory Action eligible to apply for employment will also minimize disruptions to On , 2014, DHS published a authorization each year after the first petitioning U.S. employers. A summary notice of proposed rulemaking, which year of implementation. DHS stresses of the costs and benefits of the rule is proposed to amend DHS regulations at that these are maximum estimates of the presented in Table 1.

TABLE 1—TOTAL COSTS AND BENEFITS OF INITIAL EMPLOYMENT AUTHORIZATION FOR CERTAIN H–4 DEPENDENT SPOUSES 10-YR PRESENT VALUE ESTIMATES AT 3% AND 7% [$Millions]

Sum of years 2–10 Year 1 estimate (55,000 filers Total over 10-year (179,600 filers) annually) period of analysis *

3% Discount Rate: Total Costs Incurred by Filers @3% ...... $76.1 $181.3 $257.4 7% Discount Rate: Total Costs Incurred by Filers @7% ...... 73.2 146.1 219.3

1 In this final rule, DHS has amended its estimate pursuant to this rulemaking. The impact on the U.S. negligible, and the justification for the rule remains of the volume of individuals who may become labor market resulting from this change is unaffected by this change. eligible to apply for employment authorization

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TABLE 1—TOTAL COSTS AND BENEFITS OF INITIAL EMPLOYMENT AUTHORIZATION FOR CERTAIN H–4 DEPENDENT SPOUSES 10-YR PRESENT VALUE ESTIMATES AT 3% AND 7%—Continued [$Millions]

Sum of years 2–10 Year 1 estimate (55,000 filers Total over 10-year (179,600 filers) annually) period of analysis *

Qualitative Benefits ...... This rule is intended to remove a disincentive to pursuing lawful permanent resident (LPR) status due to the potentially long wait for employment-based immigrant visas for many H–1B nonimmigrants and their family members. This rule will encourage H–1B nonimmigrants who have already taken steps to become LPRs to not abandon their efforts because their H–4 dependent spouses are unable to work. By encouraging H–1B nonimmigrants to continue in their pursuit of becoming LPRs, this rule would minimize disruptions to petitioning U.S. employers. Additionally, eligible H–4 dependent spouses who participate in the labor market will benefit financially. DHS also anticipates that the socioeconomic benefits associated with permitting H–4 spouses to participate in the labor market will assist H–1B families in integrating into the U.S. community and economy. * Note: Totals may not sum due to rounding.

E. Effective Date U.S.C. 1101(a)(15)(H)(i)(b); 8 CFR nonimmigrant status; (3) or has applied 3 This final rule will be effective on 214.2(h)(4). To employ a temporary to adjust status to that of an LPR. See May 26, 2015, 90 days from the date of nonimmigrant worker to perform such INA sections 245(a) and 248(a), 8 U.S.C. publication in the Federal Register. services (except for DOD-related 1255(a) and 1258(a); 8 CFR 245.1 and 8 DHS has determined that this 90-day services), a U.S. petitioner must first CFR 248.1. The dependents (i.e., spouse effective date is necessary to guarantee obtain a certification from the U.S. and unmarried children under 21 years that USCIS will have sufficient Department of Labor (DOL) confirming of age) of the H–1B nonimmigrants are that the petitioner has filed a labor resources available to process and entitled to H–4 status and are subject to condition application (LCA) in the the same period of admission and adjudicate Applications for occupational specialty in which the limitations as the H–1B nonimmigrant. Employment Authorization filed by nonimmigrant will be employed. See 8 See 8 CFR 214.2(h)(9)(iv). eligible H–4 dependent spouses under CFR 214.2(h)(4)(i)(B) and 8 CFR For H–1B nonimmigrants seeking to this rule while maintaining excellent 214.2(h)(1)(ii)(B). Upon certification of adjust their status to or otherwise customer service for all USCIS the LCA, the petitioner may file with acquire LPR status through stakeholders, including H–1B U.S. Citizenship and Immigration employment-based (EB) immigration, an employers, H–1B nonimmigrants, and Services (USCIS) a Petition for a employer generally must first file a their families. With this 90-day effective Nonimmigrant Worker (Form I–129 with petition on their behalf. See INA section date, USCIS will be able to implement H supplements) (‘‘H–1B petition’’ or 204(a), 8 U.S.C. 1154(a). An H–1B this rule in a manner that will avoid ‘‘Form I–129’’). nonimmigrant may seek LPR status wholesale delays of processing other If USCIS approves the H–1B petition, under one of the following five EB petitions and applications, in particular the approved H–1B status is valid for an preference categories: those H–1B petitioners seeking to file initial period of up to three years. petitions before the FY 2016 cap is USCIS may grant extensions for up to an as amended. Another exception is found in section reached. DHS believes that this effective additional three years, such that the 104(c) of AC21. Under that provision, H–1B date balances the desire of U.S. nonimmigrants with approved Form I–140 petitions total period of the H–1B nonimmigrant’s who are unable to adjust status because of per- employers to attract new H–1B workers, admission in the United States does not country visa limits are able to extend their H–1B while retaining current H–1B workers exceed six years. See INA section stay in three-year increments until their adjustment who are seeking employment-based LPR 214(g)(4), 8 U.S.C. 1184(g)(4); 8 CFR of status applications have been adjudicated. See status. AC21 section 104(c). 214.2(h)(9)(iii)(A)(1), (3), and 8 CFR 3 For H–1B nonimmigrants performing DOD- II. Background 214.2(h)(15)(ii)(B)(1). At the end of the related services, the approved H–1B status is valid six-year period, the nonimmigrant for an initial period of up to five years, after which A. Current Framework the H–1B nonimmigrants may obtain up to an generally must depart from the United additional five years of admission for a total period Under the H–1B nonimmigrant States unless he or she: (1) Falls within of admission not to exceed 10 years. See 8 CFR classification, a U.S. employer or agent one of the exceptions to the six-year 214.2(h)(9)(iii)(A)(2), (h)(15)(ii)(B)(2). These H–1B may file a petition to employ a limit; 2 (2) has changed to another nonimmigrants cannot benefit from AC21 sections 106(a) or (b), because those sections solely relate to temporary foreign worker in the United the generally applicable six-year limitation on H– States to perform services in a specialty 2 These exceptions to the six-year limit include 1B status under INA section 214(g)(4), whereas the occupation, services related to a those authorized under sections 104(c) and 106(a) requirements for H–1B status for DOD-related and (b) of AC21. Under sections 106(a) and (b) of services, including the 10-year limitation, were Department of Defense (DOD) AC21, an H–1B nonimmigrant who is the established in section 222 of the Immigration Act cooperative research and development beneficiary of a permanent labor certification of 1990, Pub. L. 101–649, 104 Stat. 4978; see 8 project or coproduction project, or application or an employment-based immigrant U.S.C. 1101 note. This rule, however, will authorize services of distinguished merit and petition that was filed at least 365 days prior to eligibility for employment authorization of H–4 reaching the end of the sixth year of H–1B status dependents of H–1B nonimmigrants performing ability in the field of fashion modeling. may obtain H–1B status beyond the sixth year, in DOD-related services if the H–1B nonimmigrant is See INA section 101(a)(15)(H)(i)(b), 8 one year increments. See AC21 sections 106(a)-(b), the beneficiary of an approved I–140 petition.

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• First preference (EB–1)—Aliens visa numbers.4 DHS, however, can H–4 dependent spouses described in the with extraordinary ability, outstanding alleviate a significant obstacle that may proposed rule to the classes of aliens professors and researchers, and certain encourage highly skilled foreign eligible to file the form, with the multinational executives and managers; workers to leave the United States,5 required fee. DHS also proposed a list of • Second preference (EB–2)—Aliens thereby preventing significant the types of supporting documents that who are members of the professions disruptions to U.S. employers in may be submitted with Form I–765 to holding advanced degrees or aliens of furtherance of the congressional intent establish eligibility. exceptional ability; expressed through AC21. DHS received nearly 13,000 public • Third preference (EB–3)—Skilled B. Proposed Rule comments to the proposed rule. An workers, professionals, and other overwhelming percentage of workers; On May 12, 2014, DHS published a commenters (approximately 85 percent) proposed rule in the Federal Register at • Fourth preference (EB–4)—Special supported the proposal, while a small 79 FR 26886, proposing to amend: immigrants (see INA section 101(a)(27), percentage of commenters • 8 CFR 214.2(h)(9)(iv) to extend 8 U.S.C. 1101(a)(27)); and (approximately 10 percent) opposed the eligibility for employment authorization proposal. Approximately 3.5 percent of • Fifth preference (EB–5)— to H–4 dependent spouses of H–1B commenters expressed a mixed opinion Employment creation immigrants. See nonimmigrants if the H–1B about the proposal. INA section 203(b), 8 U.S.C. 1153(b). nonimmigrants either: are the principal Generally, the second (EB–2) and beneficiaries of an approved Immigrant C. Final Rule third (EB–3) preference categories Petition for Alien Worker (Form I– In preparing this final rule, DHS require employers to obtain an approved 140); 6 or have been granted H–1B status considered all of the public comments permanent labor certification from DOL pursuant to sections 106(a) and (b) of contained in the docket. Although prior to filing an immigrant petition AC21; and estimates of the current population of with USCIS on behalf of the worker. See • 8 CFR 274a.12(c) by adding H–4 dependent spouses who will be INA section 212(a)(5)(A), 8 U.S.C. paragraph (26) listing the H–4 eligible for employment authorization 1182(a)(5)(A); 8 CFR 204.5(a). To apply dependent spouses described in revised pursuant to this rule have changed, the for adjustment to LPR status, the alien 8 CFR 214.2(h)(9)(iv) as a new class of effect of the revision does not affect the must be the beneficiary of an immigrant aliens eligible to request employment justification for the rule, and DHS is visa that is immediately available. See authorization from USCIS. Aliens adopting the regulatory amendments set INA sections 201(a), 203(b) and (d), and within this class would only be forth in the proposed rule with only 245(a); 8 U.S.C. 1151(a), 1153(b) and (d), authorized for employment following minor, non-substantive changes to 8 1255(a). approval of their Application for CFR 214.2(h)(9)(iv) to improve clarity The EB–2 and EB–3 immigrant visa Employment Authorization (Form I– and readability. These technical changes categories for certain chargeability areas 765) by USCIS and receipt of an clarify that an H–4 dependent spouse are oversubscribed, causing long delays Employment Authorization Document covered by this rule should include before applicants in those categories, (Form I–766) (‘‘EAD’’). with his or her Application for including H–1B nonimmigrants, are able DHS also proposed conforming changes Employment Authorization (Form I– to obtain LPR status. U.S. businesses to Form I–765. DHS proposed adding 765) evidence demonstrating that he or employing H–1B nonimmigrants suffer she is currently in H–4 status and that disruptions when such workers are 4 The worldwide level of EB immigrant visas that the H–1B nonimmigrant is currently in required to leave the United States at may be issued each fiscal year is set at 140,000 H–1B status. Also, in response to public the termination of their H–1B status as visas, plus the difference between the maximum number of immigrant visas which may be issued comments regarding filing procedures a result of these delays. To ameliorate under section 203(a) of the INA, 8 U.S.C. 1153(a) for Applications for Employment those disruptions, Congress enacted (relating to family-sponsored immigrants) and the Authorization (Forms I–765) under this provisions in AC21 that allow for the number of visas used under that section for the rule, DHS is making conforming extension of H–1B status past the sixth previous fiscal year. See INA section 201(d), 8 U.S.C. 1151(d). These EB visa numbers are also revisions to 8 CFR 214.2(h)(9)(iv) and 8 year for workers who are the limited by country. Generally, in any fiscal year, CFR 274a.13(d) to permit H–4 beneficiaries of certain pending or foreign nationals born in any single country may dependent spouses under this rule to approved employment-based immigrant use no more than 7 percent of the total number of concurrently file the Form I–765 with visa petitions or labor certification immigrant visas available in the family- and employment-based immigrant visa classifications. an Application to Extend/Change applications. See S. Rep. No. 106–260, See INA section 202(a)(2), 8 U.S.C. 1152(a)(2). Nonimmigrant Status (Form I–539). at 22 (2000) (‘‘These immigrants would 5 These obstacles, moreover, may discourage The rationale for the proposed rule otherwise be forced to return home at highly skilled foreign workers from seeking and the reasoning provided in its employment in the United States in the first the conclusion of their allotted time in background section remain valid with H–1B status, disrupting projects and instance. This final rule will diminish that possibility. respect to these regulatory amendments. American workers. The provision 6 The H–1B nonimmigrant must be the principal This final rule does not address enables these individuals to remain in beneficiary of the approved I–140 petition, not the comments seeking changes in U.S. laws, H–1B status until they are able to derivative beneficiary, consistent with the preamble regulations, or agency policies that are receive an immigrant visa number and to the proposed rule: ‘‘Specifically, DHS is proposing to limit employment authorization to H– unrelated to this rulemaking. This final acquire lawful permanent residence 4 dependent spouses only during AC21 extension rule also does not change the through either adjustment of status in periods granted to the H–1B principal worker or procedures or policies of other DHS the United States or through consular after the H–1B principal has obtained an approved components or federal agencies, or processing abroad, thus limiting the Immigrant Petition for Alien Worker.’’ See 79 FR at 26891 (emphasis added); see also id. at 26896 resolve issues outside the scope of this disruption to American businesses.’’). (estimating ‘‘annual demand flow of H–4 dependent rulemaking. Comments may be DHS cannot alleviate the delays in spouses who would be eligible to apply for initial reviewed at the Federal Docket visa processing due to the numerical work authorization under this proposed rule . . . based on: (1) the number of approved Immigrant Management System (FDMS) at http:// limitations set by statute and the Petitions for Alien Worker (Forms I–140) where the www.regulations.gov, docket number resultant unavailability of immigrant principal beneficiary is currently in H–1B status’’). USCIS–2010–0017.

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III. Public Comments on the Proposed home sales. Several commenters agreed rule would have for certain H–1B Rule that extending employment nonimmigrants and their H–4 authorization as described in the rule dependent spouses. For example, A. Summary of Public Comments will promote U.S. leadership in several commenters noted that while In response to the proposed rule, DHS innovation by strengthening the they knew about the restriction on H– received nearly 13,000 comments country’s ability to recruit and retain 4 employment before coming to the during the 60-day public comment sought-after talent from around the United States, they did not anticipate period. Commenters included, among world. Finally, some commenters noted such a long wait to apply for LPR status others, individuals, employers, that this rule would facilitate U.S. or the emotional toll that long-term academics, labor organizations, businesses’ ability to create additional unemployment would take on them and immigrant advocacy groups, attorneys, U.S. jobs by improving the retention of their families. Other commenters noted and nonprofit organizations. More than workers with critical science, they have not been able to apply for a 250 comments were also submitted technology, engineering and math social security card or a driver’s license through mass mailing campaigns. (STEM) skills. in certain states because they do not While opinions on the proposed rule The approximately 10 percent of have an Employment Authorization varied, a substantial majority commenters who opposed the proposed Document (EAD) (Form I–766). (approximately 85 percent) of rule cited to potential adverse effects of Approximately 200 commenters noted commenters supported the extension of the rule, including displacement of U.S. that the current policy of allowing only employment authorization to the class workers, increasing U.S. the H–1B nonimmigrant to work often of H–4 dependent spouses described in unemployment, and lowering of wages. led to family separation or the decision the proposed rulemaking. Supporters of Some commenters expressed concern to immigrate to other countries that the proposed rule agreed that it would that the rule may negatively affect other authorize employment for dependent help the United States to attract and nonimmigrant categories. Other spouses. retain highly skilled foreign workers; commenters were concerned that this A few commenters described their alleviate economic burdens on H–1B rule may cause the lowering of families as dual H–1B nonimmigrant nonimmigrants and their families minimum working standards in certain households and supported the principle during the transition from sectors of the economy, such as in the of both spouses working. These nonimmigrant to LPR status; and Information Technology sector. Some commenters voiced appreciation for the promote family unity. Some supporters commenters questioned DHS’s legal changes in the proposed rule, which also stated that the rule furthers authority to promulgate this regulatory will allow the H–4 dependent spouse to women’s rights, noting the impact the change. seek employment while the H–1B rule’s change will have on promoting About 3.5 percent of commenters had nonimmigrant continues to pursue financial independence for the H–4 a mixed opinion about the proposed permanent residence. dependent spouse, potentially reducing regulation. Some of these commenters More than a thousand commenters factors which could lead to domestic were concerned about the size and believe this change will help U.S. violence, and assuaging negative health scope of the class made eligible for businesses retain highly skilled H–1B effects (such as depression).7 Others employment authorization under the nonimmigrants. More than 500 voiced the belief that this rule aligns rule; some argued that the described commenters asserted that the addition with core U.S. values, asserting that class is too restrictive, while others of skilled H–4 dependent spouses into employment authorization should be argued that it is too broad. Other the workforce will help U.S. employers. considered a constitutional or human commenters expressed concern about More than 60 commenters stated that rights issue or an issue of equal they had planned to move out of the the possibility of fraud. Approximately opportunity. United States, but will instead remain 200 commenters (about 1.5 percent of Commenters commonly stated that if and pursue LPR status as a result of this commenters) submitted responses that spouses are authorized for employment, rule change. Approximately two dozen are beyond the scope of this rulemaking, families would be more stable, commenters noted that they had already such as comments discussing U.S. contribute more to their local moved out of the United States due to politics but not addressing immigration, communities, and more fully focus on the prohibition on employment for H– submissions from individuals who sent their future in the United States. 4 dependent spouses. Several in their resumes or discussed their Additionally, commenters outlined commenters stated that they are professional qualifications without ways they thought this proposal would planning to leave the United States in opining on the proposed rule, and help the U.S. economy, such as by the near future because H–4 dependent comments on the merits of other increasing disposable income, spouses cannot work under the current commenter’s views, but not on the promoting job creation, generating rules. greater tax revenue, and increasing proposed changes. Nearly 400 commenters who DHS has reviewed all of the public supported the final rule also asserted comments received in response to the 7 An H–4 dependent spouse who is the victim of that the regulation should be domestic violence may be independently eligible proposed rule and addresses relevant implemented without change as a for employment authorization under certain comments in this final rule. DHS’s circumstances. As noted in the proposed rule, matter of fairness. According to the responses are grouped by subject area, comments, the regulation will help H– section 814(b) of the Violence Against Women Act with a focus on the most common issues and Department of Justice Reauthorization Act of 1B nonimmigrants and their families 2005 (VAWA 2005), Public Law 109–162, amended and suggestions raised by commenters. who have maintained legal status for the INA by adding new section 204(a)(1)(K), 8 U.S.C. 1154(a)(1)(K), which provides for B. Classes Eligible for Employment years, contributed to the economy, and employment authorization incident to the approval Authorization demonstrated the intent to permanently of a VAWA self-petition. Section 814(c) of VAWA remain in the United States. 2005 amended the INA by adding new section 106, 1. Comments Supporting the Rule The overwhelmingly positive which provides eligibility for employment authorization to battered spouses of aliens admitted The comments supporting the responses from the public to the in certain nonimmigrant statuses, including H–1B proposed rule largely underscored the proposed rule has strengthened DHS’s status. positive socioeconomic benefits this view, as expressed in the proposed rule,

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that extending employment eligibility for employment authorization abandon a foreign residence for authorization eligibility to the class of to H–4 dependent spouses of all H–1B purposes of obtaining or maintaining H– H–4 dependent spouses of H–1B nonimmigrants who are the principal 1B status. See INA 214(h); see also 8 nonimmigrants described in this beneficiaries of approved Form I–140 CFR 214.2(h)(16). Further, in enacting rulemaking will have net beneficial petitions, it captures the section 104(c) AC21, Congress permitted H–1B results. Among other things, the rule subset. DHS has thus determined that it nonimmigrants who are the will increase the likelihood that H–1B is unnecessary to include section 104(c) beneficiaries of certain pending or nonimmigrants will continue to pursue of AC21 as a separate basis for approved employment-based immigrant the LPR process through completion. employment authorization eligibility in visa petitions or labor certification DHS further believes that this rule will this rule. applications to remain in the United provide increased incentives to U.S. States beyond the six-year statutory 2. Comments Requesting Expansion of employers to begin the immigrant maximum period of stay. Congress the Rule petitioning process on behalf of H–1B therefore has passed legislation nonimmigrants, encourage more H–1B i. H–4 Dependent Spouses of H–1B1, H– specifically encouraging, and removing nonimmigrants to pursue lawful 2 and H–3 Nonimmigrants impediments to, the ability of H–1B permanent residence, and bolster U.S. Slightly over 200 commenters nonimmigrants to seek LPR status, such competitiveness. This rule will also requested that DHS extend eligibility for that they may more readily contribute decrease workforce disruptions and employment authorization to the H–4 permanently to United States economic other harms among U.S. employers dependent spouses of H nonimmigrants sustainability and growth. Congress has caused by the departure from the United who are not in H–1B status (H–1B1, H– not extended similar benefits to other H States of H–1B nonimmigrants for 2 and H–3 nonimmigrants), and not nonimmigrants, including H–1B1 (Free whom businesses have filed only to the spouses of certain H–1B Trade Agreement specialty workers employment-based immigrant visa nonimmigrants who have begun the from Chile and Singapore), H–2A petitions. This policy supports process of permanent residence through (temporary agricultural workers), H–2B Congress’ intent in enacting AC21. See employment.9 Some of these (temporary nonagricultural workers), or S. Rep. No. 106–260, at 2–3, 23 (2000). commenters expressed that this H–3 nonimmigrants (trainees). A handful of commenters supporting expansion would also help U.S. Extending employment authorization to the proposed rule requested clarification competitiveness by attracting more certain H–4 dependent spouses of H–1B on whether H–4 dependent spouses will skilled workers from abroad. nonimmigrants, and not to H–4 be permitted to file for employment DHS has determined that expansion dependent spouses of other H authorization based on their of employment authorization beyond nonimmigrants, thus serves to advance classification as an H–4 dependent the class of H–4 dependent spouses the Department’s immediate interest in spouse if they have a pending described in the proposed rule is not furthering the aims of AC21.10 adjustment of status application. DHS appropriate at this time, and it has Finally, as noted in the proposed rule, confirms that under this rule, H–4 therefore not included such an DHS may consider expanding H–4 dependent spouses with pending expansion in this final rule. First, the employment eligibility in the future. See adjustment of status applications are Department believes this rule best Ctr. for Biological Diversity v. EPA, 722 still eligible for employment achieves DHS’s goals of helping U.S. F.3d 401, 410 (D.C. Cir. 2013) (observing authorization on the basis of their H–4 employers minimize potential that ‘‘‘agencies have great discretion to classification. They may choose to apply disruptions caused by the departure treat a problem partially’’’) (quoting City for employment authorization based on from the United States of certain highly of Las Vegas v. Lujan, 891 F.2d 927, 935 either the H–4 dependent spouse skilled workers, enhancing U.S. (D.C. Cir. 1989)); Lamers Dairy Inc. v. category established by this rule under employer’s ability to attract and retain U.S. Dep’t of Agric., 379 F.3d 466, 475 new 8 CFR 274a.12(c)(26) or the such workers, and increasing America’s (7th Cir. 2004) (‘‘[T]he government must adjustment of status category under 8 economic competitiveness. be allowed leeway to approach a CFR 274a.12(c)(9). Second, DHS notes two significant perceived problem incrementally. Another commenter asked if H–4 differences between H–1B Similarly, equal protection does not dependent spouses of H–1B nonimmigrants and other H require a governmental entity to choose nonimmigrants who have extended their nonimmigrants under the immigration between attacking every aspect of a stay under section 104(c) of AC21 laws. The INA explicitly permits H–1B problem or not attacking the problem at would be eligible for work nonimmigrants to have what is known all.’’) (quotation marks omitted) (citing authorization. DHS confirms that H–4 as ‘‘dual intent,’’ pursuant to which an FCC v. Beach Commc’ns, 508 U.S. 307, dependent spouses of H–1B H–1B nonimmigrant may be the nonimmigrants who have extended their beneficiary of an immigrant visa 10 As noted in the proposed rule, to ease the negative impact of immigrant visa processing stay under section 104(c) of AC21 are petition filed under section 204 of the delays, Congress intended that the AC21 provisions eligible for employment authorization INA or otherwise seek LPR status allowing for extension of H–1B status past the sixth under this rule. Section 104(c) of AC21 without evidencing an intention to year for workers who are the beneficiaries of certain pending or approved employment-based immigrant applies to a subset of H–1B visa petitions or labor certification applications nonimmigrants who are the principal Competitiveness and Workforce Improvement Act would minimize disruption to U.S. businesses of 1998 (ACWIA), Title IV of Div. C. of Public Law employing H–1B workers that would result if such beneficiaries of approved Form I–140 105–277, at 6 (May 30, 2008) (‘‘AC21 § 104(c) is petitions.8 Because this rule provides workers were required to leave the United States. applicable when an alien . . . is the beneficiary of See S. Rep. No. 106–260, at 22 (2000) (‘‘These an approved I–140 petition.’’) (emphasis in immigrants would otherwise be forced to return 8 See Mem. from Donald Neufeld, Acting Assoc. original). home at the conclusion of their allotted time in H– Dir., Domestic Operations, USCIS, Supplemental 9 The H–4 classification includes dependents of 1B status, disrupting projects and American Guidance Relating to Processing Forms I–140 H–2A temporary agricultural workers, H–2B workers. The provision enables these individuals to Employment-Based Immigrant Petitions and I–129 temporary nonagricultural workers, H–3 trainees, remain in H–1B status until they are able to receive H–1B Petitions, and I–485 Adjustment Applications H–1B specialty occupation workers, and H–1B1 an immigrant visa number and acquire LPR status Affected by the American Competitiveness in the Free Trade Agreement specialty occupation workers either through adjustment of status in the United Twenty-First Century Act of 2000 (AC21) (Pub. L. from Singapore and Chile. See INA 101(a)(15)(H); States or through consular processing abroad, thus 106–313), as amended, and the American see also 8 CFR 214.2(h)(9)(iv). limiting the disruption to American businesses.’’).

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316 (1993); and Dandridge v. Williams, regulation within that statutory 274a.12(c) and 8 CFR 274a.13, before it 397 U.S. 471, 487 (1970)). framework, and the Department can extend employment authorization to declines to extend the changes made by the class of H–4 dependent spouses ii. H–4 Dependent Spouses of All H–1B this rule to the H–4 dependent spouses described in this rule. This application Nonimmigrants of all H–1B nonimmigrants at this time. process will ensure that only eligible H– Over 150 commenters noted that all 4 dependent spouses receive a grant of iii. Employment Authorization Incident dependent spouses of other employment authorization and proper to Status nonimmigrant categories, such as the documentation evidencing such spouses of L–1 (intracompany Over 60 commenters requested that employment authorization, and will transferee), E–1 (treaty trader), E–2 H–4 dependent spouses be granted avoid granting employment (treaty investor), and E–3 (Australian employment authorization ‘‘incident to authorization to ineligible spouses. specialty occupation workers) status,’’ which would relieve the need to iv. Employment Authorization at nonimmigrants, are eligible to apply for apply for employment authorization Different Points in Time employment authorization These before receiving it. These commenters commenters stated that because the generally recommended that DHS More than a dozen commenters employment-based nonimmigrant provide employment authorization requested that the class of H–4 categories are similar to each other, all incident to status by authorizing the dependent spouses who are eligible for H–4 dependent spouses of H–1B employment of H–4 dependent spouses employment authorization be expanded nonimmigrants—rather than only through amendment to 8 CFR 274a.12(a) by permitting them to file at points in certain subclasses of H–4 dependent instead of 8 CFR 274a.12(c), which time different from those provided in spouses—likewise should be eligible for provides employment authorization the proposed rule. DHS carefully employment authorization. through case-by-case, discretionary considered these suggestions for DHS, however, recognizes an adjudications of each individual determining when an H–4 dependent important difference between the request.12 For those classes of aliens spouse should be eligible for dependent spouse category of H–1B listed in 8 CFR 274a.12(a), employment employment authorization. For the nonimmigrants and those of L–1, E–1, authorization is automatic upon the reasons that follow, DHS has E–2, and E–3 nonimmigrants. grant of immigration status. Examples of determined that it will not adopt the Specifically, Congress directed by classes of aliens who are employment commenters’ suggestions in this final statute that DHS grant employment authorized incident to status under 8 rule. CFR 274a.12(a) are LPRs, asylees, and authorization to all spouses of L–1, E– (1) H–1B Nonimmigrants With Pending 1, E–2, and E–3 nonimmigrants.11 See refugees. DHS is unable to classify H–4 PERM Labor Certifications or Form I– Public Law 107–124 (2002) (amending 140 Petitions the INA to expressly authorize dependent spouses described in this employment for spouses of E rule as employment authorized incident Some commenters requested that DHS nonimmigrants); Public Law 107–125 to status. Unlike other noncitizens who make H–4 dependent spouses eligible (2002) (same for spouses of L are employment authorized incident to for employment authorization when nonimmigrants); see also INA section status, H–4 dependent spouses will not their H–1B nonimmigrant spouses have 214(c)(2)(E) & (e)(6), 8 U.S.C. be eligible for employment filed permanent (PERM) labor 13 1184(c)(2)(E) & (e)(6). Congress has not authorization based solely on their certifications with DOL. Other provided such statutory direction with immigration status. Rather, H–4 commenters suggested providing such respect to the spouses of H–1B dependent spouses must meet certain eligibility when H–1B nonimmigrants nonimmigrants. Thus, the fact that the additional conditions before they can be have Form I–140 petitions or adjustment INA authorizes dependent spouses of L granted employment authorization, and of status applications pending with and E nonimmigrants for U.S. current USCIS systems cannot USCIS. employment does not indicate that H– automatically and independently DHS believes that the basis for 4 dependent spouses of all H–1B determine whether such conditions eligibility in the proposed rule nonimmigrants also must be authorized have been met. USCIS systems, for reasonably addresses H–4 dependent to work. example, cannot independently or spouses’ interests in obtaining In extending such employment automatically determine whether an H– employment authorization at the earliest authorization through regulation, DHS 4 dependent spouse has the requisite possible time in advancing the studied congressional intent with spousal relationship to an H–1B Department’s policy goals of attracting respect to H–1B nonimmigrants. nonimmigrant who either is the and retaining highly skilled workers and Although Congress has not specifically beneficiary of an approved Form I–140 promoting compliance with U.S. required extending employment petition or has been granted H–1B immigration laws. In furtherance of authorization to dependent spouses of nonimmigrant status under sections these goals, DHS has chosen to limit H–1B nonimmigrants, Congress did 106(a) and (b) of AC21; that eligibility for employment authorization recognize in AC21 the importance of determination must be made by a USCIS to cases where the H–1B nonimmigrant addressing the lengthy delays faced by adjudicator. DHS has therefore either: (1) Is the principal beneficiary of such workers seeking to obtain LPR determined that it must require the an approved Form I–140 and thus is on status. Consistent with this filing of an application requesting a path to lawful permanent residence congressional concern, and the legal employment authorization, see 8 CFR that is reasonably likely to conclude authorities vested in the Secretary of successfully; or (2) has been granted H– Homeland Security described in Section 12 DHS regulations provide for three categories of persons eligible for employment authorization: (1) 13 Currently, employers seeking to file immigrant C, below, DHS has chosen to limit this aliens authorized for employment incident to visa petitions on behalf of noncitizens in certain status, see 8 CFR 274a.12(a); (2) aliens authorized employment-based preference categories must first 11 DHS is implementing the statutory provisions to work for a specific employer incident to status, obtain a labor certification under DOL’s PERM authorizing employment of spouses of L–1, E–1, E– see 8 CFR 274a.12(b); and (3) aliens who must program. See generally INA sections 204(b), 2, and E–3 nonimmigrants, though the regulations apply to USCIS for employment authorization, see 212(a)(5); 8 U.S.C. 1154(b), 1182(a)(5); 8 CFR have not been revised. 8 CFR 274a.12(c). 204.5(k)–(l); 20 CFR pt. 656.

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1B status under sections 106(a) and (b) ultimately may be denied before the H– file for adjustment of status. Some of AC21. This approach provides several 1B nonimmigrant files for and receives commenters also raised fairness benefits to the Department. the AC21 extension. Additionally, if the concerns, given the eligibility under Among other things, the approach individual is determined to be ineligible DHS deferred action policies that make allows DHS to confirm a significant for the H–1B extension, he or she would eligible for employment authorization record of compliance with U.S. no longer be maintaining H–1B status certain individuals who came to the immigration laws, which indicates the and the U.S. employer will be unable to United States unlawfully as children likelihood of continued compliance in retain the worker. Accordingly, DHS under the age of 16.15 the future. Requiring an approved Form believes the sounder policy is to extend DHS declines to adopt the I–140 petition, for example, reduces the employment authorization to H–4 commenters’ suggestions to expand risk of frivolous labor certification and dependent spouses of H–1B eligibility for employment authorization immigrant visa petition filings for the nonimmigrants who have been granted to H–4 dependent minor children. As purpose of making H–4 dependent H–1B status pursuant to AC21, ensuring reflected by the comments, DHS does spouses eligible for employment that such H–1B nonimmigrants are not view the employment of dependent authorization, because the approval of maintaining H–1B status and are minor children in the United States as the petition generally signifies that the significantly down the path to obtaining a significant deciding factor for an H–1B foreign worker is eligible for the LPR status. nonimmigrant considering whether to underlying immigrant classification. In remain in the United States and seek contrast, authorizing employment (3) Pending Form I–140 Immigrant Petitions With New Employer LPR status while continuing immediately upon the filing of a PERM employment with his or her U.S. application or Form I–140 petition Fewer than a dozen commenters employer. Also, as stated in the (rather than after the 365-day waiting requested that DHS extend employment proposed rule, extending employment period or the approval of the Form I– authorization to H–4 dependent spouses eligibility to certain H–4 dependent 140 petition) could produce a in cases where the H–1B nonimmigrants spouses will alleviate a significant reasonable possibility of granting have transferred their employment to a portion of the potential economic employment authorization to an H–4 new employer and are in the process of burdens that H–1B nonimmigrants dependent spouse where the H–1B obtaining approval of a new Form I–140 currently may face, such as paying for nonimmigrant’s case might not be petition. As noted above, however, academic expenses for their children, approvable and the H–1B nonimmigrant authorizing employment based solely on during the transition from the filing (rather than the approval) of has a relatively shorter record of nonimmigrant to LPR status as a result a PERM application or Form I–140 compliance with U.S. immigration laws. of the inability of their dependent petition is likely to encourage frivolous The eligibility requirements in this rule family members to work in the United filings to allow the H–4 dependent also allow for better control of States. spouse to obtain employment processing, as it is difficult for USCIS to Additionally, limiting employment authorization while the filings remain track another agency’s filings, such as authorization to H–4 dependent spouses pending. DHS thus is not extending this PERM applications. Finally, with is consistent with the treatment of rule on the basis of pending PERM respect to the comment suggesting that dependent minors in other applications or Form I–140 petitions. By employment should be authorized at the nonimmigrant employment categories requiring that a Form I–140 petition first point when an adjustment of status (such as the L and E nonimmigrant application is pending, Department be approved, DHS will further categories), which provide employment regulations already provide eligibility disincentivize frivolous filings and authorization to dependent spouses but for employment authorization in that better serve the goal of extending the not dependent children. And in the situation. See 8 CFR 274a.12(c)(9). immigration benefit of this rule to only those spouses of H–1B nonimmigrants instances where DHS has extended (2) H–1B Nonimmigrants Who Are who are genuinely on the path to lawful eligibility for employment authorization Eligible for AC21 Extensions Under permanent residence. to minor children, foreign policy Sections 106(a) and (b) reasons have been an underlying Some commenters expressed support v. H–4 Minors consideration. DHS has extended for an alternative policy that would Less than 40 commenters requested eligibility for employment authorization extend employment authorization to that DHS authorize employment for to minors within the following certain H–4 dependent spouses of H–1B certain H–4 dependent minor children nonimmigrant categories: Dependents of nonimmigrants who are eligible for, but whose H–1B nonimmigrant parent is the Taipei Economic and Cultural have not yet been approved for, beneficiary of an approved Form I–140 extensions of status under sections or has been granted an extension of his permitting certain individuals over the age of 21 to continue to qualify as a child for purposes of certain 106(a) and (b) of AC21. DHS declines to or her authorized period of admission in immigration benefits. See Public Law 107–208 adopt such a policy because it creates the United States under AC21. These (2002). If an individual becomes too old to qualify the possibility of granting employment commenters cited concerns about H–4 as a child under the immigration law, and in turn authorization to H–4 dependent spouses dependent children being unable to no longer can derivatively benefit from a petition or application on behalf of a parent, he or she is of H–1B nonimmigrants who are later obtain the same types of work described as ‘‘aging out.’’ denied the extension of H–1B status. For experience as their peers, being unable 15 On June 15, 2012, the Secretary of Homeland instance, a labor certification or Form I– to afford post-secondary education in Security announced that certain aliens who came to 140 petition may have been timely filed the United States, and losing eligibility the United States as children and meet several on behalf of the H–1B nonimmigrant for H–4 status through age (known as guidelines may request consideration for deferred 14 action from removal for a period of two years, 365 days prior to the prospective ‘‘aging-out’’ ) before their parents can subject to renewal. This policy is generally referred expiration of his or her six-year to as Deferred Action for Childhood Arrivals limitation of stay, thus making the H– 14 To qualify as a ‘‘child’’ for purposes of the (DACA). On , 2014, the Secretary immigration laws, an individual generally must be announced expanded eligibility guidelines for 1B nonimmigrant eligible for an unmarried and under the age of 21. See INA section consideration under the DACA policy and extended extension under AC21. But the labor 101(b)(1), 8 U.S.C. 1101(b)(1). The Child Status the period of deferred action and work certification or Form I–140 petition Protection Act (CSPA) amended the INA by authorization from two years to three years.

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Representative Office (TECRO) E–1 commenters requested an EAD for an H– viii. Other Nonimmigrant Categories nonimmigrants; J–2 dependent children 1B nonimmigrant whose spouse is also Less than 20 commenters requested of J–1 foreign exchange visitors; in H–1B status, but has been granted a that DHS authorize employment for the dependents of A–1 and A–2 foreign different length of stay. dependents of principals in other government officials; dependents of G– DHS declines to adopt the employment-based nonimmigrant 1, G–3, and G–4 international commenters’ suggestions regarding classifications, such as dependents of organization officials; and dependents EADs for H–1B nonimmigrants. If an H– O–1 nonimmigrants (O–3) 19 and TN of NATO officials. Each of these 1B nonimmigrant would like to apply nonimmigrants (TD).20 One commenter instances involves foreign policy for an EAD as the dependent spouse of specifically requested employment considerations that are not present in an eligible H–1B nonimmigrant, he or authorization for children of O–1 and the H–1B nonimmigrant program. she must first change to H–4 status. TN nonimmigrant highly skilled DHS also declines to extend Moreover, issuance of an EAD to an H– employment authorization to H–4 workers who are on the path to lawful 1B nonimmigrant authorizing permanent residence. dependent children who age out and employment other than with his or her lose their H–4 status. Providing work DHS declines to expand eligibility for petitioning employer is incompatible employment authorization in this rule authorization in such circumstances with the H–1B classification, which would encourage such individuals to to the dependents of principals with allows employment only with the other nonimmigrant classifications. DHS violate the terms of their authorized 17 petitioning employer. If an H–1B is narrowly tailoring the expansion of stay. Moreover, comments suggesting nonimmigrant works on an EAD for an that the Department should make eligibility for employment authorization employer other than his or her to meet several policy objectives, changes to prevent H–4 dependent petitioning employer, he or she may be minor children from aging out are including the goal of helping U.S. violating the terms and conditions of his businesses retain highly skilled H–1B outside the scope of this rulemaking, or her petition and, therefore, may no which in no way involves the ability of nonimmigrants who are on the path to longer be maintaining a valid lawful permanent residence. DHS may a minor to maintain H–4 status or nonimmigrant status. eligibility for LPR status as a derivative consider expanding employment beneficiary of a parent’s immigrant vii. H–4 Dependent Spouses Not authorization to other dependent petition. Selected in the H–1B Lottery nonimmigrant categories in the future. Finally, the circumstances of persons Moreover, there are significant Less than 20 commenters requested a differences between the H–1B eligible for consideration of Deferred carve-out for H–4 dependent spouses Action for Childhood Arrivals nonimmigrant classification on the one who had filed an H–1B petition but who hand, and the O–1 and TN (‘‘DACA’’) are distinct from those of H– were not selected in the H–1B 4 dependent minor children, and the classifications on the other, that inform computer-generated random selection policy for authorizing employment for the Department’s decision to limit process (‘‘H–1B lottery’’).18 Although individuals who have received deferred applicability of this rule to only H–4 DHS appreciates the frustration that action has no bearing on whether H–4 dependent spouses. The spouses of H– may result from not being selected in dependent minor children should be 1B nonimmigrants, for example, the H–1B lottery, the Department eligible to apply for employment generally have greater need for the declines to extend eligibility for authorization. The DACA program benefits of this rule than the spouses of employment authorization to these H–4 concerns the departmental exercise of O–1 nonimmigrants. O–1 dependent spouses. This rule is not a prosecutorial discretion with the aim of nonimmigrants typically apply for LPR substitute for the H–1B program and is ensuring that limited DHS enforcement status through the EB–1 immigrant visa resources are appropriately focused on not intended to circumvent the H–1B preference category, which has not the Department’s highest enforcement lottery. A primary purpose of this rule historically suffered from visa backlogs. priorities. The policy aims underlying is to help U.S. businesses retain the H– This allows the spouses of O–1 this rule, as described above, are 1B nonimmigrants for whom they have nonimmigrants to generally obtain different, and for the reasons already already filed an employment-based employment authorization much more discussed do not justify extending immigrant petition. Expanding the rule quickly than the spouses of H–1B employment authorization to the H–4 to help nonimmigrants in other nonimmigrants who typically seek LPR dependent children of H–1B situations does not directly support this status through the EB–2 and EB–3 nonimmigrants. goal. preference categories, which have historically been subject to lengthy vi. Principal Beneficiaries 17 See INA sections 101(a)(15)(H)(i)(b) (requiring backlogs. A few dozen commenters requested that DOL determine and certify that ‘‘the intending employer has filed’’ an LCA) (emphasis added), that the rule also allow H–1B 212(n) (establishing LCA requirements applicable to 19 An O–3 nonimmigrant is a dependent of an O– nonimmigrants to receive Employment employers of H–1B nonimmigrants), 214(c) 1 nonimmigrant. The O–1 nonimmigrant Authorization Documents (EADs), (requiring employers file petitions with the classification applies to individuals who possess which authorize employment without Secretary of Homeland Security to employ an H– extraordinary ability in the sciences, arts, 16 1B nonimmigrant); 8 U.S.C. 1101(a)(15)(H)(i)(b), education, business, or athletics, or who have a regard to employer, incident to status. 1182(n), 1184(c). demonstrated record of extraordinary achievement One commenter requested that DHS 18 If USCIS receives more than a sufficient in the motion picture or television industry and provide one EAD to households in number of H–1B petitions to reach the general have been recognized nationally or internationally which both spouses have H–1B status in statutory cap of 65,000 visas or the 20,000 cap for those achievements. See INA section order to avoid necessitating one of the under the advanced degree exemption during the 101(a)(15)(O), 8 U.S.C. 1101(a)(15)(O); 8 CFR filing period, see INA section 214(g)(1)(A), (5)(C), 8 214.2(o). spouses to change to H–4 status. A few U.S.C. 1184(g)(1)(A), (5)(C), USCIS holds a 20 A TD nonimmigrant is a dependent of a TN computer-generated random selection process, or nonimmigrant. The TN nonimmigrant classification 16 The commenters’ refer to these unrestricted lottery, to select enough petitions to meet the permits qualified Canadian and Mexican citizens to EADs as ‘‘open market’’ EADs. In contrast, classes statutory caps. See 8 CFR 214.2(h)(8)(ii)(B). USCIS seek temporary entry into the United States to of aliens listed in 8 CFR 274a.12(b), such as H–1B rejects and returns cap-subject petitions not engage in business activities at a professional level. nonimmigrants, are authorized for employment randomly selected, with filing fees, unless a See INA section 214(e), 8 U.S.C. 1184(e); 8 CFR only with a specific employer. petition is found to be a duplicate filing. 214.6.

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The spouses of TN nonimmigrants are their support, including whether H–1B nonimmigrants and their families, also not similarly situated to the nonimmigrants were abandoning their without negatively impacting others. spouses of H–1B nonimmigrants. Unlike applications for LPR status. DHS notes, DHS has narrowly tailored this rule to H–1B status, TN status stems from an however, that more than 60 commenters provide employment authorization to international agreement—the North specifically indicated they planned to only those H–4 dependent spouses of American Free Trade Agreement abandon their pursuit of lawful H–1B nonimmigrants who have taken (NAFTA)—negotiated between the permanent residence without the active steps to become LPRs. The rule United States and foreign nations. As changes in the proposed rule. does not affect any other nonimmigrant such, changes to that status implicate Approximately, two dozen commenters category, nor does the rule make reciprocal international trade and stated that they left the United States distinctions among persons of different foreign policy concerns that are because the current regulations preclude nationalities. Moreover, as noted generally not implicated with respect to H–4 dependent spouses from engaging throughout this rule, DHS expects that the H–1B classification and are beyond in employment. And several U.S. because of the small size of the newly the scope of this rulemaking. employers submitted comments in eligible class of workers, the rule should which they describe the loss of valued 3. Comments Opposing the Rule not negatively impact the employment H–1B nonimmigrants because of the of persons in other nonimmigrant Approximately ten percent of restriction on spousal employment. categories. DHS also notes that the H– commenters opposed extending These employers noted that the changes 4 dependent spouses at issue may employment authorization to the class in the proposed rule would help to align already obtain employment of H–4 dependent spouses described in America’s immigration laws with the authorization when they file their the proposed rule. Many of these policies of other countries that allow applications to adjust status; this rule commenters were generally concerned spousal employment. DHS agrees with simply accelerates the timeframe in that the rule would result in the these employers and other commenters which they may enter the labor market. displacement of U.S. workers; who supported the proposed rule, and exacerbation of the nation’s the Department believes that this change iii. Impact on Universities unemployment rate; and a decrease in will support U.S. businesses and Several commenters suggested that wages. All comments discussing strengthen U.S. competitiveness. DHS because it is common for H–4 economic issues, both in opposition to also believes that this rule will fulfill its dependent spouses to change status to and in support of the proposed rule, are intended purpose and encourage certain F–1 nonimmigrant student status to discussed in Part III, Public Comments highly skilled H–1B nonimmigrants to enhance their marketability and use on Proposed Rule, Section D, Comments remain in the United States and their time productively, universities on Executive Orders 12866 and 13563. continue to pursue their efforts to may lose revenue from decreased Commenters also questioned whether become LPRs. enrollment if such H–4 dependent the change in the proposed rule is spouses are allowed to work pursuant to actually necessary in light of other ii. Impact on Other Categories or Nationalities this rule. DHS carefully considered but provisions of U.S. immigration law. declined to address these concerns. Other commenters suggested that the Less than 80 commenters suggested First, this rule does not directly regulate proposed rule would have an adverse that the proposed rule would harm U.S. institutions of higher education or impact on other immigration categories persons in other nonimmigrant its students (including F–1 categories or with certain nationalities. or nationalities. DHS has carefully nonimmigrants), and any impacts on A few commenters who had changed considered these concerns. But for the university enrollments or revenues status from H–4 status to F–1 reasons that follow, DHS has decided to would be an indirect impact of this rule. nonimmigrant student status, for finalize the rule as proposed. Second, the rule merely expands the example, thought the rule was unfair choices available to H–4 dependent i. Change Unnecessary because F–1 nonimmigrant graduates spouses. While the rule expands the More than 20 commenters believed who had exhausted their Optional ability for such individuals to obtain that because current immigration laws Practical Training had no path to employment authorization, it does provide the ability for H–4 dependent employment authorization except nothing to restrict or otherwise change spouses to change status to an through another principal employment-authorized category, the nonimmigrant classification, such as the their ability to engage in study to the proposed rule would not provide any H–1B classification. These commenters extent authorized by the Department in additional incentives for H–1B argued that the rule would put recent F– accordance with law. Third, even if the nonimmigrants to remain in the United 1 nonimmigrant graduates at a opportunity for employment States and continue to pursue LPR disadvantage because they would have authorization may mean that fewer H– status. One commenter stated that most to go through the H–1B petition process 4 dependent spouses eventually choose of the comments posted on whereas the qualifying H–4 dependent to enroll as nonimmigrant students, it is www.regulations.gov failed to indicate spouses would be eligible for an EAD not clear how this rule could that potential immigrants have authorizing employment without regard significantly impact revenues at colleges abandoned the immigration process, or to employer. and universities considering the have decided against coming to the DHS appreciates these commenters’ relatively small number of people 21 United States in the first place, because concerns but does not believe that the impacted by this rule. Indeed, other their spouses would not be authorized changes made by this rule will 21 According to Department of Education to work. adversely affect other classifications or statistics, approximately 21 million students are DHS disagrees with these commenters specific nationalities. Rather, DHS expected to enroll in postsecondary degree-granting and believes that the changes made by expects that this rule will help to institutions in fall 2014. See http://nces.ed.gov/ this rule are warranted. DHS partially alleviate the adverse impact of fastfacts/display.asp?id=372. Given the relatively large student population enrolled in American acknowledges that thousands of oversubscription of certain chargeability schools and the narrow population impacted by this commenters who voiced support for the categories in the EB–2 and EB–3 rule, DHS believes this rule would not significantly rule did not provide specific reasons for categories on certain H–1B impact net college enrollments.

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commenters noted that this rule could whose H–4 dependent spouses have spouses of H–1B nonimmigrants who actually help university enrollment, as certain skills or hold certain educational have approved Form I–140 petitions. the increased ability for H–1B credentials would undermine the C. Legal Authority To Extend nonimmigrant families to generate effectiveness of this rule. Employment Authorization to Certain income would further enable the H–1B ii. Reciprocity H–4 Dependent Spouses nonimmigrant and H–4 dependent spouse to engage in higher education or A number of commenters Over 40 commenters questioned contribute towards the higher education recommended limiting employment DHS’s legal authority to extend of their children. Consequently, it is authorization to H–4 dependent spouses employment authorization to certain H– uncertain if the net impact of this rule who are from countries that authorize 4 dependent spouses, often emphasizing is to reduce overall enrollment and employment for spouses of U.S. citizens that employment for spouses of L and E revenues, given the offsetting effects of in a similar immigration status abroad nonimmigrants is expressly authorized 22 this rule suggested by commenters. (i.e., when there is reciprocity). DHS’s by statute. Several commenters argued Commenters did not provide statistics focus in this rule, however, is on that it was the role of Congress, not the or data demonstrating that this rule will retaining H–1B nonimmigrants for the Executive Branch, to create immigration have significant adverse effects on U.S. benefit of U.S. employers and the U.S. laws. DHS disagrees with the view that this institutions of higher education or that economy, including by helping rule exceeds the Secretary’s authority. DHS should limit employment businesses minimize expensive In the INA, Congress provided the opportunities for H–4 dependent disruptions caused by the departures Secretary with broad authority to spouses to protect revenue sources. from the United States of certain highly administer and enforce the immigration Finally, DHS notes that it received skilled H–1B nonimmigrants. As noted several supportive comments both from laws. The Secretary is expressly above, limiting the rule to affect only a authorized to promulgate rules and representatives of the academic subset of H–1B nonimmigrant families community and also from self-identified ‘‘perform such other acts as he deems based on reciprocity would weaken the necessary for carrying out his authority’’ H–4 dependent spouses who viewed rule’s efficacy. Moreover, reciprocity this rulemaking as positive. based upon considerations rationally would implicate foreign policy related to the immigration laws. INA 4. Comments Requesting a More considerations that are outside the section 103(a)(3), 8 U.S.C. 1103(a)(3). Restrictive Policy scope of this rulemaking. Congress also provided the Secretary Slightly over 180 commenters iii. Limiting Employment Authorization with the more specific statutory suggested limiting employment Based on AC21 Extensions authority to set by regulation the authorization to a more restricted class conditions of nonimmigrant admission. of H–4 nonimmigrants. For the reasons A few commenters requested that INA section 214(a), 8 U.S.C. 1184(a). discussed below, DHS has determined DHS extend eligibility for employment These provisions grant the Secretary that it will not adopt the commenters’ authorization only to the H–4 broad discretion to determine the most suggestions in this final rule. dependent spouses of H–1B effective way to administer the laws. nonimmigrants who are beneficiaries of i. Certain Skills or Sectors See Narenji v. Civiletti, 617 F.2d 745, AC21 extensions. DHS discussed this 747 (D.C. Cir. 1979) (observing that the A number of commenters option in the proposed rule. The INA ‘‘need not specifically authorize recommended granting employment Department appreciates this suggestion, each and every action taken by the authorization only to H–4 dependent but believes that also extending Attorney General [(now Secretary of spouses who have certain skills or work employment authorization to the Homeland Security)], so long as his in certain sectors of the economy. Other spouses of H–1B nonimmigrants who action is reasonably related to the duties commenters requested that DHS limit are the beneficiaries of approved Form imposed upon him’’); see also Arizona employment authorization under the I–140 petitions more effectively v. United States, 132 S. Ct. 2492, 2499 rule to H–4 dependent spouses who accomplishes the goals of this (2012) (noting ‘‘broad discretion hold advanced degrees from U.S. rulemaking. For the benefit of U.S. exercised by immigration officials’’ universities or have degrees in certain businesses and the U.S. economy, DHS under the immigration laws). subjects, such as subjects in STEM believes the rule should provide More specifically, section fields. Some commenters were incentives for those workers who have 274A(h)(3)(B) of the INA, 8 U.S.C. concerned that eligible H–4 dependents established certain eligibility 1324a(h)(3)(B), recognizes that will be able to compete across all requirements and demonstrated intent employment may be authorized by occupations, not just skilled to reside permanently in the United statute or by the Secretary. See Arizona professions. States and contribute to the U.S. Dream Act Coalition v. Brewer, 757 F.3d DHS declines to restrict employment economy. Extending employment 1053, 1062 (9th Cir. 2014) (‘‘Congress authorization eligibility to H–4 authorization to H–4 dependent spouses has given the Executive Branch broad dependent spouses with certain skills or of H–1B nonimmigrants with either discretion to determine when degrees. A primary purpose of this rule approved Form I–140 petitions or H–1B noncitizens may work in the United is to help U.S. employers retain H–1B status granted pursuant to sections States.’’); Perales v. Casillas, 903 F.2d nonimmigrant employees who have 106(a) and (b) of AC21 encourages a 1043, 1050 (5th Cir. 1990) (describing demonstrated the intent to become greater number of professionals with the authority recognized by INA LPRs, which would provide substantial high-demand skills to remain in the 274A(h)(3) as ‘‘permissive’’ and largely benefits to these employers and the U.S. United States. Moreover, by tying ‘‘unfettered’’). Thus, the commenters’ economy. This rule is intended to eligibility for employment authorization arguments that DHS lacks authority to provide this incentive to H–1B to approved Form I–140 petitions, DHS grant employment eligibility to H–4 nonimmigrants regardless of the is reaching the H–4 dependent spouses dependent spouses because Congress academic backgrounds of their H–4 of H–1B nonimmigrants granted status dependent spouses. Limiting the rule to under section 104(c) of AC21. DHS thus 22 See INA section 214(c)(2)(E), (e)(6); 8 U.S.C. benefit only H–1B nonimmigrants declines to exclude from this rule the 1184(c)(2)(E), (e)(6).

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has not specifically required it by able to enter the U.S. labor market. generally produces a modest increase in statute are misplaced. The fact that Importantly, the rule does not require the wages of native-born workers in the Congress has directed the Secretary to eligible H–4 spouses to submit an long-run, and that any negative authorize employment to specific application for an EAD, nor does the economic effects—in the form of classes of aliens (such as the spouses of granting of an EAD guarantee that H–4 wages—are largely felt by other E and L nonimmigrants) does not mean spouses will obtain employment. immigrant workers with similar that the Secretary is precluded from Further, the relatively small number of education and skill levels. DHS also extending employment authorization to people affected by the rule limits any notes that the Immigration and other classes of aliens by regulation as impact the rule may have on the labor Nationality Act’s employment-related contemplated by section 274A(h)(3)(B) market. Although DHS, in this final antidiscrimination provision, enforced of the INA, 8 U.S.C. 1324a(h)(3)(B).23 rule, increased its estimate of the by the Department of Justice’s Office of number of H–4 dependent spouses who D. Comments on the Analysis of Special Counsel for Immigration-Related might benefit from the rule, the Executive Orders 12866 and 13563 Unfair Employment Practices, prohibits maximum number of such spouses who employment discrimination in hiring, 1. Comments Related to Labor Market could request employment firing and recruiting and referring for a Impacts authorization and actually enter the fee based on citizenship status. In Of the approximately ten percent of labor market in the initial year (the year general, employers may not reject U.S. commenters who generally opposed the with the largest number of potential workers in favor of nonimmigrant visa rule, a majority of those commenters applicants) represents only 0.1156 holders based on citizenship status. INA asserted that allowing eligible H–4 percent of the overall U.S. civilian labor section 274B(a)(1)(B), 8 U.S.C. dependent spouses to receive force. This increased estimate does not 1324b(a)(1)(B). employment authorization would have change the Department’s conclusion From a labor market perspective, it is negative economic impacts. Chief that this rule will have minimal labor important to note that there are not a among these concerns was the impact of market impacts. fixed number of jobs in the United the proposed rule on the U.S. labor Moreover, with respect to the States. Basic principles of labor market market. Many commenters believed that potential that this rule and the policy economics recognize that individuals the proposed rule would increase goals of retaining certain highly skilled not only fill jobs, but also stimulate the competition for jobs; exacerbate the H–1B nonimmigrants may cause native- economy and create demand for jobs nation’s unemployment rate; drive worker displacement and wage through increased consumption of down wages; and otherwise negatively reduction, DHS notes that there is a goods and services. On this point, impact native U.S. workers. A few large body of research that supports the approximately 2,600 commenters commenters also suggested that findings that immigration of highly thought that the regulation as proposed allowing H–4 dependent spouses to skilled workers is beneficial to the U.S. will stimulate the U.S. economy through enter the labor market would negatively economy and labor market in the long- the spillover effects associated with impact highly skilled H–1B term. For example, several commenters dual-income households, thus leading nonimmigrants. provided studies that refuted arguments to increased spending throughout the DHS appreciates these viewpoints and that highly skilled immigrants are used economy, greater investments in real 24 has carefully considered the potential for ‘‘cheap labor,’’ while many others estate, the potential for job creation, and for negative labor market impacts offered evidence that showed the increased tax revenue. Relatedly, other throughout this rulemaking. DHS positive effects of immigration, and commenters expressed their belief that affirms its belief expressed in the particularly high-skilled immigration, 25 the rule will bolster U.S. proposed rule that any labor market on the U.S. labor market. These competitiveness, economic strength and impacts will be minimal. As a commenters pointed to a Congressional innovation. A few commenters noted preliminary matter, this regulatory Budget Office report and academic 26 that the proposal will enhance the change applies only to the H–4 study that showed that immigration ability of U.S. businesses to attract and dependent spouses of H–1B retain highly skilled immigrants, nonimmigrants who have actively taken 24 For example, commenters cited to the following studies in refuting the claim that H–1B workers are resulting in potential economic gains to certain steps to obtain LPR status. As a source of cheap labor: Lofstrom, M. & Hayes, J., U.S. companies and the U.S. economy. such, the rule simply accelerates the ‘‘H–1Bs: How Do They Stack Up to US Born In addition, commenters also timeframe by which these spouses are Workers? IZA Discussion Paper No. 6259’’ (Dec. highlighted several social benefits of the 2011), available at http://ssrn.com/ abstract=1981215; Rothwell, J. & Ruiz, N. ‘‘H–1B proposed rule, including: Family 23 Moreover, in the few instances in which Visas and the STEM Shortage: A Research Brief’’ unification; overall family financial Congress has determined to limit employment (May 11, 2013), available at http://ssrn.com/ security and stability; providing a authorization for certain classes of aliens, it has abstract=2262872. means for H–4 dependent spouses to be done so expressly. See INA section 208(d)(2), 8 25 U.S.C. 1158(d)(2) (‘‘An [asylum] applicant who is Commenters cited to the following to highlight financially independent; and positive effects of highly skilled immigration: not otherwise eligible for employment authorization significantly aiding the H–1B shall not be granted such authorization prior to 180 National Foundation for American Policy, ‘‘H–1B days after the date of filing of the application for Visas and Job Creation’’ (Mar. 2008), available at nonimmigrant and his or her family in asylum.’’); INA section 236(a)(3), 8 U.S.C. 1226(a)(3) http://www.nfap.com/pdf/080311h1b.pdf. integrating into American culture and (restricting employment authorization for aliens 26 Commenters cited to the following studies in communities. DHS appreciates these who have been arrested and are in removal highlighting the effects of immigration: comments and agrees that the rule will proceedings unless the alien is a lawful permanent Congressional Budget Office, ‘‘The Economic resident ‘‘or otherwise would (without regard to Impact of S. 744, the Border Security, Economic provide economic and social benefits to removal proceedings) be provided work Opportunity, and Immigration Modernization Act,’’ the H–1B nonimmigrant worker and his authorization’’); INA section 241(a)(7), 8 U.S.C. June 18, 2013, available at http://www.cbo.gov/ or her family as they wait to obtain LPR 1231(a)(7) (providing that alien who has been sites/default/files/cbofiles/attachments/44346- ordered removed is ineligible for work Immigration.pdf; Mathews, D., ‘‘No, the CBO Report status. authorization unless the Secretary finds that the Doesn’t Mean Immigration Brings Down Wages,’’ alien cannot be removed for lack of a country June 19, 2013, available at http:// Peri, G., Rethinking the Effects of Immigration on willing to receive the alien or ‘‘the removal of the www.washingtonpost.com/blogs/wonkblog/wp/ Wages (March 2010), available at http:// alien is otherwise impracticable or contrary to the 2013/06/19/no-the-cbo-report-doesnt-mean- economics.ucdavis.edu/people/gperi/site/papers/ public interest’’). immigration-brings-down-wages/; Ottaviano, G. & rethinking-the-effect-of-immigration-on-wages.

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Finally, a few commenters suggested for those H–1B nonimmigrants and their the timeframe in which certain H–4 that allowing H–4 dependent spouses to families who are currently in the dependent spouses are able to enter the enter the labor market would negatively backlog waiting for immigrant visas. labor market. impact the job prospects of highly Furthermore, that approach would also Notwithstanding the revised volume skilled H–1B nonimmigrants. These overstate the likely number of H–4 estimates, the basis for this rule, as commenters generally suggested, dependent spouses who would be discussed throughout the proposed rule without providing empirical support, eligible to apply for employment and this final rule, remains accurate. that by allowing H–4 dependent spouses authorization under this rule. That is so DHS is taking this action to further to have an EAD, U.S. employers will because the approach does not account incentivize H–1B nonimmigrants and prefer to hire such individuals rather for the proportion of employment-based their families to continue to wait and than to go through the additional effort adjustment applicants who are in H–1B contribute to the United States through of hiring an H–1B nonimmigrant. DHS status as compared to those adjusting an often lengthy waiting period for an appreciates these concerns but lacks from another nonimmigrant status. immigrant visa to become available. data on the skillsets or educational Moreover, not all spouses of H–1B DHS expects that these actions will also levels of H–4 dependent spouses to nonimmigrants are currently in H–4 benefit U.S. employers by decreasing indicate that they will take jobs that are nonimmigrant status. For these reasons, the labor disruptions that occur when typically held by highly skilled H–1B DHS disagrees with the commenters’ H–1B nonimmigrants abandon the nonimmigrants. Nor, as noted above, is suggested approach to estimating the permanent resident process. the U.S. labor market static; individuals volume of H–4 dependent spouses who 3. Comments on Specific Costs and who supply labor also create demand will be eligible to apply for employment Benefits Discussed in the Analysis for labor through increased authorization under this rule. consumption and other spending. The Estimating the eligible population by One commenter believed that the fact that this rule provides employment taking into account the backlog of H–1B proposed rule overstated the potential authorization only to H–4 dependent nonimmigrants who have approved I– costs and understated the benefits of the spouses who are tied to an H–1B 140 petitions but are unable to adjust rule. Specifically, the commenter nonimmigrant who is sufficiently on the status due to a lack of available alleged that DHS’ estimates for cost per path to LPR status further mitigates the immigrant visas, along with the applicant were exaggerated because possibility that this rule will cause estimated future flow of newly eligible DHS included the monetized employers to hire H–4 dependent spouses, is a more accurate opportunity costs associated with spouses over H–1B nonimmigrants. DHS methodology for estimating the number applying for employment authorization. anticipates that employers will continue of H–4 dependent spouses whom this That same commenter also believed that to fully utilize the H–1B program and rule may impact. DHS failed to stress the economic and does not believe that this rule will DHS has carefully considered ways to social benefits of the rule. Another adversely affect the job prospects of H– estimate the volume of potential H–4 commenter believed that the proposed 1B nonimmigrants. dependent spouses who will be eligible rule failed to acknowledge the economic to apply for employment authorization losses incurred by the current inability 2. Comments on the Volume Estimate of H–4 dependent spouses to work. and Methodology under this rule. Based on comments received that questioned whether the DHS has carefully considered these Of the ten percent of commenters who estimated volume of such spouses was comments and does not believe that the opposed the rule, many felt that the too low, DHS reviewed and updated its potential costs and benefits were either Department’s estimates of the potential estimates in preparing this final rule. under- or overestimated. In the eligible population were too low. Two DHS acknowledges that there is some proposed rule, DHS highlighted the economic benefits to both the H–4 commenters suggested that DHS employ uncertainty in this analysis, but believes dependent spouse and the H–1B family a different methodology to arrive at the its methodology offers the best available unit that would accrue from additional estimated number of likely eligible H– estimates. 4 dependent spouses. One commenter Although the estimate of H–4 income. In addition, in the proposed provided highlighted excerpts of the dependent spouses who could be rule DHS discussed the societal Yearbook of Immigration Statistics, as eligible to apply for employment integration benefits that would accrue to published by the DHS Office of authorization increased in this final the H–4 dependent spouse and the H– 1B family that would come from the Immigration Statistics, containing rule,27 the findings and impacts of the spouse’s ability to participate in the U.S. statistics on individuals who had rule remain essentially the same. In the labor market. DHS disagrees with obtained LPR status under employment- first year, if all 179,600 H–4 dependent comments that the application costs based preference categories. The spouses who DHS estimates may be were inflated because we assigned a commenter highlighted the total number eligible under the rule were to enter the valuation to the H–4 dependent of spouses who had adjusted status to U.S. labor market, that population spouse’s time. DHS acknowledged in lawful permanent residence and the would still constitute a small fraction of the proposed rule that these spouses do total number of individuals who one percent of the overall U.S. civilian not currently work. DHS decided to use adjusted to LPR status under the first workforce. And many of these H–4 the minimum wage as a reasonable through third employment-based dependent spouses will be able to seek proxy to estimate the opportunity costs preference categories. DHS assumes that employment even without this rule, as of their time. DHS disagrees with the the commenter was suggesting that DHS immigrant visa numbers become questionable notion that just because simply apply that historical average to available and H–1B nonimmigrant these spouses are not currently able to estimate the number of H–4 dependent families become eligible to file for participate in the labor market, they do spouses who will be eligible to apply for adjustment of status. As noted not face opportunity costs and/or assign employment authorization under this previously, this rule simply accelerates rule. valuation in deciding how to allocate DHS appreciates this response and 27 Please refer to Section IV.C. of this document their time. As such, DHS utilized a carefully considered this approach. for a deeper discussion of the final estimate of the reasonable approach in assigning value However, that approach fails to account impact of this rule. to their time.

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E. Comments on the Application for match the H–1B and H–4 authorized authorization pursuant to this rule. At Employment Authorization periods of admission. DHS agrees with the same time, USCIS would face Over 180 commenters raised issues commenters that to reduce possible significant operational burdens if it related to employment authorization, cases of unauthorized employment, the were required to collect and verify tax including filing procedures, premium EAD validity period should match the documents for each H–4 dependent H–4 dependent spouse’s length of spouse seeking employment processing, validity periods, renewals, authorized admission. Thus, in issuing authorization under this rule. evidentiary documentation, concurrent an EAD to an otherwise eligible H–4 filings for extension of stay/change of 3. EAD Renewals dependent spouse, DHS generally will status, automatic extensions of authorize a validity period that matches Five commenters requested that DHS employment authorization, and filing the H–4 spouse’s remaining authorized allow H–4 dependent spouses to apply fees. DHS carefully considered these period of admission, which may be as for EAD renewals up to six months in comments and addresses them below. long as three years in cases not advance, in part to align with the time 1. Streamlined or Modernized Filing involving DOD-related services. This frame permitted for filing of the Petition Procedures policy will ensure that USCIS does not for a Nonimmigrant Worker (Form I– grant employment authorization to an 129) to extend the H–1B nonimmigrant’s Commenters urged DHS and USCIS to H–4 dependent spouse who is not status. As explained below in Section utilize streamlined or modernized filing eligible for the benefit. It will also likely III.E.5, DHS will permit those H–4 procedures for Applications for reduce the number of times that H–4 dependent spouses seeking to Employment Authorization (Forms I– dependent spouses may need to request concurrently file their Form I–765 765) submitted by H–4 dependent renewal of their employment application with their Application to spouses. USCIS is moving from a paper- authorization. Extend/Change Nonimmigrant Status based application and adjudication One commenter requested that DHS (Form I–539), and if applicable their process to an electronic one through the issue a probationary EAD with a six-to spouses’ Form I–129 petition, to file up development of an Electronic twelve-month validity period, at the end to six months in advance of the Immigration System (‘‘USCIS ELIS’’). of which the H–4 dependent spouse requested start date. Please note, When complete, USCIS ELIS will allow would have to prove that he or she is however, that USCIS will not adjudicate customers to electronically view their working legally and paying taxes. DHS the Form I–765 application until a applications, petitions or requests, declines to adopt this suggestion. The determination has been made on the receive electronic notification of EAD that DHS will issue H–4 dependent underlying Form I–539 application and/ decisions, and electronically receive spouses pursuant to this rule is or Form I–129 petition. The time at real-time case status updates. This is a evidence of employment authorization which an H–4 dependent spouse will be global effort affecting all USCIS benefit to lawfully work in the United States for eligible to apply for an EAD renewal request programs and, therefore, is any employer. DHS is not aware of any will vary, as it is dependent on actions outside the scope of this rulemaking. risk factors—such as fraud, criminal taken by the H–1B nonimmigrant, DHS will notify the public when USCIS activity, or threats to public safety or including actions to maintain and is prepared to begin accepting electronic national security—associated with H–4 extend his or her H–1B status, as well filings of Applications for Employment dependent spouses as a whole that as the H–4 dependent spouse’s status. Authorization by eligible H–4 would support imposing a six-month dependent spouses. DHS will begin 4. Acceptable Evidentiary validity period. Moreover, the Documentation accepting Applications for Employment administrative burden resulting from Authorization (Forms I–765) submitted additional adjudications and the Several commenters submitted by certain H–4 dependent spouses on possibility of gaps in employment comments related to the Application for the effective date of this rule, May 26, authorization, together with the burdens Employment Authorization (Form I– 2015. This effective date is intended to this limitation would place on the H–4 765) and to the evidence required to be prevent an overlap of H–1B cap season dependent spouse, make imposing a six- submitted by applicants with the and an initial filing surge of Forms I– month validity period unreasonable. application. One commenter asked DHS 765 under 8 CFR 274a.12(c)(26). As a Regarding the suggestion that H–4 to make changes to assist applicants in result, USCIS will be able to implement dependent spouses should be required obtaining acceptable evidentiary this program in a manner that will avoid to prove that they pay taxes as a documentation. This commenter prolonged delays of processing other condition of obtaining or maintaining requested that USCIS provide the H–4 petition and application types, in work authorization, DHS does not dependent spouse, upon request, with particular those H–1B petitions seeking require proof of payment of taxes for his or her immigration case related an FY 2016 cap number. It will also any of the classes of aliens eligible to paperwork, such as the original allow USCIS to maintain excellent file the Application for Employment underlying petition. Another customer service for all USCIS Authorization. As a preliminary matter, commenter requested that DHS provide stakeholders, including H–1B issuance of an EAD does not require an clarification about the evidentiary employers, H–1B nonimmigrants and H–4 dependent spouse to work. Nor standard relating to AC21 eligibility. their families. does issuance of the EAD guarantee that In conjunction with the proposed an H–4 dependent spouse will find rule, DHS proposed conforming 2. Employment Authorization employment and therefore be required revisions to the Form I–765 application Document (Form I–766) Validity Period to pay taxes on any income earned to add H–4 dependent spouses Nine commenters requested that DHS through such employment. Moreover, described in this rule to the classes of issue the Employment Authorization DHS is not aware of any evidence, and aliens eligible to file the form. Document (EAD) (Form I–766) with a the commenter provided none, Concurrent with publication of this final validity period that matches the H–4 indicating that H–4 dependent spouses rule, DHS has made further changes to dependent spouse’s status. Related to are likely to engage in tax evasion or the form. DHS has made clarifying this request, another commenter other tax-related unauthorized activity if changes to improve readability of the requested a three-year validity period to they are provided employment form instructions describing the types of

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documentary evidence that may be declines to establish new procedures for that it is reasonable to allow those forms submitted in support of the application. making document requests that are to be concurrently filed. As further discussed in Part III.F.1 applicable only to applicants who are DHS, however, cannot extend the relating to marriage fraud concerns, H–4 dependent spouses. The courtesy of concurrent filing with Form DHS also has revised the regulatory text established FOIA process for making I–140 immigrant visa petitions filed on in 8 CFR 214.2(h)(9)(iv) and the form document requests promotes fairness, behalf of the H–1B nonimmigrant. instructions to clarify that supporting uniformity, and administrative Presently, Forms I–129 and I–539 are documentary evidence includes proof of efficiency, while ensuring that privacy not processed at the same USCIS marriage. Finally, DHS has revised the protections are enforced. locations in which Form I–140 petitions form itself to include a check box that Finally, in response to the comment are adjudicated. As a result, each form self-identifies the applicant as an on the evidentiary standard that will must be filed separately at the USCIS eligible H–4 dependent spouse. DHS apply to H–4 dependent spouses, DHS Service Center location having believes that adding the check box for notes that such spouses will have to jurisdiction over the relevant form. H–4 dependent spouses to the form will meet the same burden of proof (i.e., Additionally, determining the spousal aid in the efficient processing of the preponderance of the evidence) as other relationship between the H–1B form by facilitating USCIS’s ability to applicants for employment nonimmigrant and the H–4 dependent match the application with related authorization. See, e.g. , Matter of spouse is not a necessary part of the petitions that are integral to determining Chawathe, 25 I. & N. Dec. 369, 376 adjudication of the Form I–140 28 the H–4 dependent spouse’s eligibility (AAO 2010) (describing ‘‘preponderance petition. To permit concurrent filing for employment authorization, as of the evidence’’ standard). of Form I–765 with Form I–140 would discussed below in Part III.E.5. undermine DHS’ efforts to facilitate 5. Concurrent Filings efficient processing of both benefit DHS appreciates the concerns requests. regarding the difficulty that some A couple of commenters requested DHS also notes that it cannot applicants may face in obtaining the that DHS allow eligible H–4 dependent adjudicate a Form I–765 filed by an H– necessary documentation to support the spouses to file the Application for 4 dependent spouse until the Form I–765 application. DHS’s revisions Employment Authorization (Form I– Department has made a determination in this final rule to 8 CFR 214.2(h)(9)(iv) 765) concurrently with an Immigrant regarding the H–1B nonimmigrant’s and the instructions to Form I–765 Petition for Alien Worker (Form I–140) eligibility for H–1B status under provide for flexibility in the types of or an Application to Extend/Change sections 106(a) and (b) of AC21 or until evidentiary documentation that may be Nonimmigrant Status (Form I–539). For a Form I–140 petition has been submitted by applicants. If the H–4 the reasons that follow, DHS agrees to approved. Prior to adjudicating such dependent spouse cannot submit the allow Form I–765 to be concurrently Form I–765, DHS must also make a primary evidence listed in the form filed with Form I–539, but not with determination that the H–4 dependent instructions, he or she may submit Form I–140. spouse remains eligible for H–4 status. secondary evidence, such as an DHS currently permits an H–4 As such, DHS amends the current rule attestation that lists information about dependent spouse to file Form I–539 to clarify that the 90-day clock specified the underlying Form I–129 or Form I– concurrently with a Petition for a in 8 CFR 274a.13(d) authorizing DHS to 140 petition, so that an adjudicator may Nonimmigrant Worker (Form I–129) issue interim employment authorization be able to match the Form I–765 filed on behalf of the H–1B if the Form I–765 is not adjudicated application with the underlying nonimmigrant. This provides several within 90 days is not triggered until petition(s). Such information may efficiencies, as the status of the H–4 necessary eligibility determinations include the petition receipt number, the dependent spouse is based on the have been made on the underlying beneficiary’s name and/or the resolution of the H–1B nonimmigrant’s nonimmigrant status for the H–1B petitioner’s name. If secondary evidence Form I–129 petition and both forms may nonimmigrant and the H–4 dependent does not exist or cannot be obtained, an be processed at the same USCIS spouse. If the H–4 dependent spouse’s applicant may demonstrate this and locations. For similar reasons, DHS has employment authorization is based on a submit two or more sworn affidavits by decided to permit H–4 dependent favorable eligibility determination non-parties who have direct knowledge spouses to file Applications for relating to the nonimmigrant status of of the relevant events and Employment Authorization (Forms I– either the H–1B nonimmigrant or the H– circumstances. This approach should 765) concurrently with certain related 4 dependent spouse, the 90-day clock is address the situation where the H–4 benefit requests: Applications to triggered when that eligibility dependent spouse is unable to access Extend/Change Nonimmigrant Status determination is made. Alternatively, if the immigration paperwork relating to (Forms I–539) and, if applicable, with employment authorization is based on a the H–1B nonimmigrant. Petitions for a Nonimmigrant Worker favorable eligibility determination Notwithstanding the option for (Form I–129). As noted previously, DHS relating to the nonimmigrant status of submitting secondary evidence, if an has decided to issue EADs to eligible H– both the H–1B nonimmigrant and the applicant prefers to obtain the primary 4 dependent spouses with validity dates H–4 dependent spouse, the 90-day clock evidence listed in the form instructions that match their authorized periods of is not triggered until an eligibility from USCIS for submission with the admission. That period of admission is determination is made on both. Form I–765, the applicant may make a determined as part of the Form I–539 Accordingly, DHS is making conforming request for documents maintained by application adjudication, which, in amendments to 8 CFR 214.2(h)(9)(iv) USCIS by following established turn, is largely dependent on the H–1B and 8 CFR 274a.13(d) in this final rule procedures for making such requests nonimmigrant’s period of admission and the instructions to Form I–765. under the Freedom of Information Act determined as part of the Form I–129 These amendments permit H–4 (FOIA). See http://www.uscis.gov/about- adjudication. Because adjudication of those forms are interrelated, and us/freedom-information-and-privacy- 28 Unlike the I–140 adjudication, adjudication of act-foia/how-file-foia-privacy-act- because they are submitted to the same Form I–539 requires evidence of such spousal request/how-file-foiapa-request. DHS USCIS locations, DHS has determined relationship.

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dependent spouses under this rule to 1B nonimmigrant and H–4 dependent will consider fee waiver requests on a concurrently file their Form I–765 with spouse could result in employment case-by-case basis. See 8 CFR related benefit requests, specified in the authorization being extended to 103.7(c)(3)(viii). As noted above, given form instructions to include their individuals who will eventually be the nature of the H–1B nonimmigrant’s Application to Extend/Change determined ineligible for this benefit. employment, a showing of inability to Nonimmigrant Status (Form I–539), and DHS thus declines to adopt this pay as required by the regulation would if applicable, their spouse’s Form I–129 recommendation. be the exception rather than the rule. petition. As a result of the amendments, To avoid any potential gaps in the 90-day clock described in 8 CFR employment authorization when 9. Possible Restrictions on EADs Issued 274a.13(d) would also not start until seeking an extension of employment to H–4 Dependent Spouses after a determination has been made on authorization, DHS recommends that the underlying H–1B status, H–4 status, the H–4 dependent spouse timely file all A few commenters recommended or both. necessary applications. DHS’s policy to imposing certain restrictions on permit concurrent filing of Forms I–539, employment authorization issued to H– 6. Premium Processing I–129, and I–765 should also help H–4 4 dependent spouses, such as: Creating Three commenters requested dependent spouses avoid gaps in a cap on the number of EADs that could premium processing service for H–4 employment authorization, as these be granted to H–4 dependent spouses; dependent spouses seeking to file forms may be filed concurrently up to prohibiting the H–1B nonimmigrant and Applications for Employment six months in advance of date of need. H–4 dependent spouse from having the Authorization (Forms I–765). These same employer or working in the same 8. Filing Fees commenters highlighted the benefit that occupation; prohibiting employers from the extra premium processing fees could Several commenters submitted replacing an American veteran with an bring to USCIS. DHS appreciates these remarks on the filing fees without H–1B nonimmigrant; restricting H–4 comments, but has decided not to expressing support for or opposition to work authorization to certain extend premium processing to Form I– the fees. Additionally, some employers; creating a National Registry 765 applications filed by H–4 commenters asserted that USCIS would of Jobs that H–4 dependent spouses dependent spouses in conjunction with benefit from an increased volume of would be allowed to apply for; forcing fees, and another commenter requested this rulemaking. DHS currently offers individuals to surrender their foreign premium processing service for certain that the U.S. Government help pay for passports when they obtain U.S. employment-based petitions and immigration-related application fees. citizenship as a way of proving applications, including H–1B, L, and E DHS is bound by statutes and allegiance; allocating EADs in a nonimmigrant worker petitions and regulations governing its collection of certain EB–1, EB–2 and EB–3 immigrant fees in connection with immigration proportionate manner based on visa petitions. Extending premium benefit requests. See INA section nationality; and requiring H–4 processing to Form I–765 applications, 286(m)–(p), 8 U.S.C. 1356(m)–(p); 8 CFR dependent spouses to pay for training however, presents operational concerns 103.7. DHS generally must set programs for U.S. citizens. and would be inconsistent with application fees at a level that enables DHS declines to incorporate the procedural realities for USCIS. The it to recover the full costs of providing suggested restrictions into this final agency, for example, would be unable to services, including the costs of similar rule. A primary purpose of this rule is comply with premium processing services provided without charge to to assist U.S. employers in retaining requirements on any Form I–765 certain other applicants. But DHS may certain highly skilled H–1B application that is contingent on the offer assistance with respect to nonimmigrants. Allowing certain H–4 adjudication of a concurrently filed immigration-related application fees in dependent spouses to apply for Application to Extend/Change the form of fee waivers. Discretionary employment authorization removes a Nonimmigrant Status (Form I–539). Due fee waivers are provided on a case-by- disincentive that currently undermines case basis when the party requesting the to these and other operational concerns, this goal. Imposing the suggested benefit is unable to pay the prescribed DHS will not extend premium restrictions, such as numerical caps or fee and the waiver request is consistent processing service to Form I–765 per-country quotas, would limit the with the underlying benefit being applications, including applications effectiveness and purpose of this rule. requested. See 8 CFR 103.7(c)(1). filed by H–4 dependent spouses under Additionally, DHS believes that EADs this rule at this time. For the reasons that follow, DHS believes that it would be unlikely that provide inherent protections that 7. Automatic Extensions of Work H–4 dependent spouses would be mitigate the risk of abuse and Authorization unable to pay the prescribed fee for the exploitation. Because these EADs may One commenter requested an Application for Employment be used to work for any employer, automatic extension of work Authorization (Form I–765). By workers are free to find new authorization for 240 days after an H– definition, H–4 dependent spouses are employment at any point during the 4 dependent spouse’s EAD expires. married to H–1B nonimmigrants who EAD’s validity, including if they are DHS, however, is concerned with are employed and earning a salary of at dissatisfied with their pay or working improperly granting employment least the prevailing wage in their conditions. Finally, DHS reiterates that authorization to an H–4 dependent occupation. H–4 dependent spouses the individuals being provided spouse who is ineligible for it. As the will thus generally be unable to employment authorization under this validity of the H–4 dependent spouse’s establish that they cannot pay the fee rule belong to a class of aliens that is eligibility for employment authorization prescribed for the Form I–765 already likely to enter the U.S. labor will be tied to his or her authorized application. For these reasons, DHS market with EADs. In sum, DHS does period of admission, automatic declines to establish a general fee not believe that extending eligibility for extensions of employment authorization waiver for the Form I–765 filed by employment authorization to H–4 without review of the underlying eligible H–4 dependent spouses under dependent spouses will lead to the extension of stay applications for the H– this rule. See 8 CFR 103.7(d). USCIS broad exploitation of EADs.

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10. Circular EADs 12. Other Related Issues falsify their resumes or qualifications or marry for immigration purposes. With One commenter noted that this rule Several commenters sought guidance on issues tangential to the issuance of respect to potential resume fraud, DHS could lead to ‘‘circular EADs,’’ whereby notes that eligibility for employment spouses who are both eligible for H–1B employment authorization to H–4 dependent spouses. For example, one authorization for H–4 dependent status may switch status (H–1B to H–4 spouses will not depend in any way on and vice versa) so that one spouse may commenter asked for clarification on the type of status that an H–4 dependent their professional or educational maintain an EAD at all times. This qualifications or their resumes. It will be commenter conveyed the concern that spouse will receive when readmitted into the United States after traveling up to potential employers to verify the H–1B nonimmigrants might initiate the abroad. Another commenter wanted to qualifications of H–4 dependent spouses primary steps towards permanent know if an H–4 dependent spouse could they may be seeking to hire. This residence, then switch back and forth work from home in the United States for concern is therefore outside the scope of between H–1B and H–4 statuses to stay his or her native country employer on this rulemaking. in the United States forever. the native country salary. Because this With respect to marriage fraud, DHS DHS acknowledges that H–1B rulemaking is limited to extending is revising 8 CFR 214.2(h)(9)(iv) to nonimmigrants will be able to change eligibility for employment authorization clarify that establishing eligibility for status, as permitted by law. DHS to H–4 dependent spouses and does not employment authorization under this believes it is extremely unlikely, make changes to admission rule requires evidence of the spousal however, that an H–1B nonimmigrant requirements or conditions of relationship between the H–4 will seek to remain in the United States employment authorization, DHS dependent spouse and the H–1B forever by switching between considers these questions outside the nonimmigrant. DHS is also making nonimmigrant statuses as a result of this scope of this rulemaking. Please consult conforming revisions to the form rule. The rule is intended to benefit the USCIS Web site at www.uscis.gov or instructions to Form I–765 to require those H–1B nonimmigrants who are contact USCIS Customer Service at 1– that H–4 dependent spouses submit already well on the path to lawful 800–375–5283 for current guidance. proof of marriage to the H–1B permanent residence and, therefore, Finally, several commenters requested nonimmigrant with the form. USCIS seek to remain in the United States clarification about EAD processing and officers are specially trained to permanently on this basis. Although the adjudication times. USCIS posts current recognize indicia of fraud, including waiting period for an immigrant visa processing times on its Web site and marriage fraud and falsified documents, may be lengthy, there is an end date as encourages interested stakeholders to and review other immigration petitions indicated on the Department of State’s consult www.uscis.gov if they have for these circumstances as well. If such Visa Bulletin. So any incentive to questions about adjudication times.29 fraud is suspected, the relevant USCIS officer may refer the case to the local switch between statuses indefinitely F. Fraud and Public Safety Concerns would be weighed by the nonimmigrant fraud unit for further inquiry. USCIS against the benefits of obtaining LPR Over 100 commenters raised concerns may also submit leads related to status, including the ability to work in related to fraud and public safety, significant fraud to U.S. Immigration the United States without being tied to including issues related to resume and Customs Enforcement for criminal a specific employer and the ability of fraud, marriage fraud, participation by investigation. DHS believes that current the H–4 dependent spouse to work individuals with criminal records, fraud-detection training, mechanisms without needing to periodically apply unauthorized employment, and for detecting and investigating fraud, and pay for an EAD. Moreover, with employer abuse in the H–1B program. and fraud-related penalties are sufficient lawful permanent residency, an Strict consequences are already in place for deterring and detecting marriage individual is eligible to apply for U.S. for immigration-related fraud and fraud in this context. citizenship, generally after five years, criminal activities, including 2. Prohibition Related to Felony Charges and to petition for relatives to immigrate inadmissibility to the United States, and Convictions to the United States, benefits that are mandatory detention, ineligibility for naturalization, and removability. See, Two commenters requested a not available to persons with H–1B or prohibition against participation by H–4 status. e.g., INA sections 101(f), 212(a)(2) & (a)(6), 236(c), 237(a)(1)(G) & (a)(2), 318; anyone charged with, awaiting trial for, 11. Form I–765 Worksheets 8 U.S.C. 1101(f), 1182(a)(2) & (a)(6), or convicted of a felony. DHS 1226(c), 1227(a)(1)(G) & (a)(2), 1429. appreciates the commenters’ concerns One commenter expressed concern Nevertheless, the Department welcomes over public safety and notes that the that H–4 dependent spouses would suggestions to further prevent fraud and eligibility for employment authorization need to demonstrate economic need for protect public safety in the extended by this rule to certain H–4 employment because of the reference in implementation of its programs. The dependent spouses is discretionary. the Paperwork Reduction Act section of Department carefully considered these DHS officers will consider any adverse the proposed rule to the Form I–765 comments and addresses them below. information—including criminal Worksheet (Form I–765WS). DHS is convictions, charges, and other criminal clarifying that H–4 dependent spouses 1. Falsifying Credentials and Marriage matters—on a case-by-case basis. are not required to establish economic Fraud 3. Unauthorized Employment need for employment authorization. H– Over 100 commenters anticipated that 4 dependent spouses are not required to certain H–4 dependent spouses would A few commenters thought that this submit Form I–765WS with their rule would help curb any unauthorized Application for Employment 29 For example, as of January 26, 2015, the employment in which H–4 dependent Authorization (Form I–765). DHS has processing time at the California Service Center spouses are currently engaging. corrected this error in the form (CSC) for the Application for Employment Additionally, several commenters raised Authorization, Form I–765, ranged from 3 weeks to instructions to the Application for 3 months depending on the basis for the Form I– concerns that this rule could encourage Employment Authorization (Form I– 765. See https://dashboard.uscis.gov/ illegal immigration and increase the 765). index.cfm?formtype=12&office=2&charttype=1. number of undocumented workers in

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the United States. DHS disagrees that of immigration to underscoring the need who are married to certain H–1B this rule may encourage illegal for comprehensive reform of the nonimmigrants who have taken immigration. DHS believes that this rule immigration laws to general support of substantial steps, generally taking many will provide options to certain H–4 immigration. DHS is charged with years, towards obtaining permanent dependent spouses allowing them to administering the immigration laws residence. Such an individual may engage in authorized employment. enacted by Congress, and only Congress eventually obtain a job for which an H– Individuals eligible for employment can change those laws. The comments 1B nonimmigrant could possibly have authorization under this rule must have described above are therefore outside qualified, but the Department does not been granted H–4 status and must the scope of this rulemaking. DHS, consider this a circumvention of the H– remain in such lawful status before they however, is committed to 1B cap. can be granted employment comprehensive immigration reform that ii. Elimination or Modification of the H– authorization pursuant to this rule. An creates a workable system that 1B program H–4 dependent spouse who engaged in strengthens border security, improves unauthorized employment would not the U.S. economy, unites families, and More than a dozen commenters have been maintaining lawful H–4 preserves national security and public requested that the H–1B program be status and therefore would be ineligible safety. terminated. An approximately equal for this new benefit. Therefore, the Additionally, fewer than a dozen number of commenters requested that Department does not believe that this commenters objected to the ability of the H–1B visa cap be eliminated or rule will incentivize unauthorized non-U.S. citizens to submit comments modified in various ways. Several employment or any other illegal on the proposed rule. As noted in that commenters requested that DHS activities. rule, DHS welcomed comments from all increase the number of visas available, interested parties and did not place any other commenters asked DHS to 4. Employer Abuse of H–1B restrictions based on citizenship or eliminate the H–1B visa cap, while Nonimmigrants and H–4 Dependent nationality. others recommended decreasing the Spouses number of visas available. H. Modifications to the H–1B Program A number of commenters raised DHS cannot address the commenters’ and Immigrant Visa Processing concerns over potential employer abuse suggestions in this rulemaking. The H– of H–1B nonimmigrants and H–4 1. H–1B Visa Program 1B program is required by statute, which also sets the current cap on H– dependent spouses. These concerns i. Circumventing the H–1B Cap included failure to pay prevailing wages 1B visa numbers. Congressional action and demanding long hours without A few commenters suggested that is thus required to address the adequate compensation. DHS employers may try to exploit this commenters’ concerns, as the Secretary appreciates these concerns and regulation by using it to avoid the H–1B does not have the authority to eliminate maintains that employers must not numerical cap and hiring more foreign the program or change the visa cap intimidate, threaten, restrain, coerce, specialty occupation workers than without congressional action. The blacklist, discharge or otherwise permitted by the statute. As a suggested changes are thus outside the discriminate or take unlawful action preliminary matter, DHS cannot agree scope of this rulemaking. against any employee. Violators face with the premise that hiring an Additionally, one commenter severe penalties. See INA individual with general (rather than requested that DHS allow for more 212(n)(2)(C)(iv), 8 U.S.C. employer-specific) employment flexible filing times for H–1B visas. This 1182(n)(2)(C)(iv). DHS takes seriously authorization constitutes circumvention request would require DHS to amend its any potential abuse of H–1B of the cap on H–1B nonimmigrants. This H–1B regulations, which currently nonimmigrants and H–4 dependent is particularly so when such provide that an H–1B petition may not spouses and encourages any workers employment authorization is contingent be filed or approved earlier than six who feel that their rights have been on being married to an individual who months before the date of actual need violated by their employers to file a was selected in the H–1B program and for the beneficiary’s services. See 8 CFR complaint with DOL or another is subject to the cap. Moreover, 214.2(h)(9)(i)(B). This rulemaking, appropriate entity, such as the Equal commenters provided no evidence or however, does not make substantive Employment Opportunity data that would support the contention changes to the H–1B program or its that this rule will be used by employers Commission.30 Any concerns raised by regulations. The request is thus outside and H–4 dependent spouses to commenters regarding H–1B the scope of this rulemaking. circumvent the cap. For example, DHS nonimmigrants and worker protections does not have, and commenters did not iii. More Flexible Change of Status From in the H–1B program, however, are provide, data on the skillsets or H–1B to H–4 outside the scope of this rulemaking. educational levels of H–4 dependent One commenter requested a G. General Comments spouses to indicate that they will modification of the H–1B program to Over 300 commenters submitted generally qualify for jobs that are allow a family member who has been in feedback about general immigration typically held by highly skilled H–1B the United States for more than five issues. A few commenters expressed nonimmigrants. Finally, it is unlikely years to choose between H–1B and H– support for or opposition to that highly skilled individuals who 4 status. To some extent, H–1B immigration. Comments ranged from could independently qualify under the nonimmigrants currently have this requesting DHS to discontinue all types H–1B program will instead opt to enter option. An H–4 dependent spouse may the United States as H–4 dependent seek classification as an H–1B 30 An individual can submit a Nonimmigrant spouses and subject themselves to nonimmigrant if an employer files a Worker Information Form, Form WH–4, with DOL. lengthy periods of unemployment with petition on his or her behalf. As long as This form was authorized by the American the intent to circumvent the H–1B cap. one of the spouses maintains H–1B Competitiveness and Workforce Improvement Act (ACWIA) of 1998. See INA sections 212(n)(2)(G), 8 As noted previously, this rule provides status, the other is eligible for H–4 U.S.C. 1182(n)(2)(G). It is available on-line at eligibility for employment authorization status. However, the underlying H–1B http://www.dol.gov/whd/forms/wh-4.pdf. only to those H–4 dependent spouses status is connected to the need of a U.S.

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employer. To the extent that the immigration laws and the system for accordance with current reporting commenter is suggesting a change to obtaining LPR status. DHS, however, protocols. this requirement such that both spouses will not respond to these comments as could be present in the United States in they do not address changes to the L. Implementation H–4 status, such a change would require regulations made by this rulemaking Several hundred commenters congressional action and, therefore, is and are therefore outside the scope of requested that the rule be implemented beyond the scope of this rulemaking. this rulemaking. as soon as possible. One commenter iv. Applying for H–1B Status and Cap I. H–1B Nonimmigrant’s Maintenance of requested that a sunset provision be Exemption Status included in the rule. At the end of the One commenter recommended that Several commenters asked for more sunset period, the commenter H–4 dependent spouses be allowed to information about the effect that an H– recommended that DHS evaluate the apply for H–1B visas and be exempt 1B nonimmigrant’s loss of employment program, and, if the results are positive, from the cap. This final rule does not or change of employer would have on expand it. DHS believes that a general prohibit H–4 dependent spouses from the H–4 dependent spouse’s sunset provision would not be seeking and obtaining H–1B status. employment authorization. As stated in practicable or fair as it would require Once an H–4 spouse seeks to change to the proposed rule, the H–4 dependent’s DHS to provide different periods of H–1B status, he or she is subject to status is tied to the H–1B employment authorization to H–4 annual limitations on H–1B nonimmigrant’s status. Thus, if the H– dependent spouses depending on when nonimmigrants. Only Congress can 1B nonimmigrant fails to maintain they become eligible to apply. Further, exempt groups of individuals from the status, the H–4 dependent spouse also DHS considers a sunset provision to be statutory H–1B numerical limitations. fails to maintain status and would at odds with the rule’s purpose, which This request is therefore beyond the therefore no longer be eligible for is to retain highly skilled workers who scope of this rulemaking. employment authorization. Under often have a multi-year wait before current regulations, DHS may seek to v. Dependents of G Principal being eligible to apply for permanent revoke employment authorization if, Nonimmigrants residence. prior to the expiration date of such One commenter requested that DHS authorization, any condition upon With respect to implementation of change its G visa regulations to allow which it was granted has not been met this rule, DHS must consider the 30-day dependents of principal G visa holders or no longer exists. See 8 CFR effective date requirement at 5 U.S.C. to more freely obtain a different visa 274a.14(b). 553(d) as well as USCIS’s classification (such as H–1B implementation requirements. Based on classification). Such a change is outside J. Environmental Issues these factors, DHS has decided that this the scope of this rulemaking. In the proposed rule, DHS requested rule will be effective 90 days from the 2. Immigrant Visa Processing and comments relating to the environmental date of publication, May 26, 2015. Adjustment of Status effects that might arise from the proposed rule. Nine commenters IV. Statutory and Regulatory Over 30 commenters requested the submitted related feedback, noting Requirements elimination of the worldwide quotas for general environmental issues that come A. Unfunded Mandates Reform Act of immigrant visas.31 One commenter with an increased population. DHS 1995 requested allowing the submission and appreciates these comments but notes receipt of applications for adjustment of that the vast majority of the population The Unfunded Mandates Reform Act status when visas are not available, and immediately affected by the rule is of 1995 (UMRA) is intended, among another requested that the rule include already in the United States and has other things, to curb the practice of provisions to expedite the permanent been here for a number of years while imposing unfunded Federal mandates residence process for the EB–2 and EB– waiting for their immigrant visas. The on State, local, and tribal governments. 3 preference categories. Several H–4 dependent spouses affected by this Title II of the Act requires each Federal commenters requested that USCIS grant rule generally will eventually be able to agency to prepare a written statement EADs to LPR applicants while they wait seek employment even without this assessing the effects of any Federal for their immigrant visas. Another rule, as immigrant visa numbers become mandate in a proposed or final agency commenter requested that USCIS grant available and H–1B nonimmigrant one skilled worker visa per eligible rule that may result in a $100 million or families become eligible to file for more expenditure (adjusted annually for family unit (rather than per each adjustment of status. As noted individual family member), for the inflation) in any one year by State, local, previously, this rule simply accelerates and tribal governments, in the aggregate, purpose of reducing backlogs. One the timeframe in which these commenter requested that USCIS or by the private sector. The value individuals are able to enter the labor establish a procedure by which those in equivalent of $100,000,000 in 1995 market. the process of seeking LPR status could adjusted for inflation to 2014 levels by ‘‘pre-register’’ their intention to apply to K. Reporting the Consumer Price Index for All Urban Consumers is $155,000,000. adjust status. A few commenters requested more DHS appreciates feedback from the information about how DHS will This rule does not exceed the $100 public regarding possible changes to the monitor the outcome of the final rule, million expenditure in any one year such as by tracking EAD adjudications when adjusted for inflation 31 Section 201(d) of the INA, 8 U.S.C. 1151(d), ($155,000,000 in 2014 dollars), and this prescribes the worldwide level of employment- for H–4 dependent spouses and based immigrants. Section 203(b) of the INA, 8 publishing annual reports. DHS rulemaking does not contain such a U.S.C. 1153(b), prescribes the preference allocation maintains statistics on all immigration mandate. The requirements of Title II of for employment-based immigrants. Section 202 of benefit programs and will monitor H–4 the Act, therefore, do not apply, and the INA, 8 U.S.C. 1152, prescribes per country levels for family-sponsored and employment-based EAD adjudications and include relevant DHS has not prepared a statement under immigrants. information in its annual reports in the Act.

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B. Small Business Regulatory spouses. To obtain work authorization, much less than a one percent change in Enforcement Fairness Act of 1996 the H–4 dependent spouse generally the overall U.S. labor force. This rule is not a major rule as must have a pending Application to DHS is unable to determine and does defined by section 804 of the Small Register Permanent Resident Status or not include in this analysis the filing Adjust Status or have changed status to Business Regulatory Enforcement Act of volume of H–4 dependent spouses who another nonimmigrant classification 1996. This rule will not result in an will need to renew their employment that permits employment. AC21 annual effect on the economy of $100 authorization documents under this rule million or more, a major increase in provides for an authorized period of admission and employment as they continue to wait for immigrant costs or prices, or significant adverse visas. Eligible H–4 dependent spouses effects on competition, employment, authorization beyond the typical six- year limit for H–1B nonimmigrants who who wish to apply for employment investment, productivity, innovation, or authorization must pay the $380 filing on the ability of United States are seeking permanent residence. This fee to USCIS, provide two passport-style companies to compete with foreign- final rule will extend eligibility for based companies in domestic and employment authorization to H–4 photos, and incur the estimated 3-hour- export markets. dependent spouses where: the H–1B and-25-minute opportunity cost of time nonimmigrant is the principal burden associated with filing an C. Executive Orders 12866 and 13563 beneficiary of an approved Form I–140 Application for Employment Executive Orders 12866 and 13563 petition; or the H–1B nonimmigrant has Authorization (Form I–765). After direct agencies to assess the costs and been granted status pursuant to sections monetizing the expected opportunity benefits of available regulatory 106(a) and (b) of AC21. cost and combining it with the filing alternatives and, if regulation is DHS has updated its estimate of the fee 32 and the estimated cost associated necessary, to select regulatory population of H–4 dependent spouses with providing two passport-style approaches that maximize net benefits who will be impacted by the rule. DHS photos, an eligible H–4 dependent estimates the current population of H– (including potential economic, spouse applying for employment 4 dependent spouses who will be environmental, public health and safety authorization will face an anticipated eligible for employment authorization effects, distributive impacts, and total cost of $436.18. equity). Executive Order 13563 could initially be as many as 179,600 emphasizes the importance of after taking into account the backlog of The maximum anticipated annual quantifying both costs and benefits, of H–1B nonimmigrants who have cost to eligible H–4 dependent spouses reducing costs, of harmonizing rules, approved I–140 petitions, or who are applying for initial employment and of promoting flexibility. This rule likely to have such petitions approved, authorization in Year 1 is estimated at has been designated a ‘‘significant but who are unable to adjust status $78,337,928 (non-discounted), and regulatory action’’ under section 3(f) of because of the lack of immigrant visas. $23,989,900 (non-discounted) in Executive Order 12866. Accordingly, For ease of analysis, DHS has assumed subsequent years. The 10-year the rule has been reviewed by the Office that those H–4 dependent spouses in the discounted cost of this rule to eligible of Management and Budget. backlog population will file for H–4 dependent spouses applying for DHS is amending its regulations to employment authorization in the first employment authorization is extend eligibility for employment year of implementation. DHS estimates $257,403,789 at 3 percent and the flow of new H–4 dependent spouses authorization to certain H–4 dependent $219,287,568 at 7 percent. Table 2 who could be eligible to apply for initial spouses of H–1B nonimmigrants who shows the maximum anticipated employment authorization in either: (1) Are principal beneficiaries of estimated costs over a 10-year period of an approved Immigrant Petition for subsequent years may be as many as 55,000 annually. Even with the analysis for the estimate of 179,600 Alien Worker (Form I–140); or (2) have applicants for initial employment been granted H–1B status under sections increased estimate of H–4 dependent authorization, and the 55,000 applicants 106(a) and (b) of AC21. spouses who could be eligible to apply for employment authorization, DHS still expected to file for initial employment 1. Summary affirms in the initial year (the year with authorization annually in subsequent Currently, USCIS does not issue work the largest number of eligible years. authorization to H–4 dependent applicants) that the rule will result in

TABLE 2—TOTAL COSTS AND BENEFITS OF INITIAL EMPLOYMENT AUTHORIZATION FOR CERTAIN H–4 DEPENDENT SPOUSES 10-YR PRESENT VALUE ESTIMATES AT 3% AND 7% [$Millions]

Sum of Years 2–10 Year 1 estimate (55,000 filers Total over 10-year (179,600 filers) annually) period of analysis *

3% Discount Rate: Total Costs Incurred by Filers @3% ...... $76.1 $181.3 $257.4 7% Discount Rate Total Costs Incurred by Filers @7% ...... 73.2 146.1 219.3

32 The filing fee is assumed to be a reasonable application. See INA section 286(m), 8 U.S.C. approximation for USCIS’s costs of processing the 1356(m).

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TABLE 2—TOTAL COSTS AND BENEFITS OF INITIAL EMPLOYMENT AUTHORIZATION FOR CERTAIN H–4 DEPENDENT SPOUSES 10-YR PRESENT VALUE ESTIMATES AT 3% AND 7%—Continued [$Millions]

Sum of Years 2–10 Year 1 estimate (55,000 filers Total over 10-year (179,600 filers) annually) period of analysis *

Qualitative Benefits ...... This rule is intended to remove a disincentive to pursuing LPR status due to the potentially long wait for employment-based immigrant visas for many H–1B nonimmigrants and their family members. This rule will encourage H–1B nonimmigrants who have already taken steps to become LPRs to not abandon their efforts because their H–4 dependent spouses are unable to work. By encouraging H–1B nonimmigrants to continue in their pursuit of becoming LPRs, this rule would minimize disruptions to petitioning U.S. employers. Additionally eligible H–4 dependent spouses who participate in the labor market will benefit financially. DHS also anticipates that the socioeconomic benefits associated with permitting H–4 spouses to participate in the labor market will assist H–1B families in integrating into the U.S. community and economy. * Note: Totals may not sum due to rounding.

2. Purpose of the Rule individuals of all nationalities seeking innovations have the potential to According to the most recently admission under the third preference contribute to increasing U.S. gross 35 37 released reports prepared by the DHS category. Thus, the employment-based domestic product (GDP). In addition, Office of Immigration Statistics, in categories under which H–1B over 25 percent of tech companies Fiscal Year (FY) 2013 a total of 990,553 nonimmigrants typically qualify to founded in the United States from 1995 persons became LPRs of the United pursue LPR status are the very to 2005 had a key leader who was 38 States.33 Most new LPRs (54 percent) categories that are currently foreign-born. Likewise, the Kauffman were already living in the United States oversubscribed.36 Foundation reported that immigrants and obtained their LPR status by In many cases, the timeframe were more than twice as likely to start applying for adjustment of status within associated with seeking lawful a business in the United States as the the United States. permanent residence is lengthy, native-born in 2012, and a report by the Employment-based immigrant visas extending well beyond the six-year Partnership for a New American accounted for approximately 16 percent period of stay allotted by the H–1B Economy found that more than 40 of the total number of persons obtaining nonimmigrant visa classification. As a percent of Fortune 500 companies in LPR status, and 30 percent of total LPRs result, retention of highly educated and 2010 were founded by immigrants or who adjusted status in FY 2013. In FY highly skilled nonimmigrant workers their children.39 Additionally, in March 2013, there were a total of 161,110 LPRs can become challenging for U.S. 2013, the House Committee on the admitted under employment-based employers. Retaining highly skilled preference visa categories. Of these persons who intend to acquire LPR 37 See generally Jennifer Hunt & Marjolaine status is important when considering Gauthier-Loiselle, How Much Does Immigration 161,110 individuals, ‘‘priority workers’’ Boost Innovation?, Nat’l Bureau of Econ. Research, (first preference or EB–1) accounted for the contributions they make to the U.S. Sept. 2008, available at http://www.nber.org/ 24 percent; ‘‘professionals with economy, including advances in papers/w14312. advanced degrees’’ (second preference research and development and other 38 See Wadhwa, Vivek, et al., ‘‘America’s New or EB–2) accounted for 39 percent; and entrepreneurial endeavors, which are Immigrant Entrepreneurs,’’ Report by the Duke School of Engineering and the UC Berkeley School ‘‘skilled workers, professionals, and highly correlated with overall economic of Information (Jan. 4, 2007) available at http:// other workers’’ (third preference or EB– growth and job creation. By some people.ischool.berkeley.edu/∼anno/Papers/ 3) accounted for 27 percent.34 estimates, immigration was responsible Americas_new_immigrant_entrepreneurs_I.pdf; see Based on historical trends, H–1B for one quarter of the explosive growth also Wadhwa, Vivek, et al., Intellectual Property, nonimmigrants seeking to adjust status the Immigration Backlog, and a Reverse Brain- in patenting in past decades, and these Drain—America’s New Immigrant Entrepreneurs, to lawful permanent residence will most Part III, Center for Globalization, Governance & likely adjust under the EB–2 and EB–3 35 See Department of State Bureau of Consular Competitiveness (Aug. 2007), available at http:// preference categories, with a much Affairs, December 2014 Visa Bulletin (Nov. 7, 2014), www.cggc.duke.edu/documents/ smaller amount qualifying under the available at http://travel.state.gov/content/dam/ IntellectualProperty_theImmigrationBacklog_ visas/Bulletins/visabulletin_January2015.pdf. andaReverseBrainDrain_003.pdf; cf. Preston, Julia, EB–1 preference category. As of January 36 See Wadhwa, Vivek, et al., Intellectual ‘‘Work Force Fueled by Highly Skilled Immigrants,’’ 2015, the employment-based preference Property, the Immigration Backlog, and a Reverse N.Y. Times, Apr. 15, 2010, available at http:// categories are ‘‘current’’ and have visas Brain-Drain—America’s New Immigrant www.nytimes.com/2010/04/16/us/16skilled.html?_ available, except for Chinese and Indian Entrepreneurs, Part III, Center for Globalization, r=1. nationals seeking admission under the Governance & Competitiveness (Aug. 2007), 39 See Fairlie, Robert,’’Kauffman Index of available at http://www.cggc.duke.edu/documents/ Entrepreneurial Activity: 1996–2012,’’ The Ewing second preference category and IntellectualProperty_theImmigrationBacklog_ Marion Kauffman Foundation. Apr. 2013, available andaReverseBrainDrain_003.pdf. Note: The report at http://www.kauffman.org/what-we-do/research/ 33 See DHS Office of Immigration Statistics, examined the 2003 cohort of employment-based 2013/04/kauffman-index-of-entrepreneurial- Annual Flow Report, U.S. Lawful Permanent immigrants and showed that 36.8 percent of H–1B activity-19962012; Partnership for a New American Residents: 2013 (May 2014), available at http:// nonimmigrants that adjust status do so through the Economy, 2011, The ‘‘New American’’ Fortune 500, www.dhs.gov/sites/default/files/publications/ois_ EB–3 category and another 28 percent do so through available athttp://www.nyc.gov/html/om/pdf/2011/ lpr_fr_2013.pdf. the EB–2 category, while only 4.62 percent adjust partnership_for_a_new_american_economy_ 34 Id. through the EB–1 category. fortune_500.pdf.

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Judiciary held a hearing on Enhancing nonimmigrants who are seeking DHS has estimated the number of American Competitiveness Through employment-based visas under the persons waiting for LPR status in the Skilled Immigration, providing some second or third preference categories first through third employment-based members of the business community will be the group most impacted by the preference categories as of June 30, with an opportunity to provide their provisions of this rule, because certain 2014. In this analysis, the estimated perspectives on immigration. The chargeability areas in these preference number of persons waiting for an witnesses represented various categories are currently oversubscribed. immigrant visa is referred to as the industries, but underscored a unified In addition, in line with the goals of this ‘‘backlog’’ and includes those with an theme: Skilled immigrants are rule and AC21, and based on approved Form I–140 petition as of June contributing significantly to U.S. immigration statistics, we assume that 30, 2014 and those with a filed Form I– economic competitiveness and it is in the large majority of H–4 dependent 140 petition that is pending as of June our national interest to retain these spouses who will be eligible for this 30 but is likely to be approved in the talented individuals.40 provision are residing in the United future.42 Currently, the first preference As noted above, this rule is intended States and will seek to acquire LPR employment-based (EB–1) visa category to reduce the disincentives to pursue status by applying to adjust status with is not oversubscribed. Therefore, DHS lawful permanent residence due to the USCIS rather than by departing for an believes that the majority of H–4 potentially long wait for immigrant indeterminate period to pursue consular dependent spouses applying for visas for many H–1B nonimmigrants processing of an immigrant visa employment authorization under this and their families. Also, this rule will application overseas. This assumption is rule will be those whose H–1B encourage those H–1B nonimmigrants supported by immigration statistics on principals are seeking to adjust status who have already started the process for those obtaining LPR status. In FY 2013, under the second or third preference permanent residence not to abandon there were a total of 161,110 category. However, as there are persons their efforts because their H–4 employment-based immigrant visa with pending Form I–140 petitions in dependent spouses are unable to work. admissions, of which 140,009 (or 86.9 the first preference category that are 3. Volume Estimate percent) obtained LPR status through approved or likely to be approved based adjustment of status in the United on historical approval rates, and Due to current data limitations, DHS States.41 This analysis limits the focus because the provisions of AC21 apply to is unable to precisely track the and presentation of impacts based only these individuals, DHS has included population of H–4 dependent spouses on the employment-based preference them in this analysis.43 Additionally, tied to H–1B nonimmigrants who have immigrant population seeking to adjust DHS has examined detailed an approved Immigrant Petition for status to that of a lawful permanent characteristics about the LPR population Alien Worker (Form I–140) or who have resident, rather than the employment- for FY 2009–FY 2013 to further refine been granted H–1B status under the this estimate.44 We have laid out each provisions of AC21. DHS databases are based preference immigrant population seeking to obtain an immigrant visa of our assumptions and methodological currently ‘‘form-centric’’ rather than steps for both the backlog and annual ‘‘person-centric.’’ As USCIS transforms through consular processing. DHS will extend eligibility to apply estimates of H–4 dependent spouses its systems to a more fully electronic who will be eligible to apply for process, there will be a shift from for employment authorization to the H– employment authorization. Again, the application- and form-based databases 4 dependent spouses of H–1B estimates are based on the actions and to one database that tracks information nonimmigrants who are principal characteristics of the H–1B by the applicant or petitioner and which beneficiaries of approved Form I–140 nonimmigrant (e.g., whether the H–1B will improve DHS’s ability to track the petitions or who have been granted H– nonimmigrant reports being married) number of potential H–4 employment 1B status pursuant to sections 106(a) because the H–4 dependent spouse’s authorization applicants. and (b) of AC21. Therefore, DHS In the proposed rule, DHS estimated assumes that the volume of H–4 42 Source for backlog estimation: USCIS Office of that as many as 100,600 H–4 dependent dependent spouses newly eligible for Policy & Strategy analysis of data obtained from the spouses would be eligible to apply for employment authorization is comprised USCIS Office of Performance and Quality. Analysis employment authorization in the first of two estimates: (1) an immediate, first based on CLAIMS3 data captured in approved year, and as many as 35,900 H–4 year estimate due to the current backlog Immigrant Petition for Alien Worker (Form I–140). Of the Form I–140 petitions that were approved or dependent spouses would be eligible to of Form I–140 petitions; and (2) an pending as of June 30, 2014, USCIS allocated those apply annually in subsequent years. The annual estimate based on future demand that were pending that were ‘‘likely to be approved’’ estimates provided in the proposed rule to immigrate under employment-based based on USCIS approval rates in order to more have been updated in this final rule. In preference categories. Extending accurately estimate the cases in the backlog. an effort to provide a reasonable 43 Despite the fact that a beneficiary is in a eligibility for employment authorization preference category where a visa is immediately approximation of the number of H–4 to H–4 dependent spouses is ultimately available, and the beneficiary is able to apply to dependent spouses who will be eligible tied to the actions taken by the H–1B adjust status to an LPR immediately upon the filing for employment authorization under nonimmigrant; therefore, the overall of the I–140 petition, DHS is including estimates of this final rule, DHS has compared first-preference LPRs that have an approved Form volume estimate is based on the I–140 or are waiting for Form I–140 approval as of historical data on persons obtaining LPR population of H–1B nonimmigrants who June 30, 2014 for which we are unable to determine status against employment-based have taken steps to acquire LPR status that an adjustment of status application has been immigrant demand estimates. Based on under employment-based preference concurrently filed. As mentioned previously, current visa availability, DHS believes principal beneficiaries of Form I–140 petitions and categories. their dependents who are eligible to file for that dependent spouses of H–1B adjustment of status also are eligible for 41 See DHS Office of Immigration Statistics, 2013 employment authorization. 40 See Enhancing American Competitiveness Yearbook of Immigration Statistics, Table 6, 44 Source: USCIS Office of Policy & Strategy through Skilled Immigration: Hearing before the H. available at http://www.dhs.gov/yearbook- analysis of data obtained from DHS Office of Judiciary Subcomm. on Immigration, 113th Cong. immigration-statistics-2013-lawful-permanent- Immigration Statistics. Analysis based on CLAIMS3 15 (2013), available at http://www.gpo.gov/fdsys/ residents (compare statistics listed under ‘‘total data captured in Application to Register Permanent pkg/CHRG-113hhrg79724/pdf/CHRG- employment-based preferences’’ and ‘‘adjustment of Residence or Adjust Status (Form I–485) records 113hhrg79724.pdf. status employment-based preferences’’). approved in the FY 2009–13 period.

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eligibility to apply for employment aliens who are currently in H–1B and the backlog who will be impacted by authorization is tied to the steps taken other nonimmigrant statuses, as well as this rule. Instead, DHS examined on behalf of the H–1B nonimmigrant to those seeking to immigrate under detailed statistics of those obtaining LPR acquire LPR status under an employment-based preference categories status from FY 2009–2013, and used employment-based preference category. who are currently abroad. this information as a proxy to refine the a. Backlog Estimate estimate of principal workers in the TABLE 3—DHS ESTIMATE OF BACK- backlog that DHS expects to be married The estimate of the number of LOG (PRINCIPALS ONLY) AS OF JUNE H–1B nonimmigrants seeking to adjust individuals who are the principal 30, 2014 beneficiaries of either an approved Form status. That estimate provides the basis I–140 petition or a Form I–140 petition for approximating the number of H–4 Principal dependent spouses who will be that is likely to be approved and who Preference category workers are waiting for an immigrant visa in the impacted by this rule.45 Table 4 presents EB–1, EB–2, and EB–3 categories is EB–1 ...... 9,000 the assumptions and steps taken to shown in Table 3. Importantly, the EB–2 ...... 146,500 determine the upper-bound estimate of number of principal workers shown in EB–3 ...... 78,500 H–4 dependent spouses who are Table 3 is not limited only to those represented in the backlog and will individuals who are currently in H–1B DHS is unable to precisely determine likely now be eligible to apply for work status. The estimates in Table 3 include the number of H–1B nonimmigrants in authorization.

TABLE 4—STEPS TAKEN TO ARRIVE AT THE UPPER-BOUND FINAL ESTIMATE OF H–4 DEPENDENT SPOUSES OF H–1B NONIMMIGRANTS WHO ARE IN THE ‘‘BACKLOG’’ 46

Assumption and/or Step EB–1 EB–2 EB–3 Total

(1) Principal workers in the backlog (as of June 30, 2014) ...... 9,000 146,500 78,500 234,000 (2) Historical percentage of principal workers who obtained LPR Status through ad- justment of status, average over FY 09–FY13 data ...... 96.1% 98.2% 89.3% ...... (3) Estimated proportion of the backlog that DHS assumes will adjust status (round- ed) ...... 8,649 143,863 70,128 222,640 (4) Historical percentage of those who adjusted status who were H–1B non- immigrants, average over FY 09–FY13 data ...... 32.5% 89.3% 61.6% ...... (5) DHS estimated proportion of the assumed H–1B nonimmigrants who adjusted sta- tus (rounded) ...... 2,811 128,470 43,199 174,480 (6) Historical percentage of H–1B principal workers who adjusted status and who re- ported being married, average over FY 09–FY13 data ...... 81.1% 72.6% 67.2% ...... (7) DHS estimated proportion of the assumed H–1B nonimmigrants who adjusted sta- tus and who report being married (rounded) ...... 2,280 93,269 29,030 124,579

(8) Final Estimate of H–1B Nonimmigrants in the Backlog Potentially Impacted by the Final Rule (Rounded Up) 124,600

As shown in Table 4, DHS estimates employment authorization is a nonimmigrants currently waiting for there are approximately 124,600 H–1B maximum estimate since there is no immigrant visas. nonimmigrants currently in the backlog way to further refine this estimate by b. Annual Demand Estimate for an immigrant visa under the first determining the immigration or through third employment-based citizenship status of the spouses of The annual demand flow of H–4 preference categories who are married. H–1B nonimmigrants who report being dependent spouses who will be eligible Accordingly, DHS assumes by proxy married. For instance, the spouse of the to apply for initial employment that there could be as many as 124,600 H–1B nonimmigrant could reside authorization under the final rule is H–4 dependent spouses of H–1B abroad, be a U.S. citizen or LPR, or be based on: (1) The number of Form I–140 nonimmigrants currently in the backlog in another nonimmigrant status that petitions approved where the principal who could be initially eligible to apply confers employment eligibility. beneficiary is currently in H–1B status; for employment authorization under Additionally, H–4 dependent spouses and (2) the number of extensions of stay this rule. DHS does not have a similar who may be eligible for employment petitions approved for H–1B way to parse out the backlog data for authorization under this rule may nonimmigrants pursuant to AC21.47 those classified as ‘‘dependents’’ to decide not to work and therefore not Petitioners request extensions of stay or capture only those who are spouses apply for an EAD. Accordingly, DHS status for an H–1B nonimmigrant using rather than children. Furthermore, DHS believes that the estimate of 124,600 the Petition for a Nonimmigrant Worker recognizes that the estimate of H–4 represents an upper-bound estimate of (Form I–129). Section 104(c) of AC21 dependent spouses in the backlog who H–4 dependent spouses of H–1B allows for extensions of stay for an will now be eligible to apply for H–1B nonimmigrant who has an

45 Id. read approximately 60,000. The proposed rule’s AC21; however, USCIS is unable to precisely 46 Note: In the proposed rule, there was a data total estimate of H–1B in the backlog as of determine this limited population due to current compilation error in step 4 for EB–2 estimates of the September 2012 (step 8 of the calculation) should system limitations. As such, this analysis focuses H–1B population which carried through the have read approximately 106,000 based on FY 08— only on those cases where an H–1B nonimmigrant FY 11 data. calculations. Instead of 19,159 reported in the is currently in the United States and requesting an proposed rule as the estimated proportion of H–1B 47 There may be a very limited number of extension of their H–1B status pursuant to AC21. nonimmigrants that adjusted their status to EB–2 instances where an individual could be abroad and and reported being married, that total should have obtain an H–1B nonimmigrant visa pursuant to

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approved Form I–140 petition but is for AC21 extensions as those H–1B 1B status. From a practical standpoint, unable to apply to adjust to LPR status nonimmigrants who are the neither the labor certification nor the because of visa unavailability. Sections beneficiaries of a labor certification Form I–140 petition needs to remain 106(a) and (b) of AC21 allow for application or Form I–140 petition that pending adjudication for 365 days or extensions of stay for an H–1B has been pending for at least 365 days more to qualify for an extension nonimmigrant on whose behalf a labor prior to reaching the end of the sixth pursuant to AC21. certification application or a Form I–140 year of H–1B status. This colloquial It may be helpful to illustrate this petition was filed at least 365 days prior description was used in the proposed description using a graphical to reaching the end of the sixth year of rule; however, this language does not illustration of a case where an H–1B his or her H–1B status. accurately describe AC21 eligibility. Per nonimmigrant would generally be In the preamble of the proposed rule, the statute, an H–1B nonimmigrant is eligible for an extension of his or her DHS used colloquial language to eligible for an extension of stay maximum period of stay pursuant to describe the basis for H–1B pursuant to AC21 provided that they are AC21, even though neither the labor nonimmigrants to be eligible for the beneficiary of a labor certification certification application nor the Form extensions of their stay under section application or a Form I–140 petition I–140 petition remain pending with 106 of AC21. It is typical to describe that has been filed at least 365 days DOL or DHS, respectively, for a year or H–1B nonimmigrants who are eligible prior to the end of their sixth year of H– more.

In this illustration, the H–1B final rule examines the historical data of beyond the maximum six years nonimmigrant would be eligible for extensions of stay petitions approved for pursuant to AC21. Typically, an extension of his or her stay pursuant to nonimmigrants currently in H–1B status extension of stay request seeking sections 106(a) and (b) of AC21, even to estimate the volume of H–4 eligibility pursuant to AC21 would be at though his or her labor certification was dependent spouses eligible to apply for least the second extension request filed certified in 6 months and the Form work authorization pursuant to AC21. on behalf of that H–1B nonimmigrant. I–140 petition had only been pending To recap, this rule will permit certain The historical data of H–1B for two months at the time of AC21 H–4 dependent spouses of H–1B nonimmigrants who have been extension. nonimmigrants to be eligible to apply approved for extensions of stay include In this final rule’s preamble, DHS is for employment authorization provided all requests, only some of which relate correcting the description of how H–1B that the H–1B nonimmigrants are: (1) to extensions pursuant to AC21. The number of approved Form I–140 nonimmigrants become eligible for The principal beneficiaries of an petitions and approved Form I–129 extensions of stay pursuant to sections approved Form I–140 petition, or (2) extension of stay petitions where the 106(a) and (b) of AC21. Importantly, this granted H–1B status pursuant to beneficiary currently has H–1B status is language change does not impact who sections 106(a) and (b) of AC21. The presented in Table 5. ultimately qualifies to apply for annual flow estimate will therefore be employment authorization under this based on historical data of these two TABLE 5—FORM I–140 AND FORM I– final rule. The informal language used categories. USCIS began tracking those in the preamble of the proposed rule cases that were approved for an 129 (EXTENSION OF STATUS OR also does not impact the USCIS extension pursuant to AC21 on October STAY (EOS) ONLY) APPROVALS FOR adjudication of petitions to authorize 17, 2014; in the past, USCIS databases BENEFICIARIES CURRENTLY IN H–1B H–1B status pursuant to AC21. have not captured and stored this NONIMMIGRANT STATUS 48 Accurately describing the statutory information. An extension of stay conditions of AC21 does, however, request may be submitted on behalf of Form I–129 H–1B nonimmigrants at any point Extensions necessitate that DHS amend its estimate Fiscal year Form I–140 of status/ of the annual flow projections of H–4 throughout their authorized maximum approvals stay approv- dependent spouses who may be eligible six-year period of stay, or to extend stay als to apply for employment authorization. In the proposed rule, DHS estimated the 48 On October 17, 2014, USCIS began capturing 2010 ...... 48,511 116,363 number of H–4 dependent spouses who this information during the adjudication of Form I– 2011 ...... 54,363 163,208 129 petitions. Importantly, the tracking of cases that 2012 ...... 45,732 125,679 would be eligible to apply for work were approved for extension pursuant to AC21 do 2013 ...... 43,873 158,482 authorization pursuant to AC21 by not distinguish between cases approved under 2014 ...... 42,465 191,531 examining historical data of labor section 104 and cases approved under section 106. 5-Year Average 46,989 151,053 There is thus a potential for overlap between the certifications or Form I–140 petitions estimate of cases approved under AC21 and the pending for a year or more with the DOL estimate of persons with approved Form I–140 Based on approximately 90 days of and DHS, respectively. In contrast, this petitions. tracking data (which is all that is

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currently available), DHS estimates that DHS is unable to estimate the burden costs for those who are not work 18.3 percent of approved extension of proportion of H–1B nonimmigrants authorized. stay requests filed on behalf of H–1B granted extensions of status pursuant The Federal minimum wage is nonimmigrants are approved pursuant only to section 106 of AC21, and currently $7.25 per hour.54 In order to to AC21. Assuming this proportion because DHS is unable to determine the anticipate the full opportunity cost to holds constant, DHS estimates that immigration or citizenship status of petitioners, we multiplied the average annually it will approve approximately spouses of H–1B nonimmigrants who hourly U.S. wage rate by 1.46 to account 27,643 49 extension of stay requests report being married, this is an upper- pursuant to AC21. Importantly, because bound estimate of H–4 dependent for the full cost of employee benefits the tracking of extensions pursuant to spouses who could be eligible to apply such as paid leave, insurance, and AC21 does not distinguish between for employment authorization under the retirement for a total of $10.59 per 55 those cases adjudicated under section rule. hour. Based on this wage rate, H–4 104(c) of AC21 and those cases Therefore, DHS estimates that this dependent spouses who decide to file adjudicated under section 106 of AC21, rule will result in a maximum initial Form I–765 applications will face an there is likely some overlap in the estimate of 179,600 52 H–4 dependent estimated opportunity cost of time of baseline estimate of 27,643 and the spouses who could be newly eligible to $36.18 per applicant.56 Combining the estimate of persons who have approved apply for employment authorization in opportunity costs with the fee and I–140 petitions. Because DHS is unable the first year of implementation, and an estimated passport-style photo costs, the to parse out the individuals who have annual flow of as many as 55,000 who total cost per application will be extended their status pursuant to are newly eligible in subsequent years. $436.18.57 In the first year of section 104(c) of AC21, and because implementation, DHS estimates the total 4. Costs such persons have approved I–140 maximum cost to the total of H–4 petitions, DHS may be overestimating i. Filer Costs dependent spouses who could be the annual number of H–4 dependent The final rule will permit certain H– eligible to file for an initial employment spouses who will be eligible to apply for authorization will be as much as initial employment authorization. 4 dependent spouses to apply for $78,337,928 (non-discounted), and However, while there is uncertainty that employment authorization in order to may result in overstating the annual work in the United States. Therefore, $23,989,900 annually in subsequent estimates, DHS relied on the best only H–4 dependent spouses who years. The 10-year discounted cost of available information to arrive at this decide to seek employment while this rule to filers of initial employment estimate. Thus, for purposes of this residing in the United States will face authorizations is $257,403,789 at 3 analysis, DHS will use 74,632 50 as the the costs associated with obtaining percent, while the 10-year discounted baseline projection of H–1B employment authorization. The costs of cost to filers is $219,287,568 at 7 nonimmigrants who have started the the rule will stem from filing fees and percent. Importantly, in future years the immigration process. the opportunity costs of time associated applicant pool of H–4 dependent To refine the annual flow projection with filing Form I–765. spouses filing for employment estimates, DHS has chosen to estimate The current filing fee for Form I–765 authorization will include both those the proportion of applications filed in is $380. The fee is set at a level to initially eligible and those who will the first through third employment- recover the processing costs to DHS. seek to renew their EADs as they Applicants for employment based preference categories. continue to wait for visas to become authorization are required to submit two Additionally, since DHS has already available. DHS could not project the passport-style photos along with the limited the historical counts in Table 5 number of renewals as the volume of H– application, which is estimated to cost to those approved petitions where the 4 dependent spouses who will need to beneficiary’s current nonimmigrant $20.00 per application based on 53 renew is dependent upon visa classification is H–1B, DHS has made Department of State estimates. DHS estimates the time burden of completing availability, which differs based on the the assumption that the petitions shown preference category and the country of in Table 5 represent H–1B this application to be 3 hours and 25 minutes. DHS recognizes that H–4 nationality. H–4 dependent spouses nonimmigrants who are physically needing to renew their employment present in the United States and intend dependent spouses do not currently authorization will still face a per- to adjust status. As shown in Table 4, participate in the U.S. labor market, application cost of $436.18. the historical proportion of H–1B and, as a result, are not represented in nonimmigrants obtaining LPR status national average wage calculations. 54 under EB–1, EB–2, and EB–3 categories However, to provide a reasonable proxy U.S. Dep’t of Labor, Wage and Hour Division. The minimum wage in effect as of July 24, 2009, who reported being married was 81.1 of time valuation, DHS chose to use the minimum wage to estimate the available at http://www.dol.gov/dol/topic/wages/ percent, 72.6 percent, and 67.2 percent, minimumwage.htm. respectively, resulting in an average of opportunity cost consistent with 55 The calculation to burden the wage rate: $7.25 73.6 percent. Applying this percentage methodology employed in other DHS × 1.46 = $10.59 per hour. See Economic News to the baseline projection results in an rulemakings when estimating time Release, U.S. Dep’t of Labor, Bureau of Labor Statistics, Table 1. Employer costs per hour worked annual flow estimate of 55,000 for employee compensation and costs as a percent (rounded).51 Again, due to the fact that 52 Calculation: Backlog of 124,600 plus annual demand estimate for married H–1Bs of 55,000 = of total compensation: Civilian workers, by major 179,600. occupational and industry group (June 2014), 49 available at http://www.bls.gov/news.release/ Calculation: 151,053 (5-year average of I–129 53 DOS estimates an average cost of $10 per × _ extension of stay approvals) 18.3 percent = 27,643 passport photo in the Paperwork Reduction Act archives/ecec 09102014.htm (viewed Oct. 23, extensions approved pursuant to AC21. (PRA) Supporting Statement found under OMB 2014). 50 Calculation: 46,989 (5-year average of Form I– control number 1450–0004. A copy of the 56 Calculation for opportunity cost of time: $10.59 × 140 approvals) + 27,643 (annual estimate of Supporting Statement is found on Reginfo.gov at per hour 3.4167 hours (net form completion time) approved extensions of stay pursuant to AC21) = http://www.reginfo.gov/public/do/ = $36.18. 74,632 baseline estimate. PRAViewDocument?ref_nbr=201102-1405-001 (see 57 Calculation for total application cost: $380 51 Calculation: 74,632 × 73.6 percent = 54,929 or question #13 of the Supporting Statement) (filing fee) + $20 (cost estimate for passport photos) 55,000 rounded up to the nearest hundred. (accessed Oct. 21, 2014). + $36.18 (opportunity cost of time) = $436.18.

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ii. Government Costs Consequently, 179,600 additional impact on the states civilian labor force The INA provides for the collection of available workers in the first year (the is minimal. year with the largest number of eligible fees at a level that will ensure recovery 5. Benefits of the full costs of providing applicants) represent a little more than adjudication and naturalization one-tenth of a percent, 0.1156 percent, As previously mentioned, once this services, including administrative costs of the overall U.S. civilian labor force rule is finalized, these amendments will (179,600/155,389,000 × 100 = 0.1156 and services provided without charge to increase incentives of certain H–1B percent).59 certain applicants and petitioners. See The top five States where persons nonimmigrants who have begun the INA section 286(m), 8 U.S.C. 1356(m). granted LPR status have chosen to process of becoming LPRs to remain in DHS has established the fee for the reside are: California (20 percent), New the United States and contribute to the adjudication of Form I–765 in York (14 percent), Florida (10 percent), U.S. economy as they complete this accordance with this requirement. As Texas (9 percent), and New Jersey (5 process. Providing the opportunity for such, there are no additional costs to the percent).60 While allowing certain H–4 certain H–4 dependent spouses to Federal Government resulting from this dependent spouses the opportunity to obtain employment authorization rule. work will result in a negligible increase during this process will further iii. Impact on States to the overall domestic labor force, the incentivize H–1B nonimmigrants to not states of California, New York, Florida, abandon their intention to remain in the Currently, once visas are determined Texas, and New Jersey may have a United States while pursuing LPR to be immediately available, H–1B slightly larger share of additional nonimmigrants and their dependent status. Retaining highly skilled persons workers compared with the rest of the who intend to become LPRs is family members may be eligible to apply United States. Based on weighted for adjustment of status to that of a important when considering the average proportions calculated from FY contributions of these individuals to the lawful permanent resident. Upon filing 2009–2013, and assuming the estimate an adjustment of status application, the U.S. economy, including advances in for first year impacts of 179,600 research and development and other H–4 dependent spouse is eligible to additional workers were distributed entrepreneurial endeavors. As request employment authorization. This following the same patterns, DHS previously discussed, much research rule will significantly accelerate the anticipates the following results: timeframe by which qualified H–4 California could receive approximately has been done to show the positive dependent spouses are eligible to enter 35,920 additional workers in the first impacts on economic growth and job the U.S. labor market. As a result of the year of implementation; New York creation from highly skilled immigrants. changes made in this rule, certain H–4 could receive approximately 25,144 In addition, these regulatory dependent spouses will be eligible to additional workers; Florida could amendments will bring U.S. request employment authorization well receive approximately 17,960 additional immigration policies more in line with before they are eligible to apply for workers; Texas could receive the policies of other countries that seek adjustment of status. Even with the approximately 16,164 additional to attract skilled foreign workers. For change in the maximum number of H– workers; and New Jersey could receive instance, in Canada spouses of 4 dependent spouses who may be approximately 8,980 additional workers. temporary workers may obtain an impacted as reported in the proposed To provide context, California had ‘‘open’’ work permit allowing them to rule and this final rule, DHS maintains 18,597,000 persons in the civilian labor accept employment if the temporary that the expected outcomes are the force in 2013.61 The additional 35,920 worker meets certain criteria.62 As same. DHS believes that this regulatory workers who could be added to the another example, in Australia, certain change will encourage families to stay Californian labor force as a result of this temporary work visas allow spousal committed to the immigrant visa rule in the first year would represent employment.63 process during the often lengthy wait for less than two-tenths of a percent of that employment-based visas whereas, state’s labor force (35,920/18,597,000 × This final rule will result in direct, otherwise, they may leave the United 100 = 0.1931 percent). As California is tangible benefits for the spouses who States and abandon immigrant visa the state estimated to receive the highest will be eligible to enter the labor market processing altogether. As such, DHS number of additional workers, the earlier than they would have otherwise presents the geographic labor impact of been able to do so due to the lack of this rule even though this rule does not division, and state, 2012–13 annual averages’’ (Feb. immigrant visas. While there will be result in ‘‘new’’ additions to the labor 28, 2014), available at http://www.bls.gov/ obvious financial benefits to the H–4 _ market; it simply accelerates the news.release/archives/srgune 02282014.pdf. dependent spouse and the H–1B 59 Note that even with the changed estimate from timeframe by which they can enter the the proposed rule, the finding remains consistent; nonimmigrant’s family, there is also labor market. As mentioned previously, the overall impact to the U.S. labor force is a evidence that participating in the U.S. DHS estimates this rule can add as fraction of one percent. workforce and improving socio- 60 many as 179,600 additional persons to DHS Office of Immigration Statistics, Annual economic attainment has a high the U.S. labor force in the first year of Flow Reports, ‘‘U.S. Legal Permanent Residents’’ for 2009–2012 and ‘‘U.S. Lawful Permanent Residents: correlation with smoothing an implementation, and then as many as 2013,’’ available at http://www.dhs.gov/ 55,000 additional persons annually in immigration-statistics-publications#0. Author 62 See Canadian Government, Citizenship and subsequent years. As of 2013, there were calculated percentage distributions by State weighted over FY 2009–2013 (rounded). Immigration Canada, Help Centre under Topic an estimated 155,389,000 people in the ‘‘Work Permit—Can my spouse or common-law 61 See News Release, U.S. Dep’t of Labor, Bureau 58 partner work in Canada?’’, available at http:// U.S. civilian labor force. of Labor Statistics, Local Area Unemployment Statistics, Regional and State Unemployment—2013 www.cic.gc.ca/english/helpcentre/index-featured- 58 See News Release, United States Dep’t of Labor, Annual Averages, Table 1, Employment status of can.asp#tab1 (last visited Jan. 13, 2015). Bureau of Labor Statistics, Local Area the civilian noninstitutional population 16 years of 63 See Australian Government, Dep’t of Unemployment Statistics, Regional and State age and over by region, division, and state, 2012– Immigration and Citizenship, Temporary Work Unemployment—2013 Annual Averages, Table 1 13 annual averages (Feb. 28, 2014), available at (Skilled) visa (subclass 457), available at http:// ‘‘Employment status of the civilian noninstitutional http://www.bls.gov/news.release/archives/srgune_ www.immi.gov.au/Visas/Pages/457.aspx (last population 16 years of age and over by region, 02282014.pdf. visited Jan. 13, 2015).

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immigrant’s integration into American approximately 18.3 percent of all U.S.C. 601(6). A small entity may be a society.64 extension of stay applications filed on small business (defined as any Prior to this rule being effective, H– behalf of H–1B nonimmigrants are independently owned and operated 4 dependent spouses were not able to approved pursuant to AC21. DHS business not dominant in its field that apply for employment authorization estimates that there could be as many as qualifies as a small business under the until they were eligible to submit their 27,643 65 H–1B nonimmigrants with Small Business Act, 15 U.S.C. 632), a applications for adjustment of status or extensions of stay requests that were small not-for-profit organization, or a otherwise acquire a nonimmigrant approved pursuant to AC21. Further, small governmental jurisdiction status authorizing employment. The DHS estimates that there could be as (locality with fewer than fifty thousand amendments to the regulations made by many as 20,400 66 married H–1B people). After considering the impact of this final rule accelerate the timeframe nonimmigrants who are granted an this rule on such small entities, DHS has by which H–4 dependent spouses of H– extension of stay pursuant to AC21. determined that this rule will not have 1B nonimmigrants who are on the path This alternative would also result in a significant economic impact on a to being LPRs are able to enter into the some fraction of the backlog population substantial number of small entities. U.S. labor market. being eligible for employment The individual H–4 dependent spouses 6. Alternatives Considered authorization in the first year after to whom this rule applies are not small implementation, but DHS is unsure of entities as that term is defined in 5 One alternative considered by DHS what portion of the backlog population U.S.C. 601(6). Accordingly, DHS was to permit employment has been granted an extension under certifies that this rule will not have a authorization for all H–4 dependent AC21. However, DHS believes that this significant economic impact on a spouses. As explained in both the alternative is too limiting and fails to substantial number of small entities. proposed rule and in response to public recognize that other H–1B comments, DHS declines to extend the nonimmigrants and their H–4 E. Executive Order 13132 changes made by this rule to H–4 dependent spouses also experience long This rule will not have substantial dependent spouses of all H–1B waiting periods while on the path to direct effects on the States, on the nonimmigrants at this time. Such an lawful permanent residence. One of the relationship between the National alternative would offer eligibility for primary goals of this rulemaking is to Government and the States, or on the employment authorization to those provide an incentive to H–1B distribution of power and spouses of nonimmigrant workers who nonimmigrant families to continue on responsibilities among the various have not taken steps to demonstrate a the path to obtaining LPR status in order levels of government. Therefore, in desire to continue to remain in and to minimize the potential for accordance with section 6 of Executive contribute to the U.S. economy by disruptions to U.S. businesses caused by Order 13132, it is determined that this seeking lawful permanent residence. In the departure from the United States of rule does not have sufficient federalism enacting AC21, Congress was especially these workers. The Department believes implications to warrant the preparation concerned with avoiding the disruption that also extending employment of a federalism summary impact to U.S. businesses caused by the authorization to the spouses of H–1B statement. required departure of H–1B nonimmigrants who are the F. Executive Order 12988 nonimmigrants (for whom the beneficiaries of approved Form I–140 businesses intended to file employment- petitions more effectively accomplishes This rule meets the applicable based immigrant visa petitions) upon the goals of this rulemaking, because standards set forth in sections 3(a) and the expiration of the workers’ maximum doing so incentivizes these workers, 3(b)(2) of Executive Order 12988. six-year period of authorized stay. See who have established certain eligibility G. Paperwork Reduction Act S. Rep. No. 106–260, at 22 (2000). This requirements and demonstrated intent Under the Paperwork Reduction Act rule further alleviates these concerns. to reside permanently in the United of 1995, Public Law 104–13, all Another alternative considered was to States and contribute to the U.S. Departments are required to submit to limit employment eligibility to just economy, to continue their pursuit of the Office of Management and Budget those H–4 dependent spouses of H–1B LPR status. Thus, extending (OMB), for review and approval, any nonimmigrants who extended their employment authorization to H–4 reporting requirements inherent in a status under the provisions of AC21. As dependent spouses of H–1B rule. See Public Law 104–13, 109 Stat. discussed in Section 3.b of this nonimmigrants with either approved 163 (May 22, 1995). This final rule Executive Order 12866/13563 Form I–140 petitions or who have been requires that eligible H–4 dependent assessment, DHS databases began granted H–1B status pursuant to spouses requesting employment tracking the number of extensions of H– sections 106(a) and (b) of AC21 authorization complete an Application 1B status that were approved pursuant encourages a greater number of for Employment Authorization (Form I– to AC21 on October 17, 2014. professionals with high-demand skills 765), covered under OMB Control Historically DHS did not capture this to remain in the United States. information. Based on approximately 90 number 1615–0040. As a result of this days of case history, DHS believes that D. Regulatory Flexibility Act final rule, this information collection USCIS examined the impact of this will be revised. DHS has received 64 See Jimene´z, Toma´s, Immigrants in the United rule on small entities under the approval of the revised information States: How Well Are They Integrating into Society? Regulatory Flexibility Act (RFA), 5 collection from OMB. (2011) Washington, DC: Migration Policy Institute, DHS submitted the proposed available at http://www.migrationpolicy.org/ research/immigrants-united-states-how-well-are- 65 Calculation: 151,053 (5-year average of I–129 revisions to Form I–765 to OMB for they-integrating-society; see also Terrazas, Aaron, extension of stay approvals) × 18.3 percent = 27,643 review. DHS has considered the public The Economic Integration of Immigrants in the extensions approved pursuant to AC21. comments received in response to the United States: Long- and Short-Term Perspectives 66 Calculation: 27,643 (extensions approved publication of the proposed rule. Over (2011) Washington, DC: Migration Policy Institute, pursuant to AC21) × 73.6 percent (average available at http://www.migrationpolicy.org/ percentage of H–1B nonimmigrants who adjust to 180 commenters raised issues related to research/economic-integration-immigrants-united- LPR status that report being married) = 20,345 or employment authorization requests, states. 20,400 (rounded up). including filing procedures, premium

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processing, validity periods, renewals, respondents has been updated. The authorization incident to status. An H– evidentiary documentation, concurrent current hour inventory approved for this 4 nonimmigrant spouse of an H–1B filings for extension of stay/change of form is 7,140,900 hours, and the nonimmigrant may be eligible for status, automatic extensions of requested new total hour burden is employment authorization only if the employment authorization, filing fees, 8,159,070 hours, which is an increase of H–1B nonimmigrant is the beneficiary and marriage fraud. One commenter 1,018,170 annual burden hours. of an approved Immigrant Petition for asked for clarification regarding whether Alien Worker, or successor form, or the H–4 dependent spouses under this rule V. Regulatory Amendments H–1B nonimmigrant’s period of stay in are required to demonstrate economic DHS adopted most of the proposed H–1B status is authorized in the United need for employment authorization regulatory amendments without change, States under sections 106(a) and (b) of using the Form I–765 Worksheet (I– except for conforming amendments to 8 the American Competitiveness in the 765WS). CFR 214.2(h)(9)(iv) and 8 CFR Twenty-first Century Act of 2000 DHS’s responses to these comments 274a.13(d) and minor punctuation and (AC21), Public Law 106–313, as appear under Part III.E. and F. USCIS wording changes in 8 CFR amended by the 21st Century has submitted the supporting statement 214.2(h)(9)(iv) to improve clarity and Department of Justice Appropriations to OMB as part of its request for readability. Authorization Act, Public Law 107–273 approval of this revised information (2002). To request employment List of Subjects collection instrument. authorization, an eligible H–4 DHS has revised the originally 8 CFR Part 214 nonimmigrant spouse must file an proposed Form I–765 and form Application for Employment Administrative practice and instructions to clarify the supporting Authorization, or a successor form, in procedure, Aliens, Employment, documentation that applicants accordance with 8 CFR 274a.13 and the Foreign officials, Health professions, requesting employment authorization form instructions. If such Application Reporting and recordkeeping pursuant to this rule must submit with for Employment Authorization is filed requirements, Students. the form to establish eligibility, and to concurrently with another related state that USCIS will accept Forms I– 8 CFR Part 274a benefit request(s), in accordance with 765 filed by such applicants and as permitted by form instructions, concurrently with Forms I–539. DHS Administrative practice and procedure, Aliens, Employment, the 90-day period described in 8 CFR has also revised the Form I–765 to 274.13(d) will commence on the latest include a check box for the applicant to Penalties, Reporting and recordkeeping requirements. date that a concurrently filed related identify him or herself as an H–4 benefit request is approved. An dependent spouse. The inclusion of this Accordingly, DHS amends chapter I of Application for Employment box will aid USCIS in its efforts to more title 8 of the Code of Federal Authorization must be accompanied by efficiently process the form for Regulations as follows: documentary evidence establishing adjudication by facilitating USCIS’s PART 214—NONIMMIGRANT CLASSES eligibility, including evidence of the ability to match the application with spousal relationship and that the related petitions integral to the ■ 1. The authority citation for part 214 principal H–1B is the beneficiary of an adjudication of Form I–765. DHS does continues to read as follows: approved Immigrant Petition for Alien not anticipate any of these changes will Worker or has been provided H–1B result in changes to the previously Authority: 8 U.S.C. 1101, 1102, 1103, 1182, status under sections 106(a) and (b) of reported time burden estimate. The 1184, 1186a, 1187, 1221, 1281, 1282, 1301– AC21, as amended by the 21st Century revised materials can be viewed at 1305 and 1372; sec. 643, Public Law 104– 208, 110 Stat. 3009–708; Public Law 106– Department of Justice Appropriations www.regulations.gov. 386, 114 Stat. 1477–1480; section 141 of the Authorization Act, the H–1B beneficiary Lastly, DHS has updated the Compacts of Free Association with the is currently in H–1B status, and the H– supporting statement to reflect a change Federated States of Micronesia and the 4 nonimmigrant spouse is currently in in the estimate for the number of Republic of the Marshall Islands, and with H–4 status. respondents that USCIS projected the Government of Palau, 48 U.S.C. 1901 note * * * * * would submit this type of request from and 1931 note, respectively; 48 U.S.C. 1806; 1,891,823 respondents to 1,981,516 8 CFR part 2. PART 274a—CONTROL OF respondents. This change of the initially ■ 2. Section 214.2 is amended by EMPLOYMENT OF ALIENS projected number of respondents is due revising paragraph (h)(9)(iv) to read as ■ to better estimates regarding the general follows: 3. The authority citation for part 274a population of I–765 filers, in addition to continues to read as follows: this final rule’s revised estimate on the § 214.2 Special requirements for Authority: 8 U.S.C. 1101, 1103, 1324a; new number of applicants that will admission, extension, and maintenance of Title VII of Public Law 110–229; 48 U.S.C. request EADs, which results in a change status. 1806; 8 CFR part 2. of the estimated population of aliens * * * * * ■ 4. Section 274a.12 is amended by that DHS expects could file Form I–765. (h) * * * adding a new paragraph (c)(26), to read Specifically, in the proposed rule USCIS (9) * * * as follows: estimated that approximately 58,000 (iv) H–4 dependents. The spouse and new respondents would file requests for children of an H nonimmigrant, if they § 274a.12 Classes of aliens authorized to EADs as a result of the changes are accompanying or following to join accept employment. prompted by this rule. USCIS has such H nonimmigrant in the United * * * * * revised that estimate and projects in this States, may be admitted, if otherwise (c) * * * final rule that approximately 117,300 admissible, as H–4 nonimmigrants for (26) An H–4 nonimmigrant spouse of new respondents will be able to file a the same period of admission or an H–1B nonimmigrant described as Form I–765. With this change on the extension as the principal spouse or eligible for employment authorization in number of Form I–765 application filers, parent. H–4 nonimmigrant status does 8 CFR 214.2(h)(9)(iv). the estimate for the total number of not confer eligibility for employment * * * * *

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■ 5. Section 274a.13 is amended by application within 90 days from the governed by 8 CFR 245.13(j) and revising the first sentence of paragraph date of receipt of the application, except 245.15(n). * * * (d), to read as follows: as described in 8 CFR 214.2(h)(9)(iv), * * * * * and except in the case of an initial § 274a.13 Application for employment application for employment Jeh Charles Johnson, authorization. authorization under 8 CFR Secretary. * * * * * 274a.12(c)(8), which is governed by [FR Doc. 2015–04042 Filed 2–24–15; 8:45 am] (d) Interim employment paragraph (a)(2) of this section, and 8 BILLING CODE 9111–97–P authorization. USCIS will adjudicate the CFR 274a.12(c)(9) in so far as it is

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Part V

The President

Proclamation 9233—Establishment of the Pullman National Monument Presidential Determination No. 2015–04 of February 20, 2015— Determination and Waiver Pursuant to Section 1209 of the Carl Levin and Howard P. ‘‘Buck’’ McKeon National Defense Authorization Act for Fiscal Year 2015 Regarding the Provision of Assistance to Appropriately Vetted Elements of the Syrian Opposition

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Federal Register Presidential Documents Vol. 80, No. 37

Wednesday, February 25, 2015

Title 3— Proclamation 9233 of February 19, 2015

The President Establishment of the Pullman National Monument

By the President of the United States of America

A Proclamation The Pullman National Historic Landmark District (Pullman Historic District) in Chicago, Illinois, typifies many of the economic, social, and design currents running through American life in the late 19th and early 20th century, yet it is unlike any other place in the country. Industrialist George Mortimer Pullman built the model town to house workers at his luxury rail car factories. Although his goal was to cure the social ills of the day, the tight control he exercised over his workers helped spark one of the Nation’s most widespread and consequential labor strikes. The remaining structures of the Pullman Palace Car Company (Pullman Company), workers’ housing, and community buildings that make up the Pullman Historic District are an evocative testament to the evolution of American industry, the rise of unions and the labor movement, the lasting strength of good urban design, and the remarkable journey of the Pullman porters toward the civil rights movement of the 20th century. The model factory town of Pullman was created in the 1880s by the Pullman Company to manufacture railroad passenger cars and house workers and their families. Company founder George Pullman saw the positive incentives of good housing, parks, and amenities as a way to foster a happy and reliable workforce. Pullman and his wealthy industrialist peers could not fail to see the poor living conditions in which many of their workers lived. The industrial revolution drew hundreds of thousands to urban areas, which led to a rise in slums and social ills. The widening gulf between management and workers contributed to labor unrest, which was acutely felt in Chicago. Pullman was convinced that capital and labor should cooperate for mutual benefit and sought to address the needs of his workers using his philosophy of capitalist efficiency. He attempted an uncommon solution to the common problems of the day by creating a model town. Pullman engaged young architect Solon Spencer Beman and landscape archi- tect Nathan F. Barrett to plan the town and design its buildings and public spaces to be both practical and aesthetically pleasing. Beman designed hous- ing in the simple yet elegant Queen Anne style and included Romanesque arches for buildings that housed shops and services. Though he strove to avoid monotony, Beman imbued the town with visual continuity. The scale, detailing, and architectural sophistication of the community were unprecedented. Barrett broke up the monotony of the grid of streets with his landscape design. Trees and street lights enlivened the streetscape. Uni- fied, orderly, and innovative in its design, the model town of Pullman, then an independent town south of Chicago’s city limits, became an inter- nationally famous experiment in planning and attracted visitors from far and wide. The model factory town of Pullman is considered the first planned industrial community in the United States, and served as both an influential model and a cautionary tale for subsequent industrial developments. The beauty, sanitation, and order George Pullman provided his workers and their families were not without cost. Pullman believed people did not value the things they did not pay for. The Pullman Company owned every building and

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charged rents that would ensure a return on the company’s investment in building the town. He also created a system of social control and hierarchy discernible in the standards of conduct for residents and in the architecture and layout of the community that can still be seen today in the well- preserved Pullman Historic District. For example, the larger, more ornate, and finely finished houses on Arcade Row were reserved for company officers, while junior workers resided in smaller, simpler row houses, and single and unskilled workers resided in tenement blocks with less ornamenta- tion located farther away from the town’s public face. In 1893, the worst economic depression in American history prior to the Great Depression hit the country in general and the railroad industry in particular. Orders at the Pullman Company declined. The Pullman Company lowered its workers’ wages but not the rents it charged those workers for company housing. These measures angered the workers and sparked the Pullman strike of 1894. The American Railway Union, led by Eugene V. Debs, had formed the year prior in Chicago, with membership open to all white railroad employees of any profession. In solidarity, American Rail- way Union members nationwide boycotted Pullman cars, disrupting rail traffic across much of the Nation. Thus, the strike that began as a local walkout on May 11, 1894, grew into one of American history’s largest labor actions, paralyzing most of the railroads west of Detroit and threatening the national economy. On June 27, 1894, as the Pullman strike was growing, the Congress passed legislation designating Labor Day a Federal holiday, and President Grover Cleveland signed it the next day. Thirty-one States had already adopted the holiday, but it was the Pullman strike of 1894 that spurred final Federal action in an attempt to placate workers across the Nation. At its peak, the Pullman strike affected some 250,000 workers in 27 States and disrupted Federal mail delivery. The United States secured a court injunction declaring the strike illegal under the Sherman Antitrust Act, and President Cleveland ultimately intervened with Federal troops. The strike ended violently by mid-July, a labor defeat with national reverberations. George Pullman did not loosen his tight control of the town of Pullman after the strike ended. Illinois sued the Pullman Company in August 1894, alleging that the company’s ownership and operation of the town violated its corporate charter. The Illinois Supreme Court agreed in an 1898 decision, and ordered the company to sell all non-industrial land holdings in the town. By that time, Robert Todd Lincoln, the oldest son of President Abraham Lincoln and general counsel of the Pullman Company during the 1894 strike, had succeeded George Pullman as president of the company. In 1907, the company finally sold most of its residential properties to comply with the Illinois Supreme Court’s order. The Pullman Company would again be the focus of a nationally important labor event when, in 1937, the Brotherhood of Sleeping Car Porters (BSCP), an influential African American union founded by A. Philip Randolph, won a labor contract for the Pullman porters from the company. The Pullman Company leased its cars to railroads and directly employed the attendants— porters, waiters, and maids. At its founding, the company hired recently freed former house slaves as porters. The porters remained a group of exclu- sively African American men throughout the company’s history, playing a significant role in the rise of the African American middle class. By 1937, the Pullman Company had been the Nation’s largest employer of for over 20 years and Pullman porters composed 44 percent of the Pullman Company workforce. The 1937 contract was the first major labor agreement between a union led by African Americans and a corporation and is considered one of the most important markers since Reconstruction toward African American independence from racist paternalism. The agreement served as a model for other African American workers and significantly contributed to the rise of the civil rights movement in the United States. The Pullman Historic District is an important site

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for understanding the iconic historic connection between the Pullman porters, the BSCP, and the Pullman Company. The architecture, urban planning, transportation, labor relations, and social history of the Pullman Historic District have national significance. The Pull- man Historic District tells rich, layered stories of American opportunity and discrimination, industrial engineering, corporate power and factory work- ers, new immigrants to this country and formerly enslaved people and their descendants, strikes and collective bargaining. The events and themes associated with the Pullman Company continue to resonate today as employ- ers and workers still seek opportunities for better lives. WHEREAS section 320301 of title 54, United States Code (known as the ‘‘Antiquities Act’’), authorizes the President, in his discretion, to declare by public proclamation historic landmarks, historic and prehistoric struc- tures, and other objects of historic or scientific interest that are situated upon the lands owned or controlled by the Federal Government to be national monuments, and to reserve as a part thereof parcels of land, the limits of which shall be confined to the smallest area compatible with the proper care and management of the objects to be protected; WHEREAS the Pullman Historic District was designated a National Historic Landmark on December 30, 1970, establishing its national significance based on its importance in social history, architecture, and urban planning; WHEREAS the Governor of Illinois, Members of Congress, the City of Chicago, other State, local, and private entities, including Pullman neighborhood organizations, and others have expressed support for the establishment of a national monument in the Pullman Historic District and its inclusion in the National Park System; WHEREAS the State of Illinois Historic Preservation Agency has donated to the United States certain lands and interests in lands within the Pullman Historic District, including fee title to the Administration Clock Tower Build- ing and an access easement thereto, for administration by the Secretary of the Interior (Secretary) through the National Park Service in accordance with the provisions of the Antiquities Act and other applicable laws; WHEREAS it is in the public interest to preserve and protect the historic objects in the Pullman Historic District, Chicago, Illinois; NOW, THEREFORE, I, BARACK OBAMA, President of the United States of America, by the authority vested in me by section 320301 of title 54, United States Code, hereby proclaim the objects identified above that are situated upon lands and interests in lands owned or controlled by the Federal Government to be the Pullman National Monument (monument) and, for the purpose of protecting those objects, reserve as a part thereof all lands and interests in lands owned or controlled by the Federal Govern- ment within the ‘‘National Monument Boundary’’ described on the accom- panying map, which is attached to and forms a part of this proclamation. These reserved Federal lands and interests in lands encompass approximately 0.2397 acres, together with appurtenant easements for all necessary purposes. All Federal lands and interests in lands within the ‘‘National Monument Boundary’’ described on the accompanying map are hereby appropriated and withdrawn from all forms of entry, location, selection, sale, leasing, or other disposition under the public land laws, from location, entry, and patent under the mining laws, and from disposition under all laws relating to mineral and geothermal leasing. The establishment of the monument is subject to valid existing rights. Lands and interests in lands not owned or controlled by the Federal Government within the ‘‘National Monument Boundary’’ described on the accompanying map shall be reserved as a part of the monument, and objects identified above that are situated upon those lands and interests in lands shall be part of the monument, upon acquisition of ownership or control by the Federal Government. The ‘‘National Monument Boundary’’ described on

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the accompanying map is confined to the smallest area compatible with the proper care and management of the objects to be protected within those boundaries. The Secretary shall manage the monument through the National Park Service, pursuant to applicable legal authorities, consistent with the purposes and provisions of this proclamation. The Secretary shall prepare a management plan for the monument within 3 years of the date of this proclamation. The management plan shall ensure that the monument fulfills the following purposes for the benefit of present and future generations: (1) to preserve the historic resources; (2) to interpret the industrial history and labor struggles and achievements associated with the Pullman Company, including the rise and role of the Brotherhood of Sleeping Car Porters; and (3) to interpret the history of urban planning and design of which the planned company town of Pullman is a nationally significant example. The management plan shall, among other provisions, set forth the desired relationship of the monument to other related resources, programs, and organizations within its boundaries, as well as at other places related to the Pullman Company and the stories associated with it. The management planning process shall provide for full public involvement, including coordi- nation with the State of Illinois and the City of Chicago and consultation with interested parties including museums and preservation and neighbor- hood organizations. The management plan shall identify steps to be taken to provide interpretive opportunities and coordinate visitor services for the entirety of the Pullman Historic District to the extent practicable and appro- priate for a broader understanding of the monument and the themes that contribute to its national significance. The National Park Service is directed to use applicable authorities to seek to enter into agreements with others to address common interests and pro- mote management efficiencies, including provision of visitor services, inter- pretation and education, establishment and care of museum collections, and preservation of historic objects. Nothing in this proclamation shall be deemed to revoke any existing with- drawal, reservation, or appropriation; however, the monument shall be the dominant reservation. Warning is hereby given to all unauthorized persons not to appropriate, injure, destroy, or remove any feature of this monument and not to locate or settle upon any of the lands thereof. IN WITNESS WHEREOF, I have hereunto set my hand this nineteenth day of February, in the year of our Lord two thousand fifteen, and of the Independence of the United States of America the two hundred and thirty- ninth.

Billing code 3295–F5–P

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r • , National Monument II.- • Boundary r.mmm Pullman National ...... Eili.ili:ill Historic Landmark District ...... • • Pullman State Historic Site * U.S.Fee • Historic Buildings or Landmarks ~ Residential

~Railroad

OFFICE: Lands Resources Program Center REGION: Midwest Region PARK: Punman National Monument ALPHA: PULL TOTAL ACREAGE: •1. 203.48 MAP NUMBER: 590/125,485 DATE: February 2015

600 0 600 111th St

[FR Doc. 2015–04090

Filed 2–24–15; 11:15 a.m.] Billing code 4310–10–C

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Presidential Determination No. 2015–04 of February 20, 2015

Determination and Waiver Pursuant to Section 1209 of the Carl Levin and Howard P. ‘‘Buck’’ McKeon National Defense Authorization Act for Fiscal Year 2015 Regarding the Provi- sion of Assistance to Appropriately Vetted Elements of the Syrian Opposition

Memorandum for the Secretary of Defense

Pursuant to the authority vested in me by the Constitution and the laws of the United States, including section 1209 of the Carl Levin and Howard P. ‘‘Buck’’ McKeon National Defense Authorization Act (NDAA) for Fiscal Year (FY) 2015 (Public Law 113–291), I hereby: — determine that sections 40 and 40A of the Arms Export Control Act; section 2249a of Title 10, U.S. Code; and Chapter 137 of Title 10, U.S. Code, would impede national security objectives of the United States by prohibiting, restricting, delaying, or otherwise limiting the provision of assist- ance, including training, equipment, supplies, stipends, construction of train- ing and associated facilities, and sustainment, to appropriately vetted ele- ments of the Syrian opposition and other appropriately vetted Syrian groups and individuals; and — waive said provisions of law, to the extent necessary to allow the Depart- ment of Defense, with the coordination of the Department of State, to carry out the purposes of section 1209 of the NDAA FY 2015. You are hereby authorized and directed to report this determination and the accompanying Memorandum of Justification to the Congress and publish the determination in the Federal Register.

THE WHITE HOUSE, Washington, February 20, 2015

[FR Doc. 2015–04091 Filed 2–24–15; 11:15 am] Billing code 5000–04

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12 CFR 15...... 10022 Proposed Rules: 36 CFR 4...... 6931 217...... 5666 17...... 10022 Proposed Rules: 19...... 10022 1024...... 8767 28 CFR 1192...... 7812 1026...... 8767 32...... 10022 37...... 10022 0...... 9987 37 CFR Proposed Rules: 38...... 10022 Ch. I ...... 7980 Proposed Rules: Proposed Rules: 140...... 10022 11...... 8580 Ch. II ...... 7980 150...... 10022 1...... 6475 217...... 5694 229...... 8486 29 CFR 38 CFR 225...... 5694 240...... 8486 238...... 5694 825...... 9989 3...... 10001 Ch. III ...... 7980 18 CFR 1952...... 6652 62...... 9604 1005...... 6468 40...... 9596 2520...... 5626 39 CFR 1026...... 6468, 7770 157...... 7302 4022...... 7967 Proposed Rules: 20...... 5683, 5688 13 CFR 19 CFR Subtitle A ...... 5715 111...... 5691 121...... 7533 7...... 7537 Ch. II ...... 5715 241...... 9190 Proposed Rules: 10...... 7303 Ch. IV...... 5715 Proposed Rules: 121...... 6618 24...... 7303 Ch. V...... 5715 111...... 6574 124...... 6618 162...... 7303 1614...... 6669 125...... 6618 163...... 7303, 7537 Ch. XVII ...... 5715 40 CFR 126...... 6618 178...... 7303, 7537 Ch. XXV...... 5715 9...... 5457 127...... 6618 Proposed Rules: 51...... 7336, 8787 134...... 6618 Ch. II ...... 6649 30 CFR 52 ...... 5471, 6455, 6907, 7336, 201...... 6649 700...... 6435 7341, 7345, 7347, 7803, 14 CFR 206...... 6649 875...... 6435 7805, 8547, 8550, 9194, 25...... 6435 208...... 6649 877...... 6435 9202, 9204, 9207 39 ...... 5452, 5454, 5670, 5900, 213...... 6649 879...... 6435 59...... 9078 5902, 5905, 5906, 5909, 20 CFR 884...... 6435 60 ...... 5475, 8799, 9613 5911, 5915, 6649, 6897, 885...... 6435 61 ...... 5475, 8799, 9613, 9622 Proposed Rules: 7285, 7288, 7290, 7298, Proposed Rules: 62...... 5483 Ch. IV...... 5715 7300, 8511, 8513, 8516, Ch. I ...... 5715 63 ...... 5475, 5938, 8799, 9613, Ch. V...... 5715 9380, 9382, 9591, 9594, 100...... 7393 9622 Ch. VI...... 5715 9985 80...... 6658, 9078 Ch. VII...... 5715 250...... 9916 71...... 8239, 8240 81 ...... 7347, 7540, 7970, 9207 Ch. IX...... 5715 254...... 9916 91...... 5918, 6899 550...... 9916 85...... 9078 93...... 8242 21 CFR 816...... 9256 86...... 9078 Proposed Rules: 312...... 7318 817...... 9256 174...... 9387 21...... 9544 870...... 5674 1202...... 7994 180 .....5941, 5946, 5952, 7541, 39 ...... 5489, 6017, 7986, 7989, 890...... 9600 1206...... 7994 7971, 9209, 9215, 9390, 7992, 8564, 8566, 8568, 10003 Proposed Rules: 8571, 8575, 8821, 9400, 31 CFR 300...... 5957, 6458 73...... 6468 9667 600...... 9078 310...... 10026, 10035 50...... 6656 43...... 9544 721...... 5457 314...... 6802, 8577 538...... 8531 45...... 9544 1037...... 9078 47...... 9544 320...... 6802 601...... 8577 32 CFR 1043...... 9078 61...... 9544 1051...... 9078 Proposed Rules: 91...... 9544 22 CFR 1054...... 9078 101...... 9544 251...... 9669 96...... 7321 1060...... 9078 107...... 9544 33 CFR 1065...... 9078 183...... 9544 23 CFR 1066...... 9078 100...... 7797 15 CFR Proposed Rules: Proposed Rules: 117 .....5457, 6657, 6658, 6906, 51...... 6481 490...... 8250 7801, 7802, 9604 30...... 6900 515...... 9231 52 ...... 5497, 6109, 6485, 6491, 730...... 8519 151...... 5922 6672, 7398, 7399, 7555, 740...... 8520 24 CFR 154...... 7539 7813, 8018, 8250, 8254, 155...... 5922 742...... 8520 203...... 8243 9258, 9259, 9423 156...... 5922 744...... 8519, 8524 982...... 8243 59...... 8826 157...... 5922 922...... 8778 Proposed Rules: 60 ...... 5498, 8023, 8442, 9678 Proposed Rules: 165 ...... 6448, 7968, 8536, 8787 61 ...... 5498, 8023, 9678 203...... 9253 334...... 9384, 9385 922...... 5699 207...... 9253 63 ...... 5498, 6035, 6676, 8023, Proposed Rules: 8392, 8442, 8838, 9678 16 CFR 220...... 9253 221...... 9253 100...... 7994, 8824 80...... 8826 Proposed Rules: 232...... 9253 140...... 6679 81 ...... 6019, 8254, 8274 Ch. I ...... 5713 235...... 9253 143...... 6679 85...... 8826 500...... 5491 236...... 9253 146...... 6679 86...... 8826 502...... 5491 241...... 9253 165 ...... 7394, 7553, 7994, 9673 98...... 6495 1120...... 5701 570...... 6469, 6470 203...... 8014 136...... 8956 180...... 7559 34 CFR 17 CFR 26 CFR 300...... 6036, 6496 200...... 6902 1...... 7323 Ch. II ...... 7224 600...... 8826 229...... 6652 Proposed Rules: 369...... 6452 721...... 9427 230...... 6652 1...... 8578 371...... 6452 1037...... 8826 232...... 6652 Proposed Rules: 1043...... 8826 Proposed Rules: 27 CFR 75...... 7397 1051...... 8826 1...... 10022 9...... 6902, 8529 Ch. VI...... 9414 1054...... 8826

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1060...... 8826 1305...... 7368 42...... 6908 Ch. 29 ...... 5715 1065...... 8826 1321...... 7704 46...... 6909 1066...... 8826 1327...... 7704 52...... 6908, 6909 49 CFR 1850...... 6934 1611...... 5485 601...... 6909 171...... 9217 603...... 6909 Proposed Rules: 172...... 9217 41 CFR 604...... 6909 1355...... 7132 173...... 9217 101-42...... 7352 1640...... 5716 605...... 6909 175...... 9217 101-45...... 7352 606...... 6909 102-40...... 7352 46 CFR 607...... 6909 Proposed Rules: Ch. III ...... 7814 Proposed Rules: Proposed Rules: 608...... 6909 101-25...... 9679 8...... 9152 609...... 6909 102-32...... 9679 10...... 8586 613...... 6909 50 CFR Ch. 50 ...... 5715 61...... 6679 615...... 6909 17...... 9126, 9218 Ch. 60 ...... 5715 62...... 6679 616...... 6909 92...... 9392 Ch. 61 ...... 5715 197...... 9152 617...... 6909 222...... 6925 619...... 6909 223...... 6925, 7977 42 CFR 47 CFR 622...... 6909 224...... 7380, 7977 401...... 8247 1...... 7547 623...... 6909 229...... 6925 405...... 8247 2...... 8248 624...... 6909 300...... 8807 406...... 7975 43...... 7547 625...... 6909 622 .....6464, 8559, 9230, 9665, 407...... 7975 54...... 5961 627...... 6909 10007 408...... 7975 63...... 7547 628...... 6909 635...... 5991, 7547 411...... 9629 73...... 7977, 9392 631...... 6909 648...... 7808 412...... 9629 Proposed Rules: 632...... 6909 660...... 6662, 7390 416...... 9629 1...... 7400 633...... 6909 665...... 6663 419...... 9629 20...... 6496 636...... 6909 679 .....5692, 5992, 6663, 7979, 422...... 9629 25...... 8031 637...... 6909 8249, 8816, 9398, 10250 423...... 9629 27...... 7400 642...... 6909 Proposed Rules: 424...... 9629 73 ...... 7400, 7562, 8031 644...... 6909 17...... 5719, 8053 417...... 7912 76...... 8031 645...... 6909 217...... 9510 422...... 7912 647...... 6909 219...... 8166 423...... 7912 48 CFR 649...... 6909 226 ...... 5499, 9314, 9682 600...... 9636 1...... 6908 652...... 6909 300...... 5719 Proposed Rules: 2...... 6908 Proposed Rules: 600...... 7562 11...... 8030 9...... 6908 511...... 6037 635...... 8838 12...... 6908 523...... 8278 660...... 8280 45 CFR 22...... 6908 536...... 6944 679...... 7816 800...... 9649 37...... 6909 552...... 6037, 8278 680...... 5499, 7817

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in today’s List of Public enacted public laws. To Laws. subscribe, go to http:// LIST OF PUBLIC LAWS Public Laws Electronic listserv.gsa.gov/archives/ Last List February 23, 2015 Notification Service publaws-l.html (PENS) Note: No public bills which Note: This service is strictly have become law were for E-mail notification of new received by the Office of the PENS is a free electronic mail laws. The text of laws is not Federal Register for inclusion notification service of newly available through this service. PENS cannot respond to specific inquiries sent to this address.

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