Vol. 82 Wednesday, No. 210 November 1, 2017
Pages 50491–50798
OFFICE OF THE FEDERAL REGISTER
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Contents Federal Register Vol. 82, No. 210
Wednesday, November 1, 2017
Agriculture Department Environmental Protection Agency See Forest Service RULES NOTICES Air Quality State Implementation Plans; Approvals and Agency Information Collection Activities; Proposals, Promulgations: Submissions, and Approvals, 50608–50609 Texas; Regional Haze and Interstate Visibility Transport Federal Implementation Plan, 50580 Centers for Medicare & Medicaid Services NOTICES RULES Meetings: Medicare Program: Federal Insecticide, Fungicide, and Rodenticide Act, End-Stage Renal Disease Prospective Payment System, Scientific Advisory Panel, 50649–50650 Payment for Renal Dialysis Services Furnished to Federal Accounting Standards Advisory Board Individuals with Acute Kidney Injury, and End-Stage NOTICES Renal Disease Quality Incentive Program, 50738– Federal Financial Accounting Standards: 50797 Budget and Accrual Reconciliation, 50650 Coast Guard Federal Aviation Administration RULES RULES Drawbridge Operations: Amendment of Class D and Class E Airspace: Atlantic Intracoastal Waterway, Alligator River, Fort Knox and Louisville, KY, 50506–50508 Columbia, NC, 50577 Amendment of Class E Airspace: Safety Zones: Bend, OR, 50509–50510 Illinois River, Beardstown, IL, 50578–50580 Lemoore NAS, CA, 50502–50503 Special Local Regulations: Oskaloosa, IA, 50510–50511 Atlantic Ocean, Ft. Lauderdale, FL, 50575–50577 Prineville, OR, 50505–50506 Scottsboro, AL, 50504–50505 Commerce Department Stevens Point, WI, 50503–50504 See Industry and Security Bureau Establishment of Class E Airspace: See International Trade Administration Deblois, ME, 50508–50509 See National Institute of Standards and Technology Special Conditions: Embraer, S.A., Model ERJ 190–300 Airplane; Dive-Speed See National Oceanic and Atmospheric Administration Definition with High-Speed-Protection System; Correction, 50502 Defense Department The Boeing Company Model 777–8 and 777–9 Airplanes; See Navy Department Design Roll Maneuver for Electronic Flight Controls, 50500–50502 Education Department The Boeing Company Model 777–8 and 777–9 Airplanes; NOTICES Interaction of Systems and Structures, 50496–50500 Agency Information Collection Activities; Proposals, PROPOSED RULES Submissions, and Approvals: Amendment of Class E Airspace: School Data Collection and Reporting; Correction, 50640 Berlin, NH, 50593–50594 Meetings: Greenville, NC, 50596–50597 National Assessment Governing Board Quarterly Board, Hanford, CA, 50594–50596 50638–50640 Normal and Transport Category Rotorcraft Certification, 50583–50593 Energy Department Special Conditions: See Energy Efficiency and Renewable Energy Office The Boeing Company Model 777–8 and 777–9 Airplanes; See Federal Energy Regulatory Commission Folding Wingtips, 50581–50583 RULES Federal Bureau of Investigation Final Report on Regulatory Review under Executive Order NOTICES 13783, 50491–50493 NOTICES Agency Information Collection Activities; Proposals, Meetings: Submissions, and Approvals, 50689 DOE/NSF High Energy Physics Advisory Panel, 50640– Federal Communications Commission 50641 PROPOSED RULES Assessment and Collection of Regulatory Fees for Fiscal Energy Efficiency and Renewable Energy Office Year 2017, 50598–50606 NOTICES Agency Information Collection Activities; Proposals, Federal Emergency Management Agency Submissions, and Approvals: NOTICES Energy Efficiency and Conservation Block Grant Emergency Declarations: Financing Programs, 50641 California; Amendment No. 1, 50661
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Major Disaster Declarations: General Services Administration Georgia; Amendment No. 6, 50661 NOTICES Major Disasters and Related Determinations: Environmental Impact Statements; Availability, etc.: California, 50662–50663 San Ysidro Land Port of Entry Modernization and Louisiana, 50662 Expansion Project, 50652 South Carolina, 50661–50662 Meetings: World War One Centennial Commission, 50651 Federal Energy Regulatory Commission Health and Human Services Department RULES See Centers for Medicare & Medicaid Services Review of Federal Energy Regulatory Commission Agency See Food and Drug Administration Actions Pursuant to Executive Order 13783, Promoting See National Institutes of Health Energy Independence and Economic Growth, 50517– See Substance Abuse and Mental Health Services 50523 Administration NOTICES NOTICES Agency Information Collection Activities; Proposals, Meetings: Submissions, and Approvals, 50645–50646 Advisory Committee on Minority Health, 50652–50653 Applications: RH energytrans, LLC, 50646–50647 Homeland Security Department Combined Filings, 50642–50645, 50647–50648 See Coast Guard Initial Market-Based Rate Filings Including Requests for See Federal Emergency Management Agency Blanket Section 204 Authorizations: See Transportation Security Administration DV Trading, LLC, 50641–50642 See U.S. Customs and Border Protection EnPowered, 50647 Lackawanna Energy Center, LLC, 50648–50649 Industry and Security Bureau Petitions for Declaratory Orders: RULES IGS ORIX Solar I, LLC, IGS Solar I, LLC, IGS ORIX Solar Export Administration Regulations for Use of License I, LLC, IGS Solar I, LLC, 50642–50643 Exceptions; Clarifications, 50511–50517 Refund Effective Dates: NOTICES Alabama Power Co., 50642 Meetings: Materials Technical Advisory Committee, 50612 Federal Highway Administration Interior Department NOTICES See Fish and Wildlife Service Agency Information Collection Activities; Proposals, See Land Management Bureau Submissions, and Approvals, 50730–50731 See National Park Service RULES Federal Maritime Commission Final Report: Review of Department of Interior Actions that Potentially NOTICES Agreements Filed, 50650–50651 Burden Domestic Energy, 50532–50575 Internal Revenue Service Fish and Wildlife Service NOTICES PROPOSED RULES Agency Information Collection Activities; Proposals, Endangered and Threatened Species: Submissions, and Approvals, 50731–50732 Removing Trichostema austromontanum ssp. compactum Agency Information Collection Activities; Proposals, (Hidden Lake Bluecurls) from Federal List of Submissions, and Approvals: Endangered and Threatened Plants, 50606–50607 Information Reporting by Applicable Large Employers on Health Insurance Coverage Offered under Employer- Sponsored Plans, 50732–50733 Food and Drug Administration RULES International Trade Administration Medical Devices: NOTICES Immunology and Microbiology Devices; Classification of Antidumping or Countervailing Duty Investigations, Orders, BCR–ABL Quantitation Test, 50530–50532 or Reviews: PROPOSED RULES Forged Steel Fittings from the People’s Republic of Food Additive Petitions: China, 50623–50626 DSM Nutritional Products, Inc.; Withdrawal, 50598 Opportunity to Request Administrative Review, 50620– 50622 Forest Service Determinations of Sales at Less Than Fair Value: RULES Citric Acid and Certain Citrate Salts from Belgium, Report Prepared Pursuant to Executive Order 13783— Colombia, and Thailand, 50622 Promoting Energy Independence and Economic Initiation of Five-Year Sunset Reviews, 50612–50613 Growth, 50580 Investigations of Sales at Less Than Fair Value: NOTICES Forged Steel Fittings from the People’s Republic of Meetings: China, Italy, and Taiwan, 50614–50619 Black Hills National Forest Advisory Board, 50611–50612 Meetings: Newspapers for Publication of Legal Notices in Eastern Environmental Technologies Trade Advisory Committee, Region, 50609–50611 50613–50614
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International Trade Commission National Park Service NOTICES NOTICES Complaints: Inventory Completions: Certain Batteries and Electrochemical Devices Containing Human Remains Repository, Department of Composite Separators, Components Thereof, and Anthropology, University of Wyoming, Laramie, WY, Products Containing Same, 50679–50680 50675–50677 Certain Road Construction Machines and Components Sam Noble Oklahoma Museum of Natural History, Thereof, 50680–50681 Norman, OK, 50667–50675 Investigations; Determinations, Modifications, and Rulings, etc.: National Science Foundation Certain Network Devices, Related Software and NOTICES Components Thereof (II), 50678 Agency Information Collection Activities; Proposals, Certain Stilbenic Optical Brightening Agents from China Submissions, and Approvals, 50692–50695 and Taiwan, 50678–50679 Crystalline Silicon Photovoltaic Cells and Modules from Navy Department China, 50681–50683 NOTICES Honey from China, 50683–50686 Meetings: Steel Wire Garment Hangers from Taiwan and Vietnam; U.S. Naval Academy Board of Visitors, 50638 Institution of Five-Year Reviews, 50686–50689 Occupational Safety and Health Administration Justice Department NOTICES See Federal Bureau of Investigation Agency Information Collection Activities; Proposals, Submissions, and Approvals: Standard on Control of Hazardous Energy (Lockout/ Labor Department Tagout), 50689–50691 See Occupational Safety and Health Administration Postal Regulatory Commission Land Management Bureau RULES NOTICES Supplemental Standards of Ethical Conduct, 50493–50496 Environmental Impact Statements; Availability, etc.: NOTICES Greater Sage-Grouse Conservation, 50666 New Postal Products, 50695–50697 Requests for Nominations: Resource Advisory Councils and other Land Management Securities and Exchange Commission Advisory Committees, 50666–50667 NOTICES Applications: Maritime Administration Relative Value Fund, et al., 50700–50703 NOTICES Self-Regulatory Organizations; Proposed Rule Changes: Agency Information Collection Activities; Proposals, Bats BYX Exchange, Inc., 50725–50727 Submissions, and Approvals: Bats BZX Exchange, Inc., 50711–50714 Cruise Vessel Security and Safety Training Provider Bats EDGA Exchange, Inc., 50716–50719 Certification, 50731 Bats EDGX Exchange, Inc., 50697–50700 Cboe BZX Exchange, Inc., 50705–50707 National Aeronautics and Space Administration NASDAQ BX, Inc., 50714–50716 NOTICES Options Clearing Corp., 50703–50705, 50707–50711, Agency Information Collection Activities; Proposals, 50719–50725 Submissions, and Approvals, 50691–50692 State Department National Institute of Standards and Technology NOTICES Designations as Foreign Terrorist Organizations: NOTICES Haqqani Network, 50727–50728 Meetings: Islamic Jihad Union, 50728 Localization and Tracking System Testing Consortium, Jaish-e-Mohammed, 50728 50626–50628 Performance Review Board Members, 50728
National Institutes of Health Substance Abuse and Mental Health Services NOTICES Administration Meetings: Center for Scientific Review, 50653–50654 NOTICES National Cancer Institute, 50654 List of Certified Laboratories and Instrumented Initial National Institute of Environmental Health Sciences, Testing Facilities that Meet Minimum Standards to 50653 Engage in Urine Drug Testing for Federal Agencies, 50654–50655 National Oceanic and Atmospheric Administration NOTICES Surface Transportation Board Takes of Marine Mammals Incidental to Specified NOTICES Activities: Abandonment and Discontinuance of Service Exemptions: US 101/Chehalis River Bridge-Scour Repair in Union Pacific Railroad Co., Cerro Gordo County, IA, Washington State, 50628–50638 50729
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Intra-Corporate Family Transaction Exemptions: NOTICES Ohio River Partners Shareholders, LLC and Ohio River COBRA Fees to be Adjusted for Inflation in Fiscal Year Partners, LLC, 50728–50729 2018, 50659–50660 National Customs Automation Program Tests: Transportation Department Post-Summary Corrections and Periodic Monthly See Federal Aviation Administration Statements; Modification and Clarification, 50656– See Federal Highway Administration 50659 See Maritime Administration Veterans Affairs Department Transportation Security Administration NOTICES NOTICES Meetings: Agency Information Collection Activities; Proposals, Advisory Committee on Homeless Veterans, 50735 Submissions, and Approvals: Military Severely Injured Joint Support Operations Center and Travel Protocol Office Programs, 50665 TSA Pre-Check Application Program, 50663–50665 Separate Parts In This Issue Treasury Department Part II See Internal Revenue Service RULES Health and Human Services Department, Centers for Procedures to Adjust Customs COBRA User Fees to Reflect Medicare & Medicaid Services, 50738–50797 Inflation, 50523–50530 NOTICES Agency Information Collection Activities; Proposals, Reader Aids Submissions, and Approvals, 50733–50735 Consult the Reader Aids section at the end of this issue for Member Appointments: phone numbers, online resources, finding aids, and notice Legal Division to Performance Review Board, 50733, of recently enacted public laws. 50735 To subscribe to the Federal Register Table of Contents U.S. Customs and Border Protection electronic mailing list, go to https://public.govdelivery.com/ RULES accounts/USGPOOFR/subscriber/new, enter your e-mail Procedures to Adjust Customs COBRA User Fees to Reflect address, then follow the instructions to join, leave, or Inflation, 50523–50530 manage your subscription.
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CFR PARTS AFFECTED IN THIS ISSUE
A cumulative list of the parts affected this month can be found in the Reader Aids section at the end of this issue.
2 CFR 50 CFR Ch. IX...... 50491 Ch. I ...... 50532 Ch. IV...... 50532 5 CFR Ch. XXIII ...... 50491 Proposed Rules: 5601...... 50493 17...... 50606 10 CFR Ch. II ...... 50491 Ch. III ...... 50491 Ch. X...... 50491 14 CFR 25 (3 documents) ...... 50496, 50500, 50502 71 (8 documents) ...... 50502, 50503, 50504, 50505, 50506, 50508, 50509, 50510 Proposed Rules: 25...... 50581 27...... 50583 29...... 50583 71 (3 documents) ...... 50593, 50594, 50596 15 CFR 740...... 50511 18 CFR Ch. I ...... 50517 19 CFR 24...... 50523 111...... 50523 21 CFR 866...... 50530 Proposed Rules: 573 (2 documents) ...... 50598 25 CFR Ch. I ...... 50532 Ch. II ...... 50532 Ch. III ...... 50532 Ch. V...... 50532 Ch. VI...... 50532 Ch. VII...... 50532 30 CFR Ch. II ...... 50532 Ch. IV...... 50532 Ch. V...... 50532 Ch. VII...... 50532 Ch. XII...... 50532 33 CFR 100...... 50575 117...... 50577 165...... 50578 36 CFR Ch. I ...... 50532 Ch. II ...... 50580 40 CFR 52...... 50580 97...... 50580 41 CFR Ch. 109 ...... 50491 42 CFR 413...... 50738 414...... 50738 43 CFR Subtitle A ...... 50532 Subtitle B ...... 50532 47 CFR Proposed Rules: 1...... 50598 48 CFR Ch. 9 ...... 50491
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Rules and Regulations Federal Register Vol. 82, No. 210
Wednesday, November 1, 2017
This section of the FEDERAL REGISTER ‘‘Promoting Energy Independence and DOE’s goal in publishing the RFI was to contains regulatory documents having general Economic Growth’’. The report provides ‘‘create a systematic method for identifying applicability and legal effect, most of which the recommendations of DOE’s those existing DOE rules that are obsolete, are keyed to and codified in the Code of unnecessary, unjustified, or simply no longer Regulatory Reform Task Force to reduce make sense.’’ DOE decided to solicit views Federal Regulations, which is published under regulatory burdens on domestic energy 50 titles pursuant to 44 U.S.C. 1510. on: (a) How DOE could best conduct its resources, and is published as an analysis of existing agency actions, and (b) The Code of Federal Regulations is sold by appendix to this document and insights on specific rules or Department- the Superintendent of Documents. available at https://www.energy.gov/ imposed obligations that should be altered or downloads/final-report-regulatory- eliminated. review-under-executive-order-13783. The comment period on the RFI closed on DEPARTMENT OF ENERGY July 14, 2017. DOE received 132 separate Issued in Washington, DC, on October 26, public comments from decision-makers, 2 CFR Chapter IX 2017. stakeholders, and the public on rules Shena A. Kennerly, promulgated by DOE and the burdens some 5 CFR Chapter XXIII Acting Director, Office of the Executive of those rules have imposed. The Task Force Secretariat, Department of Energy. has evaluated these comments to achieve meaningful regulatory reform in a manner 10 CFR Chapters II, III and X Appendix consistent with our commitment to public participation in the rulemaking process. Department of Energy 41 CFR Chapter 109 DOE sought views on the specific rules or Final Report on Regulatory Review Under Department-imposed obligations that should 48 CFR Chapter 9 Executive Order 13783 be altered or eliminated, because knowledge about the full effects of a rule is widely On March 28, 2017, the President signed Availability of Final Report on Executive Order (EO) 13783, entitled dispersed in society, and members of the Regulatory Review Under Executive ‘‘Promoting Energy Independence and public are likely to have useful information Order 13783 Economic Growth.’’ Among other things, EO and perspectives on the benefits and burdens 13783 requires the heads of agencies to of existing requirements and how regulatory AGENCY: Office of the Secretary, review all existing regulations, orders, obligations may be updated, streamlined, Department of Energy. guidance documents, policies, and any other revised, or repealed to better achieve similar agency actions (collectively, ‘‘agency regulatory objectives, while minimizing ACTION: Notification of final report on regulatory burdens, consistent with regulatory review. actions’’) that potentially burden 1 the development or use of domestically applicable law. Interested parties may also be well-positioned to identify those rules that SUMMARY: Through this document, the produced energy resources, with particular attention to oil, natural gas, coal, and nuclear are most in need of reform, and, thus, assist Department of Energy (DOE) announces the Department in prioritizing and properly the availability of its report issued energy resources. Such review does not include agency actions that are mandated by tailoring its review process. under Executive Order 13783, law, necessary for the public interest, and Beyond the RFI, the Task Force reviewed ‘‘Promoting Energy Independence and consistent with the policy set forth elsewhere DOE Directives, Orders, Manuals, and Economic Growth’’. in that order. Policies designed to ensure the effective DATES: The Secretary signed the final On May 18, 2017, I submitted to the management and operation of the National Laboratories, which contribute to American report on October 24, 2017. Director of the Office of Management and Budget (OMB) the Department of Energy’s economic growth and energy security. Also, ADDRESSES: Copies of the report are (DOE) plan to review its agency actions with the help of the Office of Management available for public inspection at the under EO 13783. The plan was also sent to and staff for the Under Secretary of Energy, U.S. Department of Energy, Forrestal the Vice President, the Assistant to the we reviewed DOE’s Directives, Orders, Building, 1000 Independence Avenue President for Economic Policy, the Assistant Manuals, and Policies specifically for SW., Washington, DC 20585. Public to the President for Domestic Policy, and the burdens on domestic energy production. inspection can be conducted between Chair of the Council on Environmental In addition to the work conducted to Quality (CEQ). In the plan, I stated that comply with EO 13783, DOE will continue to 9:00 a.m. and 4:00 p.m., Monday review all agency actions to assure that DOE through Friday, except Federal holidays. DOE’s Regulatory Reform Task Force (Task Force) would conduct the review of agency does not burden domestic energy production. This report is being published in its actions subject to review under EO 13783. For example, as discussed below, we will entirety and can also be accessed online On May 30, 2017, DOE published in the review agency actions concerning fossil fuel at https://www.energy.gov/downloads/ Federal Register a Request for Information consumption in Federal buildings, impact of final-report-regulatory-review-under- (RFI), seeking input and other assistance building codes, and nuclear export licensing. executive-order-13783. from entities significantly affected by DOE is committed to reducing regulatory burdens on the American people to unleash FOR FURTHER INFORMATION CONTACT: regulations of the DOE, including State, local, domestic energy production and promote job Daniel Cohen, U.S. Department of and tribal governments, small businesses, consumers, non-governmental organizations, creation and economic growth. Energy, Office of the General Counsel, and manufacturers and their trade Recommendations To Reduce Regulatory 1000 Independence Avenue SW., associations.2 Washington, DC 20585. Telephone: Burdens on Domestic Energy Resources Based on a review of the comments (202) 586–5000. Email: 1 Executive Order 13783 defined burden for received in response to the RFI, coupled with [email protected]. purposes of the review of existing regulations to the work of the Task Force to identify both SUPPLEMENTARY INFORMATION: The mean to unnecessarily obstruct, delay, curtail, or otherwise impose significant costs on the siting, internal and external agency actions that Department of Energy (DOE) announces permitting, production, utilization, transmission, or inhibit domestic energy development and the availability of its report issued delivery of energy resources. use, DOE’s Task Force offers the following under Executive Order 13783, 2 82 FR 24582 (May 30, 2017). recommendations:
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(1) Streamline Natural Gas Exports; document approval processes. The Task amending standards for a product, whether (2) Review National Laboratory Policies; Force is comprehensively reviewing NEPA costs were accurately estimated and expected (3) Review National Environmental Policy and offers several specific recommendations energy savings were realized. Act (NEPA) Regulations; and to reform DOE’s NEPA processes to optimize The current 6-year review process may not (4) Review the DOE Appliance Standards and ensure compliance with existing statutes, provide adequate time for such a Program. CEQ regulations (40 CFR 1500–1508), and retrospective analysis, which is critical to EO. determine whether energy conservation DOE Task Force Recommendations Specific NEPA recommendations include: standards are working as intended and the (1) Streamline Natural Gas Exports • Reform the NEPA process for permitting underlying assumptions are sound. and export applications, including LNG and Æ In lieu of statutory changes to the 6-year Several commenters encouraged DOE to infrastructure. review period, DOE should consider ‘‘no expedite exports of Liquefied Natural Gas • Review existing NEPA policies to assess amended standards’’ determinations when (LNG). whether DOE should grant more categorical supported by data and when small energy On September 1, 2017, DOE announced a savings require significant upfront cost to proposed rule to provide faster approval of exclusions. Further, enable DOE’s adoption achieve. small-scale natural gas exports, including of categorical exclusions already approved by Æ Consider voluntary, non-regulatory, and LNG. This measure will expedite the review other Federal agencies, and foster interagency market-based alternatives to standards- and approval of applications to export small collaboration, such as working with the setting. For example, when appropriate and amounts of natural gas in the emerging small- Bureau of Land Management to consider consistent with the law, consider using scale LNG export market. Under the Natural categorical exclusions for geothermal energy established industry test procedures as the Gas Act, DOE has jurisdiction over imports on Federal lands. • DOE test procedures. and exports of natural gas. For applications Remove language in DOE Regulations (10 Æ Consider establishing a baseline for to export natural gas to countries without a CFR 1021) that is not consistent with energy savings that qualify as not significant qualifying free trade agreement (non-free overarching CEQ regulations (40 CFR 1500– 1508). and thus not economically justified. trade agreement countries), DOE must Æ conduct a public interest review before Refrain from enacting standards through (4) Review DOE Appliance Standards a direct final rule because of the economic authorizing an export. This proposed rule Program provides that DOE, upon receipt of any burden it may impose on households and the complete application to export natural gas Pursuant to the Energy Policy and lack of consumer voice in the rulemaking Conservation Act of 1975 (EPCA), DOE process. (including LNG) to non-free trade agreement • countries, will grant the application if the implements minimum energy conservation Improve Cost-Benefit Analysis. EPCA application meets two criteria: The standards and separate test procedures for requires DOE to promulgate rules that are application proposes to export no more than more than 60 categories of appliances. DOE’s economically justified, but this definition is 0.14 billion cubic feet per day (bcf/d), and energy conservation standards apply to this subject to interpretation. Setting clear the proposed export qualifies for a categorical EO because they impact U.S. energy definitions that evaluate the comprehensive exclusion under DOE’s NEPA regulations. consumption, the vast majority of which range of costs and benefits is crucial to For applications meeting these criteria, the comes from oil, natural gas, coal, and nuclear ensure that DOE’s conservation standards exports are considered ‘‘small-scale natural resources. save energy while minimizing economic gas exports’’ and are deemed in the public Below is a summary of the various public burdens. Some topics for consideration interest under the Natural Gas Act. Exports comments and proposals that DOE has include: Æ of natural gas to free trade agreement received and is considering: Establish internal DOE standards for • countries are already deemed in the public Review the Process Rule. Many how to regulate when large portions of the interest under the Act. commenters have asked DOE to follow and public would bear net costs (costs exceed The Task Force will also consider whether review the 1996 Process Rule (10 CFR benefits). Adopting a standard for future rulemakings can allow for expedited Appendix A to Subpart C). The Process Rule determining a level at which the net cost is processing of larger-scale exports of natural describes the procedures, interpretations, and too large would preserve resources and gas as consistent with applicable law and policies that guide DOE in establishing new mitigate burdens on consumers. Æ DOE’s statutory authority. or revised energy-efficiency standards for Conduct a retrospective review of consumer products. Given our commitment previous standards to assess the validity of (2) Review National Laboratory Policies to transparency and regulatory certainty, DOE’s analysis before it is used in new rules. DOE manages several National Laboratories DOE will consider issuing a RFI to gather This would give DOE enough time to collect that support the Department’s energy, additional feedback from stakeholders on information on consumer preferences and science, and nuclear non-proliferation how to amend or improve the Process Rule. behavior, including surveys of consumers. missions. As part of our review, the Task • Reduce the Burden of Serial Rule- • Reconsider standards and test Force conducted a comprehensive review of making. Many stakeholders, including procedures for particular products. operations and procedures at the National manufacturers and small businesses, regard Commenters identified numerous standards Labs. The National Labs conduct research as overly burdensome and unnecessary the and test procedures for reconsideration, and development of innovative technologies statutory requirement to reconsider standards citing excessive regulatory burdens. DOE is that have the potential to enable future at least once every six years. evaluating these comments, examples of energy production. The Task Force identified Æ Commenters offered similar feedback in which include: several areas for reform that would permit response to the Department of Commerce’s Æ Review standards for natural gas the National Laboratories to operate more RFI pursuant to the Presidential products to consider whether the standards efficiently, focusing more time and resources Memorandum on Streamlining Permitting are inconsistent with the intent of EO 13783 on their mission-critical work: Conducting and Reducing Regulatory Burdens for to minimize regulatory burdens on domestic early-stage research and development of Domestic Manufacturing. energy resources. innovative energy technologies that advance Æ Commenters of both DOE’s and Æ Reconsider, or refrain from establishing, American economic growth and energy Commerce’s RFI suggest extending the time certain standards, including commercial security. period between consideration of standards to packaged boilers, commercial and industrial give regulated industries more time to fans and blowers, the refrigerated beverage (3) Review DOE’s National Environmental comply. This would require statutory vending machine standards rule published in Policy Act (NEPA) Regulations and changes, which are outside the scope of EO 2016; the commercial refrigeration Implementation 13783. equipment standards rule published in 2014; DOE received comments on the RFI However, DOE will consider other agency the residential furnace fan rule published in concerning streamlining and simplifying the actions to reduce regulatory burdens on 2014; and the residential water heaters agency’s external regulations (10 CFR 1021) American families and businesses. As stated standards published in 2010. Other and internal operations to improve below, such reforms would give DOE more commenters recommend maintaining many effectiveness and efficiency of NEPA time to determine, before considering of these standards.
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Æ Repeal or reconsider several test related to supplemental standards of executive branch standards of ethical procedures, including for compressors, ethical conduct for Postal Regulatory conduct.3 On August 7, 1992, OGE residential central air conditioners and heat Commission employees. The rules published a final rule titled Standards of pumps, and consumer and commercial water revise the existing rules in order to Ethical Conduct for Employees of the heaters. Other commenters recommend 4 maintaining current test procedures. better conform to Office of Government Executive Branch (OGE Standards). • Follow the requirements of EO 13783 Ethics standards and accurately reflect The OGE Standards, codified at 5 CFR when analyzing climate impacts. EO 13783 the Commission’s regulatory role under part 2635, became effective February 3, withdraws certain documents concerning the the Postal Accountability and 1993, and established uniform standards development of the Social Cost of Carbon Enhancement Act. of ethical conduct applicable to all (SCC) and requires agencies to follow the DATES: Effective December 1, 2017. executive branch personnel. On August requirements of OMB Circular A–4 in climate FOR FURTHER INFORMATION CONTACT: 12, 1993, the Postal Rate Commission analyses. DOE will follow these requirements collaborated with OGE to publish in our regulations. Also, some commenters David A. Trissell, General Counsel, at encouraged DOE not to use SCC to calculate 202–789–6820. existing 5 CFR part 5601 as an interim the climate impacts of regulations. SUPPLEMENTARY INFORMATION: rule. 58 FR 42839 (Aug. 12, 1993). In addition to the recommendations listed In 2006, the Postal Accountability and above, DOE is committed to enhancing Table of Contents Enhancement Act (PAEA), Public Law engagement with stakeholders in an open I. Introduction 109–435, 120 Stat. 3198 (2006) changed and transparent process. Building on the II. Background the agency’s name from the Postal Rate listening session held on October 2, 2017, III. Comments Commission to the Postal Regulatory DOE is preparing to send a letter to each of IV. Commission Analysis Commission and made several changes the Department’s Federal Advisory V. Ordering Paragraphs Committees requesting them to include to the Commission’s regulatory role. regulatory reform on the agenda for their next I. Introduction Order No. 3906 at 2–3. The meeting. DOE will also consider holding supplemental standards of ethical additional listening sessions on a semi- On May 24, 2017, the Postal conduct, existing 5 CFR part 5601, have regular basis to gather feedback and hold the Regulatory Commission (Commission) never been amended or finalized since Department accountable to the public. issued a notice of proposed rulemaking their 1993 adoption and remain Furthermore, DOE will continue to to revise its supplemental standards of attributed to the Postal Rate consider other areas where it may be possible ethical conduct, 5 CFR part 5601.1 On to relieve burdens on domestic energy Commission. The PAEA’s changes to the the same day, the Commission also Commission’s responsibilities drive the production. For example, DOE will consider, issued a notice of proposed rulemaking consistent with Federal law, possible need to modernize the Commission’s flexibility for regulations relating to fossil to revise the ethics rules applicable to supplemental standards of ethical fuel consumption in Federal buildings, Commission employees, 39 CFR subpart conduct. Moreover, experience has 2 buildings codes, nuclear export licensing, A of part 3000. informed the Commission’s view and DOE’s proposed nuclear damage Executive branch employees are regarding linguistic and organizational contingent cost allocation rule. In short, we subject to multiple federal ethics laws, revisions to clarify the supplemental will remain committed to reducing burdens regulations issued by the Office of standards of ethical conduct. on all kinds of domestic energy production. Government Ethics (OGE), and Section 2(d) of EO 13783 executive orders. The supplemental III. Comments These recommendations comprise DOE’s standards of ethical conduct at issue in The Commission received two sets of final report, which will be submitted to the this Order are additional restrictions comments pertaining to the proposed Vice President, the OMB Director, the applicable only to Commission revisions to the supplemental standards Assistant to the President for Economic employees. These supplemental of ethical conduct and the Policy, the Assistant to the President for standards of ethical conduct concern Commission’s ethics rules. Domestic Policy, and the Chair of the Council prohibited financial interests, Sum Comments. The Commission on Environmental Quality, as required by prohibited outside employment, received the following comment section 2(d) of EO 13783. disqualification when seeking non- If implemented, these recommendations through the www.federalregister.gov would alleviate or eliminate aspects of federal employment, and prior approval Web site: ‘‘Any deletion of ethical agency actions that burden domestic energy to engage in outside employment. For conduct would not be in the best development, production, and use. the reasons discussed below, the interest of the American people due to October 24, 2017 Commission adopts the proposed rules transparency.’’ 5 Rick Perry, without alteration. OGE concurs with PR Comments. The Public Secretary of Energy the Commission’s proposed revisions to Representative supports the proposed 6 [FR Doc. 2017–23713 Filed 10–31–17; 8:45 am] 5 CFR part 5601. revisions. He deems it ‘‘critical that the BILLING CODE 6450–01–P II. Background 3 See Executive Order No. 12674, 54 FR 15159 In 1991, Executive Order 12674, as (Apr. 12, 1989); Executive Order No. 12731, 55 FR amended by Executive Order 12731, 42547 (Oct. 17, 1990). POSTAL REGULATORY COMMISSION authorized OGE to establish a single, 4 See 57 FR 35006–35067, as corrected at 57 FR 48557 (Oct. 27, 1992), 57 FR 52583 (Nov. 4, 1992), comprehensive, and clear set of 5 CFR Part 5601 and 60 FR 66857–66858 (Dec. 27, 1995). 5 Comment Received from Beth Sum, June 19, [Docket No. RM2017–4; Order No. 4177] 1 82 FR 23758 (May 24, 2017). The Commission 2017 (Sum Comments). For transparency, this posted this document on its Web site on May 19, comment was posted to the Commission’s Web site Supplemental Standards of Ethical 2017. Notice of Proposed Rulemaking on and associated with this docket. Conduct Amendments to Supplemental Standards of Ethical 6 Public Representative Comments on Notices of Conduct for Employees of the Postal Regulatory Proposed Rulemaking on Amendments to Ethics AGENCY: Postal Regulatory Commission. Commission, May 19, 2017 (Order No. 3906). Rules and Amendments to Supplemental Standards 2 82 FR 23766 (May 24, 2017). The Commission of Ethical Conduct for Employees of the Postal ACTION: Final rule. posted this document on its Web site on May 19, Regulatory Commission, June 26, 2017 (PR 2017. Order No. 3907, Notice of Proposed Comments). The Public Representative also filed a SUMMARY: The Commission is issuing a Rulemaking on Amendments to Ethics Rules, May motion for late acceptance of his comments. Motion set of rules that amend existing rules 19, 2017. Continued
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Commission’s ethics rules accurately of ethical conduct in accordance with V. Ordering Paragraphs reflect its role as a regulator and are Executive Order 12731. The proposed It is ordered: reflective of the agency’s procedures.’’ revisions will not lead to any reduction 1. Part 5601 of title 5, Code of Federal PR Comments at 2. He concludes that in the ethical obligations of Commission Regulations, is amended as set forth the proposed revisions serve the public employees. Ultimately, the proposed below the signatures of this Order interest, reinforce public perception of revisions will enhance the effective 30 days after the date of the Commission’s integrity, and increase Commission’s adherence to ethical publication of this Order in the Federal accessibility and transparency. Id. He conduct by more accurately reflecting Register. states that the proposed revisions the Commission’s modern regulatory 2. The Secretary shall arrange for ‘‘ensure that financial holdings and role under the PAEA. publication of this Order in the Federal outside employment do not result in the The proposed rules clarify the bounds Register. appearance of or in actual conflicts of of ethical conduct in several ways, interest.’’ Id. at 3. He observes that the including linguistic and organizational List of Subjects in 5 CFR Part 5601 proposed deletions are primarily revisions to delete duplicative and Conflicts of interests. editorial revisions made to delete outdated language as well as to improve By the Commission. duplicative and outdated sections. Id. the specificity of the provisions. For Stacy L. Ruble, He notes that the proposed deletions instance, the definition of ‘‘affected Secretary. will not limit the ethical obligations of persons’’ used in existing § 5601.101(b) By the Office of Government Ethics. Commission employees. Id. is being incorporated into proposed David J. Apol, IV. Commission Analysis § 5601.102. Existing § 5601.101(b)’s non- exhaustive list of categories of Acting Director and General Counsel, Office Neither commenter suggested changes prohibited financial interest are being of Government Ethics. to the proposed rules. The Public restructured to form specific categories ■ For the reasons discussed in the Representative supports the proposed upon which the Commission will preamble, the Commission amends rules. Id. at 2–3. In response to the develop a prohibited securities list chapter XLVI of title 5 of the Code of concern expressed in the Sum (PSL) applicable to Commission staff Federal Regulations by revising part Comments, the Commission reiterates (and their spouses and dependent 5601 to read as follows: its commitment to upholding the children). Based on years of experience highest ethical standards. As executive with the existing rules, the Commission PART 5601—SUPPLEMENTAL branch employees, Commission believes that developing the PSL will STANDARDS OF ETHICAL CONDUCT employees remain subject to several assist employees to identify financial FOR EMPLOYEES OF THE POSTAL statutes governing conflicts of interests holdings that may pose (or appear to REGULATORY COMMISSION (see, e.g., 18 U.S.C. 201–219); the pose) a financial conflict of interest. standards of ethical conduct appearing Having the PSL available to employees Sec. in Executive Order 12674, as amended as a reference before purchasing 5601.101 General. by Executive Order 12731; and 5601.102 Prohibited financial interests. securities will improve transparency 5601.103 Notice of disqualification when regulations promulgated by OGE and adherence to ethical standards. The seeking employment. relating to several issues including six categories underlying the PSL 5601.104 Prohibited outside employment. financial disclosure, the standards of properly reflect the Commission’s 5601.105 Prior approval for outside ethical conduct, and post-employment modern regulatory role under the PAEA employment. conflicts of interest (see, e.g., 5 CFR and are consistent with the laws Authority: 5 U.S.C. 7301; 5 U.S.C. App. parts 2634, 2635, and 2641). prohibiting actual or apparent financial (Ethics in Government Act of 1978); 39 Commission employees are also subject conflicts of interests. See Order No. U.S.C. 503; E.O. 12674, 54 FR 15159, 3 CFR, to the Commission’s ethics rules, 39 3906 at 7–12. 1989 Comp., p. 215, as modified by E.O. CFR subpart A of part 3000, which are The proposed revisions also improve 12731, 55 FR 42547, 3 CFR, 1990 Comp., p. also being revised to reflect the the procedures related to the 306; 5 CFR 2635.105, 2635.403(a), 2635.802(a), 2635.803. Commission’s modern regulatory role supplemental standards of ethical under the PAEA and to remove conduct. Proposed §§ 5601.101 and § 5601.101 General. duplicative and outdated provisions.7 5601.102 define additional terms and (a) Purpose. In accordance with The regulations at issue in this Order, provide specific procedures related to § 2635.105 of this title, the regulations the supplemental standards of ethical exceptions, newly prohibited securities, in this part apply to employees, conduct applicable to Commission new employees, acquisition of including Commissioners, of the Postal employees only, concern restrictions prohibited securities without specific Regulatory Commission (Commission) imposed upon Commission employees intent, divestiture, and waiver. and supplement the Standards of in addition to these laws and standards. Proposed §§ 5601.103 and 5601.104 Ethical Conduct for Employees of the The proposed revisions remain improve the procedures concerning Executive Branch contained in part consistent with these laws and do not employees that are seeking employment 2635 of this title. In addition, the abrogate their application in any way. or prior approval for outside executive branch financial disclosure Streamlining the Commission’s employment to better ensure any regulations contained in part 2634 of supplemental standards of ethical disqualification is prompt and this title, additional regulations on conduct supports OGE’s mission to appropriate. Therefore, the proposed responsibilities and conduct at part 735 establish a single, comprehensive, and revisions improve transparency and the of this title, and Commission-specific clear set of executive branch standards ability of Commission employees to provisions contained in 39 CFR part adhere to the highest ethical standards. 3000 apply to Commission employees. of Public Representative for Late Acceptance of For these reasons and those reasons (b) Definitions. For the purposes of Comments, June 26, 2017 (Motion). The Motion is granted. detailed in Order No. 3906, the this part: 7 Order No. 4178, Order Amending Ethics Rules, Commission adopts the proposed rules (1) The term securities includes an October 25, 2017. without changes. interest in debt or equity instruments.
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The term includes, without limitation, of common equity securities required to material on behalf of itself or another secured and unsecured bonds, be registered under section 12 of the entity through the mails; and debentures, notes, securitized assets, Securities Exchange Act of 1934. (vi) The parent corporation of any and commercial paper, as well as all (8) The term dependent child means subsidiary described in paragraphs types of preferred and common stock. when used with respect to any reporting (b)(1)(i) through (v) of this section. The term encompasses both current and individual, any individual who is a son, (2) The list shall not include an entity contingent ownership interests, daughter, stepson, or stepdaughter and whose use of the mail is merely an including any beneficial or legal interest who: incidental or minor factor in the general derived from a trust. It extends to any (i) Is unmarried, under age 21, and conduct of its business. right to acquire or dispose of any long living in the household of the reporting (c) Exception. Nothing in this section or short position in such securities and individual; or prohibits an employee, or the spouse or includes, without limitation, interests (ii) Is a dependent of the reporting dependent child of an employee, from convertible into such securities, as well individual within the meaning of acquiring or holding an interest in a as options, rights, warrants, puts, calls, section 152 of the Internal Revenue publicly traded or publicly available and straddles with respect thereto. Code of 1986, 26 U.S.C. 152. mutual fund or other collective (2) The term parent means a company investment fund, or in a widely held that possesses, directly or indirectly, the § 5601.102 Prohibited financial interests. pension or mutual fund, provided that power to direct or cause the direction of (a) General prohibition. No employee, the fund’s prospectus or practice does the management and policies of an and no spouse or dependent child of an not indicate the stated objective of entity identified in § 5601.102 (b)(1)(i) employee, shall acquire or hold any concentrating its investments in entities through (v). securities issued by an entity on the identified in paragraphs (b)(1)(i) through (3) The term person means an prohibited securities list described in (vi) of this section. individual, corporation and subsidiaries paragraph (b) of this section. (d) Newly prohibited securities or new it controls, company, association, firm, (b) Prohibited securities list. At least employees. Within 30 days after the partnership, society, joint stock once a year, the Commission will Commission disseminates the company, or any other organization or publish and distribute to employees a prohibited securities list to an institution, including any officer, list of entities whose securities an employee, an employee who owns, or employee, or agent of such person or employee or the spouse or dependent whose spouse or dependent child owns, entity. For purposes of this part, a child of an employee may not own. prohibited securities shall report that corporation will be deemed to control a (1) The list shall include: ownership to the DAEO. The subsidiary if it owns 50 percent or more (i) An entity participating in a employee’s report must be in writing of the subsidiary’s voting securities. The proceeding before the Commission in and include the name of the prohibited term is all-inclusive and applies to the last 4 years, e.g., complainants, security and the date of acquisition. commercial ventures and nonprofit appellants, intervenors, and entities Except as provided in paragraph (g) of organizations as well as to foreign, State, filing comments on the record in this section, the employee, or the spouse and local governments, including the Commission proceedings; or dependent child of the employee, Government of the District of Columbia. (ii) A party to a proceeding to which shall divest prohibited securities within It does not include any agency or other the Commission is a party, e.g., 90 days after dissemination of the entity of the Federal Government or any appellate proceedings, administrative prohibited securities list. officer or employee thereof when acting proceedings, or civil actions; (e) Securities acquired without in his official capacity on behalf of that (iii) An entity primarily engaged in specific intent. Within 30 days after an agency or entity. the business of delivering packages, employee, or the spouse or dependent (4) The term entity means person. merchandise, or written child of an employee, acquires (5) The term DAEO means the communications, i.e., an entity whose securities of an entity on the prohibited Designated Agency Ethics Official, or primary business competes with the securities list as a result of marriage, his delegate under § 2638.601 of this Postal Service; inheritance, gift or otherwise without title. (iv) An entity providing services or specific intent to acquire the securities, (6) The term employment means any products to the Postal Service that can the employee shall report the form of non-Federal employment or be expected to produce annual revenue: acquisition to the DAEO. The business relationship involving the (A) to a publicly held corporation employee’s report must be in writing provision of personal services by the exceeding $1,000,000, and if the entity and include the name of the prohibited employee. It includes but is not limited reports its gross revenue publicly, security, the date of acquisition, and the to personal services as an officer, exceeding 10 percent of its annual gross method of acquisition. Except as director, employee, agent, attorney, revenue; or provided in paragraph (g) of this consultant, contractor, general partner (B) to any other entity exceeding section, an employee, or the spouse or or trustee. Employment does not $100,000, and if the entity reports its dependent child of an employee, shall include participation in the activities of gross revenue publicly, exceeding 5 divest prohibited securities within 90 a nonprofit charitable, religious, percent of the entity’s annual gross days after the date of acquisition. professional, social, fraternal, revenue; (f) Divestiture—(1) Procedure for educational, recreational, public service (v) Any other entities not listed above accomplishing divestiture. To alleviate or civic organization unless such for which a Commission employee an actual or apparent conflict of interest, activities involve the practice of a holding a security may raise an actual an employee divesting prohibited profession within the meaning of or apparent loss of impartiality affecting securities shall obtain written § 2636.305(b)(1) of this title, including the integrity of the Commission’s confirmation from the DAEO that the giving of professional advice, or are programs and operations, e.g., entities divesture has been accomplished. A for compensation, other than primarily engaged in the business of request for such confirmation shall be reimbursement of expenses. publishing or distributing publications submitted in writing with sufficient (7) The term publicly held corporation such as periodicals or sending proof to enable the DAEO to confirm means any corporation issuing any class advertising, promotional, or other that the employee has divested the
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prohibited security. The employee shall the matter is no longer required. A novel or unusual design features when continue to be recused until the date of withdrawal of disqualification shall be compared to the state of technology the DAEO’s written confirmation that in writing and shall be provided to the envisioned in the airworthiness divesture has been accomplished. DAEO. The DAEO shall inform the standards for transport-category (2) Extension of period to divest. employee’s supervisor that the airplanes. These design features include Upon a showing of undue hardship, the employee is no longer disqualified from systems that, directly or as a result of DAEO may extend the 90 day period for the matter. failure or malfunction, affect airplane divestiture specified in paragraphs (e) structural performance. The applicable through (f) of this section. § 5601.104 Prohibited outside airworthiness regulations do not contain employment. (3) Disqualification pending adequate or appropriate safety standards divestiture. Pending divestiture of An employee shall not engage in for these design features. These special prohibited securities, an employee must outside employment, either on a paid or conditions contain the additional safety disqualify himself or herself, in unpaid basis, with or for an entity on standards that the Administrator accordance with § 2635.402 of this title, the prohibited securities list described considers necessary to establish a level from participation in particular matters in § 5601.102(b)(1)(i) through (vi). of safety equivalent to that established which, as a result of continued § 5601.105 Prior approval for outside by the existing airworthiness standards. ownership of the prohibited securities, employment. DATES: This action is effective on Boeing would affect the financial interests of (a) Prior approval for outside on November 1, 2017. We must receive the employee, or those of the spouse or your comments by December 18, 2017. dependent child of the employee. employment. An employee who wishes (g) Waivers. The DAEO may grant a to engage in outside employment, either ADDRESSES: Send comments identified written waiver from this section based on a paid or unpaid basis, shall obtain by docket number FAA–2017–0717 the prior written approval of the DAEO. using any of the following methods: on a determination that the waiver is • not inconsistent with part 2635 of this A request for such approval shall be Federal eRegulations Portal: Go to title or otherwise prohibited by law and submitted in writing with sufficient http://www.regulations.gov/and follow that, under the particular circumstances, description of the employment to enable the online instructions for sending your application of the prohibition is not the DAEO to give approval based on an comments electronically. • Mail: Send comments to Docket necessary to avoid the appearance of an informed determination that the outside Operations, M–30, U.S. Department of employee’s misuse of position or loss of employment is not expected to involve Transportation (DOT), 1200 New Jersey impartiality, or to otherwise ensure conduct prohibited by statute or Federal Avenue SE., Room W12–140, West confidence in the impartiality and regulation, including paragraph (a) of Building Ground Floor, Washington, DC objectivity with which the this section and part 2635 of this title. 20590–0001. Commission’s programs are The DAEO shall provide a copy of any • Hand Delivery or Courier: Take administered, or in the case of a special written approvals for outside comments to Docket Operations in Government employee, divestiture employment to the employee’s Room W12–140 of the West Building would result in substantial financial supervisor. Ground Floor at 1200 New Jersey hardship. A waiver under this (b) Scope of approval. An employee Avenue SE., Washington, DC, between 9 paragraph must be in writing and may must submit a new request for approval a.m. and 5 p.m., Monday through impose conditions, such as requiring upon either a significant change in the nature or scope of the outside Friday, except Federal holidays. execution of a written disqualification. • employment or a change in the Fax: Fax comments to Docket § 5601.103 Notice of disqualification when employee’s Commission position or Operations at 202–493–2251. seeking employment. assigned responsibilities. Privacy: The FAA will post all comments it receives, without change, (a) An employee who has been [FR Doc. 2017–23764 Filed 10–31–17; 8:45 am] to http://www.regulations.gov/, assigned to or is supervising work on a BILLING CODE 7710–FW–P particular matter that affects the including any personal information the financial interests of a prospective commenter provides. Using the search function of the docket Web site, anyone employer and who is required, in DEPARTMENT OF TRANSPORTATION accordance with § 2635.604(a) of this can find and read the electronic form of title, to disqualify himself or herself Federal Aviation Administration all comments received into any FAA from participation in that matter shall docket, including the name of the provide written notice of 14 CFR Part 25 individual sending the comment (or disqualification to the DAEO within 3 signing the comment for an association, business days. The DAEO shall inform [Docket No. FAA–2017–0717; Special business, labor union, etc.). DOT’s the employee’s supervisor that the Conditions No. 25–704–SC] complete Privacy Act Statement can be employee is disqualified from the found in the Federal Register published Special Conditions: The Boeing on April 11, 2000 (65 FR 19477–19478). matter. Public filers must comply with Company Model 777–8 and 777–9 the notification requirement set forth in Docket: Background documents or Airplanes; Interaction of Systems and comments received may be read at § 2635.607 of this title even when not Structures required to disqualify from participation http://www.regulations.gov/ at any time. in a particular matter. Employees who AGENCY: Federal Aviation Follow the online instructions for file a notification statement in Administration (FAA), DOT. accessing the docket or go to Docket Operations in Room W12–140 of the compliance with § 2635.607 of this title ACTION: Final special conditions; request are not required to file a separate notice for comments. West Building Ground Floor at 1200 under this section. New Jersey Avenue SE., Washington, (b) An employee may withdraw SUMMARY: These special conditions are DC, between 9 a.m. and 5 p.m., Monday written notice under paragraph (a) of issued for The Boeing Company through Friday, except Federal holidays. this section upon determining that (Boeing) Model 777–8 and 777–9 FOR FURTHER INFORMATION CONTACT: disqualification from participation in airplanes. These airplanes will have Mark Freisthler, FAA, Airframe and
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Cabin Safety Branch, ANM–115, airplanes because of a novel or unusual advancements in flight-control Transport Airplane Directorate, Aircraft design feature, special conditions are technology, the current safety standards Certification Service, 1601 Lind Avenue prescribed under the provisions of contained in part 25 do not provide an SW., Renton, Washington 98057–3356; § 21.16. adequate basis to address an acceptable telephone 425–227–1119; facsimile Special conditions are initially level of safety for airplanes equipped 425–227–1320. applicable to the model for which they with these advanced systems. Instead, SUPPLEMENTARY INFORMATION: The are issued. Should the type certificate certification of these systems has been substance of these special conditions for that model be amended later to achieved by issuance of special has been subject to the public-comment include any other model that conditions under the provisions of process in several prior instances with incorporates the same novel or unusual § 21.16. no substantive comments received. The design features, or should any other For example, stability-augmentation FAA therefore finds it unnecessary to model already included on the same systems (SAS), and to a lesser extent delay the effective date and that good type certificate be modified to load-alleviation systems (LAS), have cause exists for making these special incorporate the same novel or unusual been used on transport-category conditions effective upon publication in design feature, these special conditions airplanes for many years. Past approvals the Federal Register. would also apply to the other model of these systems were based on both under § 21.101. special conditions and individual Comments Invited In addition to the applicable findings of equivalent level of safety We invite interested people to take airworthiness regulations and special with existing rules. part in this rulemaking by sending conditions, the Model 777–8 and 777– Although autopilots are also written comments, data, or views. The 9 airplanes must comply with the fuel- considered active control systems, most helpful comments reference a vent and exhaust-emission requirements typically their control authority has specific portion of the special of 14 CFR part 34, and the noise- been limited such that the consequences conditions, explain the reason for any certification requirements of 14 CFR of system failures could be readily recommended change, and include part 36. counteracted by the pilot. Now, supporting data. The FAA issues special conditions, as autopilot functions are integrated into We will consider all comments we defined in 14 CFR 11.19, in accordance the primary flight controls and are given receive by the closing date for with § 11.38, and they become part of sufficient control authority to maneuver comments. We may change these special the type certification basis under the airplane to its structural design conditions based on the comments we § 21.101. limits. This advanced technology, with receive. its expanded authority, requires a new Novel or Unusual Design Features approach to account for the interaction Background The Model 777–8 and 777–9 airplanes of control systems and structures. On April 19, 2017 (for the Model 777– will incorporate the following novel or The usual deterministic approach to 8 airplane), and May 12, 2015 (for the unusual design features: defining the loads envelope contained 777–9 airplane), Boeing applied for an These Boeing airplanes have full-time, in part 25 does not fully account for amendment to Type Certificate (TC) No. digital, electronic flight-control systems system effectiveness and system T00001SE to include the new Model (EFCS) affecting the pitch, yaw, and roll reliability. These automatic systems 777–8 and 777–9 airplanes. These axes of the airplanes. In addition, the may be inoperative or may operate in a airplanes are derivatives of the Model airplanes are equipped with on-ground degraded mode with less than full 777–300ER airplane currently approved load-alleviation systems to reduce system authority. Therefore, it is under TC No. T00001SE. The Model braking loads. The current regulations necessary to determine the structural 777–9 airplane is a stretched-fuselage, are inadequate for considering the factors of safety and operating margins large, twin-engine airplane with seating effects of these systems and their effects such that the joint probability of for 408 passengers and a maximum upon structural performance. These structural failures, due to application of takeoff weight of 775,000 pounds. special conditions define the criteria to loads during system malfunctions, is not The Model 777–8 airplane, a be used in the assessment of the effects greater than that found in airplanes shortened-body derivative of the Model of these systems on structures. equipped with earlier-technology 777–9 airplane, is a large, twin-engine The general approach of accounting control systems. To achieve this airplane with seating for 359 passengers for the effect of system failures on objective, it is necessary to define the and a maximum takeoff weight of structural performance would be failure conditions, with their associated 775,000 pounds. extended to include any partial or frequency of occurrence, to determine complete system failure, alone or in the structural factors of safety and Type Certification Basis combination with other partial or operating margins that will ensure an Under the provisions of title 14, Code complete system failures, as would acceptable level of safety. of Federal Regulations (14 CFR) 21.101, affect structural performance. Earlier automatic control systems Boeing must show that the Model 777– usually provided two states: Either fully 8 and 777–9 airplanes meet the Discussion functioning, or a total loss of function. applicable provisions of the regulations Active flight-control systems are Flightcrew readily detected these listed in TC No. T00001SE, or the capable of providing automatic conditions. The new, active, flight- applicable regulations in effect on the responses to external inputs from control systems have failure modes that date of application for the change, sources other than pilots. These systems allow the system to function in the except for earlier amendments as agreed have been expanded in function, degraded mode without full authority. upon by the FAA. effectiveness, and reliability such that This degraded mode is not readily If the Administrator finds that the fly-by-wire flight controls, without a detectable by the flightcrew. Therefore, applicable airworthiness regulations manual backup system in the event of monitoring systems are required on (i.e., 14 CFR part 25) do not contain system failures, are becoming standard these new systems to provide an adequate or appropriate safety standards equipment on larger transport-category annunciation of a condition of degraded for the Model 777–8 and 777–9 airplanes. As a result of these system capability.
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In these special conditions, and in the consequences of the system responses a system and its failure conditions on current standards and regulations, the and performance. They cannot be the airplane structure. term ‘‘any’’ requires the applicant to considered in isolation, but should be 2. System fully operative. With the address all items covered by the term, included in the overall safety evaluation system fully operative, the following rather than addressing only a portion of of the airplane. These criteria may, in apply: the items. some instances, duplicate standards a. Limit loads must be derived in all Applicability already established for this evaluation. These criteria are only applicable to normal operating configurations of the As discussed above, these special structure the failure of which could system from all the limit conditions conditions are applicable to Boeing prevent continued safe flight and specified in part 25, subpart C (or Model 777–8 and 777–9 airplanes. landing. Specific criteria that define defined by special conditions or Should Boeing apply at a later date for acceptable limits on handling findings of equivalent level of safety in a change to the type certificate to characteristics or stability requirements, lieu of those specified in subpart C), include another model incorporating the when operating in the system-degraded taking into account any special behavior same novel or unusual design feature, or inoperative mode, are not provided in of such a system or associated functions, these special conditions would apply to these special conditions. or any effect on the structural that model as well. 2. Depending upon the specific performance of the airplane that may Conclusion characteristics of the airplane, occur up to the limit loads. In additional studies that go beyond the particular, any significant nonlinearity This action affects only a certain criteria provided in these special (rate of displacement of control surface, novel or unusual design feature on one conditions may be required to thresholds, or any other system model of airplane. It is not a rule of demonstrate the airplane’s capability to nonlinearities) must be accounted for in general applicability. meet other realistic conditions, such as a realistic or conservative way when List of Subjects in 14 CFR Part 25 alternative gust or maneuver deriving limit loads from limit Aircraft, Aviation safety, Reporting descriptions for an airplane equipped conditions. and recordkeeping requirements. with a load-alleviation system. b. The airplane must meet the The authority citation for these 3. The following definitions are strength requirements of part 25 (static special conditions is as follows: applicable to these special conditions. strength, residual strength), using the a. Structural performance: Capability specified factors to derive ultimate loads Authority: 49 U.S.C. 106(g), 40113, 44701, of the airplane to meet the structural 44702, 44704. from the limit loads defined above. The requirements of part 25. effect of nonlinearities must be The Special Conditions b. Flight limitations: Limitations that investigated beyond limit conditions to Accordingly, pursuant to the can be applied to the airplane flight ensure that the behavior of the system authority delegated to me by the conditions following an in-flight presents no anomaly compared to the Administrator, the following special occurrence, and that are included in the behavior below limit conditions. conditions are issued as part of the type airplane flight manual (e.g., speed However, conditions beyond limit certification basis for Boeing Model limitations, avoidance of severe weather conditions need not be considered when 777–8 and 777–9 airplanes. conditions, etc.). it can be shown that the airplane has c. Operational limitations: design features that will not allow it to Interaction of Systems and Structures Limitations, including flight limitations, exceed those limit conditions. For airplanes equipped with systems that can be applied to the airplane that affect structural performance, either operating conditions before dispatch c. The airplane must meet the directly or as a result of a failure or (e.g., fuel, payload and master aeroelastic stability requirements of malfunction, the influence of these minimum-equipment list limitations). § 25.629. systems and their failure conditions d. Probabilistic terms: Terms such as 3. System in the failure condition. For must be taken into account when probable, improbable, and extremely any system-failure condition not shown showing compliance with the improbable, as used in these special to be extremely improbable, the requirements of part 25, subparts C and conditions, are the same as those used following apply: in § 25.1309. D. a. At the time of occurrence. Starting For airplanes equipped with flight- e. Failure condition: This term is the from 1g level flight conditions, a control systems, autopilots, stability- same as that used in § 25.1309. realistic scenario, including pilot augmentation systems, load-alleviation However, these special conditions apply corrective actions, must be established systems, fuel-management systems, and only to system-failure conditions that to determine the loads occurring at the other systems that either directly, or as affect the structural performance of the time of failure and immediately after the a result of failure or malfunction, affect airplane (e.g., system-failure conditions failure. structural performance, the following that induce loads, change the response criteria must be used for showing of the airplane to inputs such as gusts i. For static-strength substantiation, compliance. If these special conditions or pilot actions, or lower flutter these loads, multiplied by an are used for other systems, it may be margins). appropriate factor of safety that is necessary to adapt the criteria to the related to the probability of occurrence specific system. Effects of Systems on Structures of the failure, are ultimate loads to be 1. The criteria defined herein only 1. General. The following criteria will considered for design. The factor of address the direct structural be used in determining the influence of safety is defined in Figure 1, below.
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ii. For residual-strength loads that could result in detrimental 2. the limit gust and turbulence substantiation, the airplane must be able deformation of primary structure. conditions specified in §§ 25.341 and to withstand two thirds of the ultimate b. For the continuation of the flight. 25.345. loads defined in special condition 3.a.i. For the airplane in the system-failed 3. the limit rolling conditions For pressurized cabins, these loads must state, and considering any appropriate specified in § 25.349, and the limit unsymmetrical conditions specified in be combined with the normal operating reconfiguration and flight limitations, §§ 25.367, and 25.427(b) and (c). differential pressure. the following apply: 4. the limit yaw-maneuvering iii. Freedom from aeroelastic i. The loads derived from the conditions specified in § 25.351. instability must be shown up to the following conditions (or defined by 5. the limit ground-loading conditions speeds defined in § 25.629(b)(2). For special conditions or findings of specified in §§ 25.473, 25.491, failure conditions that result in speeds equivalent level of safety in lieu of the 25.493(d), and 25.503. beyond VC/MC, freedom from following conditions) at speeds up to ii. For static-strength substantiation, aeroelastic instability must be shown to V /M (or the speed limitation each part of the structure must be able increased speeds, so that the margins C C prescribed for the remainder of the to withstand the loads in special intended by § 25.629(b)(2) are flight) must be determined: condition 3.b.i., multiplied by a factor of maintained. 1. the limit symmetrical maneuvering safety depending on the probability of iv. Failures of the system that result being in this failure state. conditions specified in §§ 25.331 and in forced structural vibrations The factor of safety is defined in 25.345. (oscillatory failures) must not produce Figure 2, below.
Qj = (Tj)(Pj) iii. For residual-strength fatigue or damage tolerance, then their Where: substantiation, the airplane must be able effects must be taken into account. to withstand two-thirds of the ultimate v. Freedom from aeroelastic Tj = Average time spent in failure mode j (in hours) loads defined in paragraph 3.b.ii. of instability must be shown up to a speed Pj = Probability of occurrence of failure mode these special conditions. For determined from Figure 3, below. j (per hour) pressurized cabins, these loads must be Flutter clearance speeds V′ and V″ may ¥3 combined with the normal operating be based on the speed limitation Note: If Pj is greater than 10 per flight hour, then a 1.5 factor of safety must be differential pressure. specified for the remainder of the flight applied to all limit load conditions specified iv. If the loads induced by the failure using the margins defined by in part 25, subpart C. condition have a significant effect on § 25.629(b).
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V′ = Clearance speed as defined by where service history shows that Issued in Renton, Washington, on October § 25.629(b)(2). inspections will provide an adequate 23, 2017. V″ = Clearance speed as defined by level of safety. Victor Wicklund, § 25.629(b)(1). b. The existence of any failure Manager, Transport Standards Branch, Policy Qj = (Tj)(Pj) and Innovation Division, Aircraft condition, not extremely improbable, Certification Service. Where: during flight, that could significantly [FR Doc. 2017–23699 Filed 10–31–17; 8:45 am] Tj = Average time spent in failure mode j (in affect the structural capability of the BILLING CODE 4910–13–P hours) airplane, and for which the associated Pj = Probability of occurrence of failure mode reduction in airworthiness can be j (per hour) minimized by suitable flight limitations, ¥3 DEPARTMENT OF TRANSPORTATION Note: If Pj is greater than 10 per flight must be signaled to the flightcrew. For hour, then the flutter clearance speed must example, failure conditions that result Federal Aviation Administration not be less than V″. in a factor of safety between the airplane vi. Freedom from aeroelastic strength and the loads of part 25, 14 CFR Part 25 ′ instability must also be shown up to V subpart C below 1.25, or flutter margins in Figure 3, above, for any probable below V″, must be signaled to the crew [Docket No. FAA–2017–0718; Special system-failure condition, combined during flight. Conditions No. 25–705–SC] with any damage required or selected for investigation by § 25.571(b). 5. Dispatch with known failure Special Conditions: The Boeing c. Consideration of certain failure conditions. If the airplane is to be Company Model 777–8 and 777–9 conditions may be required by other dispatched in a known system-failure Airplanes; Design Roll Maneuver for sections of part 25 regardless of condition that affects structural Electronic Flight Controls calculated system reliability. Where performance, or that affects the analysis shows the probability of these reliability of the remaining system to AGENCY: Federal Aviation failure conditions to be less than 10¥9 maintain structural performance, then Administration (FAA), DOT. per flight hour, criteria other than those the provisions of these special ACTION: Final special conditions; request specified in this paragraph may be used conditions must be met, including the for comments. for structural substantiation to show provisions of special condition 2 for the continued safe flight and landing. dispatched condition, and special SUMMARY: These special conditions are 4. Failure indications. For system- condition 3 for subsequent failures. issued for The Boeing Company failure detection and indication, the (Boeing) Model 777–8 and 777–9 a. Expected operational limitations following apply: airplanes. These airplanes will have a may be taken into account in a. The system must be checked for novel or unusual design feature when failure conditions, not extremely establishing Pj as the probability of compared to the state of technology improbable, that degrade the structural failure occurrence for determining the envisioned in the airworthiness capability below the level required by safety margin in Figure 1. standards for transport-category part 25, or that significantly reduce the b. Flight limitations and expected airplanes. This design feature is an reliability of the remaining system. As operational limitations may be taken electronic flight-control system (EFCS) far as reasonably practicable, the into account in establishing Qj as the that provides control of the airplane flightcrew must be made aware of these combined probability of being in the through pilot inputs to the flight failures before flight. Certain elements dispatched failure condition, and the computer. The applicable airworthiness of the control system, such as subsequent failure condition, for the regulations do not contain adequate or appropriate safety standards for this mechanical and hydraulic components, safety margins in Figures 2 and 3. may use special periodic inspections, design feature. These special conditions c. These limitations must be such that and electronic components may use contain the additional safety standards daily checks, in lieu of detection and the probability of being in this that the Administrator considers indication systems, to achieve the combined failure state, and then necessary to establish a level of safety objective of this requirement. These subsequently encountering limit load equivalent to that established by the certification-maintenance requirements conditions, is extremely improbable. No existing airworthiness standards. must be limited to components that are reduction in these safety margins is DATES: This action is effective on Boeing not readily detectable by normal allowed if the subsequent system-failure on November 1, 2017. We must receive ¥ detection-and-indication systems, and rate is greater than 10 3 per flight hour. your comments by December 18, 2017.
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ADDRESSES: Send comments identified views that may not have been submitted would also apply to the other model by docket number FAA–2017–0718 in response to the prior opportunities under § 21.101. using any of the following methods: for comment described above. We invite In addition to the applicable • Federal eRegulations Portal: Go to interested people to take part in this airworthiness regulations and special http://www.regulations.gov/and follow rulemaking by sending written conditions, the Model 777–8 and 777– the online instructions for sending your comments, data, or views. The most 9 airplanes must comply with the fuel- comments electronically. helpful comments reference a specific vent and exhaust-emission requirements • Mail: Send comments to Docket portion of the special conditions, of 14 CFR part 34, and the noise- Operations, M–30, U.S. Department of explain the reason for any certification requirements of 14 CFR Transportation (DOT), 1200 New Jersey recommended change, and include part 36. Avenue SE., Room W12–140, West supporting data. The FAA issues special conditions, as Building Ground Floor, Washington, DC We will consider all comments we defined in 14 CFR 11.19, in accordance 20590–0001. with § 11.38, and they become part of • receive by the closing date for Hand Delivery or Courier: Take comments. We may change these special the type certification basis under comments to Docket Operations in conditions based on the comments we § 21.101. Room W12–140 of the West Building receive. Ground Floor at 1200 New Jersey Novel or Unusual Design Features Avenue SE., Washington, DC, between 9 Background The Model 777–8 and 777–9 airplanes a.m. and 5 p.m., Monday through On April 19, 2017 (for the Model 777– will incorporate the following novel or Friday, except Federal holidays. 8 airplane), and May 12, 2015 (for the unusual design feature: • Fax: Fax comments to Docket 777–9 airplane), Boeing applied for an An electronic flight-control system Operations at 202–493–2251. that provides control of the airplane Privacy: The FAA will post all amendment to Type Certificate (TC) No. T00001SE to include the new Model through pilot inputs to the flight comments it receives, without change, computer. Current part 25 airworthiness to http://www.regulations.gov/, 777–8 and 777–9 airplanes. These airplanes are derivatives of the Model regulations account for control laws including any personal information the where aileron deflection is proportional commenter provides. Using the search 777–300ER airplane currently approved under TC No. T00001SE. The Model to control-stick deflection. The function of the docket Web site, anyone regulations do not address can find and read the electronic form of 777–9 is a stretched-fuselage, large, twin-engine airplane with seating for nonlinearities, such as situations where all comments received into any FAA output does not change in the same docket, including the name of the 408 passengers and a maximum takeoff weight of 775,000 pounds. proportion as input, or other effects on individual sending the comment (or aileron actuation that may be caused by The Model 777–8, a shortened-body signing the comment for an association, electronic flight controls. business, labor union, etc.). DOT’s derivative of the 777–9, is a large, twin- complete Privacy Act Statement can be engine airplane with seating for 359 Discussion found in the Federal Register published passengers and a maximum takeoff These special conditions differ from on April 11, 2000 (65 FR 19477–19478). weight of 775,000 pounds. current regulatory requirements in that Docket: Background documents or Type Certification Basis they require that the roll maneuver comments received may be read at results from defined movements of the http://www.regulations.gov/ at any time. Under the provisions of title 14, Code cockpit roll control, as opposed to Follow the online instructions for of Federal Regulations (14 CFR) 21.101, defined aileron deflections. These accessing the docket or go to Docket Boeing must show that the Model 777– special conditions also require an Operations in Room W12–140 of the 8 and 777–9 airplanes meet the additional load condition at design West Building Ground Floor at 1200 applicable provisions of the regulations maneuvering speed (VA), in which the New Jersey Avenue SE., Washington, listed in TC No. T00001SE, or the cockpit roll control is returned to DC, between 9 a.m. and 5 p.m., Monday applicable regulations in effect on the neutral following the initial roll input. through Friday, except Federal holidays. date of application for the change, These special conditions differ from FOR FURTHER INFORMATION CONTACT: except for earlier amendments as agreed similar special conditions previously Mark Freisthler, FAA, Airframe and upon by the FAA. issued on this topic. These special Cabin Safety Branch, AIR–675, If the Administrator finds that the conditions are limited to the roll axis Transport Airplane Directorate, Aircraft applicable airworthiness regulations only, whereas other special conditions Certification Service, 1601 Lind Avenue (i.e., 14 CFR part 25) do not contain also included pitch and yaw axes. SW., Renton, Washington, 98057–3356; adequate or appropriate safety standards Special conditions are not required for telephone 425–227–1119; facsimile for the Model 777–8 and 777–9 the pitch or yaw axes, because § 25.331 425–227–1320. airplanes because of a novel or unusual at Amendment 25–141, and § 25.351 at SUPPLEMENTARY INFORMATION: The design feature, special conditions are Amendment 25–91, take into account substance of these special conditions prescribed under the provisions of the effects of an electronic flight-control has been subject to the public-comment § 21.16. system. process in several prior instances with Special conditions are initially These special conditions contain the no substantive comments received. The applicable to the model for which they additional safety standards that the FAA finds it is unnecessary to delay the are issued. Should the type certificate Administrator considers necessary to effective date and finds that good cause for that model be amended later to establish a level of safety equivalent to exists for adopting these special include any other model that that established by the existing conditions upon publication in the incorporates the same novel or unusual airworthiness standards. Federal Register. design features, or should any other model already included on the same Applicability Comments Invited type certificate be modified to As discussed above, these special The FAA is requesting comments to incorporate the same novel or unusual conditions are applicable to Boeing allow interested persons to submit design feature, these special conditions Model 777–8 and 777–9 airplanes.
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Should Boeing apply at a later date for as to achieve a roll rate not less than one On page 14119, second column, a change to the type certificate to third of that obtained in condition 2, correct the last sentence in special include another model incorporating the above. condition no. 2 to read: same novel or unusual design feature, Issued in Renton, Washington, on October The upset maneuvers described in these special conditions would apply to 25, 2017. Advisory Circular 25–7C, ‘‘Flight Test that model as well. Victor Wicklund, Guide for Certification of Transport Category Airplanes,’’ Chapter 2, section Conclusion Manager, Transport Standards Branch, Policy and Innovation Division, Aircraft 8, paragraph 32, sub-paragraphs c(3)(a) This action affects only certain novel Certification Service. and (c), may be used to comply with or unusual design features on one model [FR Doc. 2017–23701 Filed 10–31–17; 8:45 am] this requirement. series of airplane. It is not a rule of BILLING CODE 4910–13–P Issued in Renton, Washington, on October general applicability. 25, 2017. List of Subjects in 14 CFR Part 25 Victor Wicklund, DEPARTMENT OF TRANSPORTATION Aircraft, Aviation safety, Reporting Manager, Transport Standards Branch, Policy and recordkeeping requirements. and Innovation Division, Aircraft Federal Aviation Administration Certification Service. The authority citation for these [FR Doc. 2017–23697 Filed 10–31–17; 8:45 am] special conditions is as follows: 14 CFR Part 25 BILLING CODE 4910–13–P Authority: 49 U.S.C. 106(g), 40113, 44701, [Docket No. FAA–2016–9403; Special 44702, 44704. Conditions No. 25–643–SC] DEPARTMENT OF TRANSPORTATION The Special Conditions Special Conditions: Embraer, S.A., ■ Accordingly, pursuant to the authority Model ERJ 190–300 Airplane; Dive- Federal Aviation Administration delegated to me by the Administrator, Speed Definition With High-Speed- the following special conditions are Protection System 14 CFR Part 71 issued as part of the type certification AGENCY: Federal Aviation basis for Boeing Model 777–8 and 777– Administration (FAA), DOT. [Docket No. FAA–2017–0219; Airspace Docket No. 17–AWP–5] 9 airplanes. ACTION: Final special conditions; In lieu of compliance to 14 CFR correction. 25.349(a), the Model 777–8 and 777–9 Amendment of Class E Airspace; airplanes must comply with the SUMMARY: This document corrects an Lemoore NAS, CA following: error that appeared in Docket No. FAA– AGENCY: Federal Aviation The following conditions, speeds, and 2016–9403, Special Conditions No. 25– Administration (FAA), DOT. cockpit roll control motions (except as 643–SC, which was published in the ACTION: the motions may be limited by pilot Federal Register on March 17, 2017 (82 Final rule, technical effort) must be considered in FR 14117). The error is an incorrect amendment, correction. combination with an airplane load citation of a section in a cited advisory SUMMARY: This action corrects a final factor of zero, and of two-thirds of the circular. rule, technical amendment published in positive maneuvering factor used in DATES: The effective date of this Federal Register on September 21, 2017, design. In determining the resulting correction is November 1, 2017. that removes the Notice to Airmen control-surface deflections, the torsional FOR FURTHER INFORMATION CONTACT: Greg (NOTAM) part-time status information flexibility of the wing must be Schneider, FAA, Airframe and Cabin contained in the legal description of considered in accordance with Safety Section, AIR–675, Transport Class E airspace designated as an § 25.301(b). Standards Branch, Policy and extension at Lemoore NAS (Reeves 1. Conditions corresponding to steady Innovation Division, Aircraft Field), Lemoore, CA. The airspace rolling velocities must be investigated. Certification Service, 1601 Lind Avenue description contained the following In addition, conditions corresponding to SW., Renton, Washington, 98057–3356; wording in error: ‘‘. . . within a 5.2- maximum angular acceleration must be telephone 425–227–2116; facsimile mile radius of Lemoore NAS (Reeves investigated for airplanes with engines 425–227–1320. Field), and . . . .’’ This wording is or other weight concentrations outboard SUPPLEMENTARY INFORMATION: removed. This action does not affect the of the fuselage. For the angular charted boundaries or operating Background acceleration conditions, zero rolling requirements of the airspace. velocity may be assumed in the absence On March 17, 2017, the Federal DATES: of a rational time history investigation Effective 0901 UTC, November 1, Register published a document 2017. The Director of the Federal of the maneuver. designated as Docket No. FAA–2016– 2. At V , sudden movement of the Register approves this incorporation by A 9403, Final Special Conditions No. 25– reference action under title 1, Code of cockpit roll control up to the limit is 643–SC (82 FR 14117). The document assumed. The position of the cockpit Federal Regulations, part 51, subject to issued special conditions pertaining to the annual revision of FAA Order roll control must be maintained until a dive-speed definition with a high-speed- steady roll rate is achieved and then 7400.11 and publication of conforming protection system. As published, the amendments. must be returned suddenly to the document contained an error in a neutral position. citation to an advisory circular section. FOR FURTHER INFORMATION CONTACT: 3. At VC, the cockpit roll control must Robert LaPlante, Federal Aviation be moved suddenly and maintained so Correction Administration, Operations Support as to achieve a roll rate not less than In the final special conditions Group, Western Service Center, 1601 that obtained in condition 2, above. document (FR Doc. 2017–05329), Lind Avenue SW., Renton, WA 98057; 4. At VD, the cockpit roll control must published on March 17, 2017 (82 FR telephone (425) 203–4566. be moved suddenly and maintained so 14117), make the following correction. SUPPLEMENTARY INFORMATION:
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History navigation system (VORTAC) and History The FAA published a final rule, cancellation of the VOR approaches. The FAA published in the Federal technical amendment in the Federal This action enhances the safety and Register a notice of proposed Register (82 FR 44060, September 21, management of standard instrument rulemaking (82 FR 32151, July 12, 2017) 2017) Docket No. FAA–2017–0219, approach procedures for instrument Docket No. FAA–2017–0143 to modify amending Class E Airspace designated flight rules (IFR) operations at the Class E airspace extending upward from as an extension, and removing the airport. 700 feet above the surface at Stevens Notice to Airmen (NOTAM) part-time DATES: Effective 0901 UTC, February 1, Point Municipal Airport, Stevens Point, status at Lemoore NAS, Lemoore, CA. 2018. The Director of the Federal WI. The Stevens Point VORTAC has Subsequent to publication, the FAA Register approves this incorporation by been out of service since 2012 due to found the legal description was reference action under Title 1, Code of extreme fluctuations and out-of- incorrect and is now corrected to Federal Regulations, part 51, subject to tolerance structure. Interested parties eliminate ‘‘within a 5.2-mile radius of the annual revision of FAA Order were invited to participate in this Lemoore NAS (Reeves Field), and’’ from 7400.11 and publication of conforming rulemaking effort by submitting written the description. amendments. comments on the proposal to the FAA. No comments were received. Correction to Final Rule ADDRESSES: FAA Order 7400.11B, Class E airspace designations are Accordingly, pursuant to the Airspace Designations and Reporting published in paragraph 6005 of FAA authority delegated to me, in the Points, and subsequent amendments can Order 7400.11B, dated August 3, 2017, Federal Register of September 21, 2017 be viewed online at http://www.faa.gov/ and effective September 15, 2017, which (82 FR 44060) FR Doc. 2017–20043, air_traffic/publications/. For further is incorporated by reference in 14 CFR Amendment of Class E Airspace; information, you can contact the 71.1. The Class E airspace designations Lemoore NAS (Reeves Field), CA is Airspace Policy Group, Federal Aviation listed in this document will be corrected as follows: Administration, 800 Independence published subsequently in the Order. Avenue SW., Washington, DC, 20591; Availability and Summary of § 71.1 [Corrected] telephone: (202) 267–8783. The Order is Documents for Incorporation by Paragraph 6004 Class E Airspace Areas also available for inspection at the Reference Designated as an Extension to a Class D or National Archives and Records Class E Surface Area. Administration (NARA). For This document amends FAA Order information on the availability of FAA 7400.11B, Airspace Designations and ■ On page 44061, column 2, lines 26– Order 7400.11B at NARA, call (202) Reporting Points, dated August 3, 2017, 28, the words ‘‘That airspace extending 741–6030, or go to https:// and effective September 15, 2017. FAA upward from the surface within a 5.2- www.archives.gov/federal-register/cfr/ Order 7400.11B is publicly available as mile radius of Lemoore NAS (Reeves ibr-locations.html. listed in the ADDRESSES section of this Field), and’’ are corrected to read ‘‘That document. FAA Order 7400.11B lists FAA Order 7400.11, Airspace airspace extending upward from the Class A, B, C, D, and E airspace areas, Designations and Reporting Points, is surface within 1.8 miles each side’’. air traffic service routes, and reporting published yearly and effective on points. Issued in Seattle, Washington, on October September 15. 25, 2017. The Rule B.G. Chew, FOR FURTHER INFORMATION CONTACT: Walter Tweedy, Federal Aviation This amendment to Title 14 Code of Acting Group Manager, Operations Support Federal Regulations (14 CFR) part 71 Group, Western Service Center. Administration, Operations Support modifies Class E airspace extending [FR Doc. 2017–23675 Filed 10–31–17; 8:45 am] Group, Central Service Center, 10101 Hillwood Parkway, Fort Worth, TX upward from 700 feet above the surface BILLING CODE 4910–13–P 76177; telephone (817) 222–5900. within a 6.6-mile (from a 6.5-mile) radius of Stevens Point Municipal SUPPLEMENTARY INFORMATION: DEPARTMENT OF TRANSPORTATION Airport, Stevens Point, WI. The Authority for This Rulemaking segments that extended 1.8 miles each Federal Aviation Administration side of the Stevens Point VORTAC The FAA’s authority to issue rules extending from the 6.5-mile radius to 7 regarding aviation safety is found in 14 CFR Part 71 miles northeast, east, and southwest of Title 49 of the United States Code. the VORTAC, would be removed due to [Docket No. FAA–2017–0143; Airspace Subtitle I, Section 106 describes the the decommissioning of the VORTAC Docket No. 17–AGL–5] authority of the FAA Administrator. and cancellation of the VOR Subtitle VII, Aviation Programs, Amendment of Class E Airspace, for approaches. describes in more detail the scope of the This action enhances the safety and Stevens Point, WI agency’s authority. This rulemaking is management of the standard instrument AGENCY: Federal Aviation promulgated under the authority approach procedures for IFR operations Administration (FAA), DOT. described in Subtitle VII, Part A, at the airport. ACTION: Final rule. Subpart I, Section 40103. Under that section, the FAA is charged with Regulatory Notices and Analyses SUMMARY: This action modifies Class E prescribing regulations to assign the use The FAA has determined that this airspace extending upward from 700 of airspace necessary to ensure the regulation only involves an established feet above the surface at Stevens Point safety of aircraft and the efficient use of body of technical regulations for which Municipal Airport, Stevens Point, WI. airspace. This regulation is within the frequent and routine amendments are Airspace reconfiguration is necessary scope of that authority as it amends necessary to keep them operationally due to the decommissioning of the Class E to support standard instrument current, is non-controversial and Stevens Point co-located VHF approach procedures for IFR operations unlikely to result in adverse or negative omnidirectional range tactical air at the airport. comments. It, therefore: (1) Is not a
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‘‘significant regulatory action’’ under Issued in Fort Worth, Texas on October 20, SUPPLEMENTARY INFORMATION: Executive Order 12866; (2) is not a 2017. Authority for This Rulemaking ‘‘significant rule’’ under DOT Walter Tweedy, Regulatory Policies and Procedures (44 Acting Manager, Operations Support Group, The FAA’s authority to issue rules FR 11034; February 26, 1979); and (3) ATO Central Service Center. regarding aviation safety is found in does not warrant preparation of a [FR Doc. 2017–23434 Filed 10–31–17; 8:45 am] Title 49 of the United States Code. regulatory evaluation as the anticipated BILLING CODE 4910–13–P Subtitle I, Section 106 describes the impact is so minimal. Since this is a authority of the FAA Administrator. routine matter that will only affect air Subtitle VII, Aviation Programs, traffic procedures and air navigation, it DEPARTMENT OF TRANSPORTATION describes in more detail the scope of the is certified that this rule, when agency’s authority. This rulemaking is promulgated, would not have a Federal Aviation Administration promulgated under the authority significant economic impact on a described in Subtitle VII, Part A, 14 CFR Part 71 substantial number of small entities Subpart I, Section 40103. Under that under the criteria of the Regulatory [Docket No. FAA–2017–0557; Airspace section, the FAA is charged with Flexibility Act. Docket No. 17–ASO–15] prescribing regulations to assign the use of airspace necessary to ensure the Environmental Review Amendment of Class E Airspace; safety of aircraft and the efficient use of The FAA has determined that this Scottsboro, AL airspace. This regulation is within the action qualifies for categorical exclusion AGENCY: Federal Aviation scope of that authority as it amends under the National Environmental Administration (FAA), DOT. Class E airspace at Highland Medical Center Heliport, Scottsboro, AL, by Policy Act in accordance with FAA ACTION: Final rule. Order 1050.1F, ‘‘Environmental bringing the airport name and Impacts: Policies and Procedures,’’ SUMMARY: This action amends Class E coordinates in line with the FAA’s paragraph 5–6.5.a. This airspace action airspace at Scottsboro, AL, by updating aeronautical database. is not expected to cause any potentially the heliport name to Highland Medical History significant environmental impacts, and Center Heliport, (formerly Jackson no extraordinary circumstances exist County Hospital), and updating the On August 16, 2017, the FAA that warrant preparation of an geographic coordinates of the heliport to published in the Federal Register (82 environmental assessment. coincide with the FAA’s aeronautical FR 38856) Docket No. FAA–2017–0557, database. a notice of proposed rulemaking to List of Subjects in 14 CFR Part 71 amend Class E airspace extending DATES: Effective 0901 UTC, February 1, upward from 700 feet above the surface Airspace, Incorporation by reference, 2018. The Director of the Federal at Highland Medical Center Heliport, Navigation (air). Register approves this incorporation by Scottsboro, AL. Interested parties were reference action under title 1, Code of Adoption of the Amendment invited to participate in this rulemaking Federal Regulations, part 51, subject to effort by submitting written comments In consideration of the foregoing, the the annual revision of FAA Order on the proposal to the FAA. No Federal Aviation Administration 7400.11 and publication of conforming amends 14 CFR part 71 as follows: comments were received. amendments. Class E airspace designations are PART 71—DESIGNATION OF CLASS A, ADDRESSES: FAA Order 7400.11B, published in paragraph 6005 of FAA B, C, D, AND E AIRSPACE AREAS; AIR Airspace Designations and Reporting Order 7400.11B dated August 3, 2017, TRAFFIC SERVICE ROUTES; AND Points, and subsequent amendments can and effective September 15, 2017, which REPORTING POINTS be viewed on line at http:// _ is incorporated by reference in 14 CFR www.faa.gov/air traffic/publications/. part 71.1. The Class E airspace ■ 1. The authority citation for 14 CFR For further information, you can contact designations listed in this document part 71 continues to read as follows: the Airspace Policy Group, Federal will be published subsequently in the Aviation Administration, 800 Authority: 49 U.S.C. 106(f), 106(g); 40103, Order. 40113, 40120; E.O. 10854, 24 FR 9565, 3 CFR, Independence Avenue SW., 1959–1963 Comp., p. 389. Washington, DC, 20591; telephone: 1– Availability and Summary of 800–647–8927, or (202) 267–8783. The Documents for Incorporation by § 71.1 [Amended] Order is also available for inspection at Reference ■ 2. The incorporation by reference in the National Archives and Records This document amends FAA Order 14 CFR 71.1 of FAA Order 7400.11B, Administration (NARA). For 7400.11B, Airspace Designations and Airspace Designations and Reporting information on the availability of FAA Reporting Points, dated August 3, 2017, Points, dated August 3, 2017, and Order 7400.11B at NARA, call (202) and effective September 15, 2017. FAA effective September 15, 2017, is 741–6030, or go to https:// Order 7400.11B is publicly available as amended as follows: www.archives.gov/federal-register/cfr/ listed in the ADDRESSES section of this ibr-locations.html. Paragraph 6005 Class E Airspace Areas document. FAA Order 7400.11B lists FAA Order 7400.11, Airspace Class A, B, C, D, and E airspace areas, Extending Upward From 700 Feet or More Designations and Reporting Points, is Above the Surface of the Earth. air traffic service routes, and reporting published yearly and effective on points. * * * * * September 15. AGL WI E5 Stevens Point, WI [Amended] FOR FURTHER INFORMATION CONTACT: John The Rule Stevens Point Municipal Airport, WI Fornito, Operations Support Group, This amendment to Title 14, Code of (Lat. 44°32′43″ N., long. 89°31′49″ W.) Eastern Service Center, Federal Aviation Federal Regulations (14 CFR) part 71 That airspace extending upward from 700 Administration, P.O. Box 20636, amends Class E airspace extending feet above the surface within a 6.6-mile Atlanta, Georgia 30320; telephone (404) upward from 700 feet above the surface radius of Stevens Point Municipal Airport. 305–6364. within a 6-mile radius of Highland
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Medical Center Heliport, Scottsboro, September 15, 2017, is amended as ADDRESSES: FAA Order 7400.11B, AL, by recognizing the heliport’s name follows: Airspace Designations and Reporting change, (formerly Jackson County Paragraph 6005 Class E Airspace Areas Points, and subsequent amendments can Hospital), and adjusting the geographic be viewed online at http://www.faa.gov/ Extending Upward From 700 Feet or More _ coordinates of the heliport to coincide Above the Surface of the Earth. air traffic/publications/. For further with the FAA’s aeronautical database. * * * * * information, you can contact the Airspace Policy Group, Federal Aviation Regulatory Notices and Analyses ASO AL E5 Scottsboro, AL [Amended] Administration, 800 Independence The FAA has determined that this Scottsboro Municipal—Word Field Airport, Avenue SW., Washington, DC 20591; regulation only involves an established AL telephone: (202) 267–8783. The Order is body of technical regulations for which (Lat. 34°41′19″ N., long. 86°00′21″ W.) also available for inspection at the frequent and routine amendments are Highland Medical Center Heliport, Points in National Archives and Records necessary to keep them operationally Space Coordinates Administration (NARA). For (Lat. 34°39′45″ N., long. 86°02′48″ W.) current. It, therefore: (1) Is not a information on the availability of this That airspace extending upward from 700 ‘‘significant regulatory action’’ under feet above the surface within a 6.5-mile material at NARA, call (202) 741–6030, Executive Order 12866; (2) is not a radius of Scottsboro Municipal—Word Field or go to https://www.archives.gov/ ‘‘significant rule’’ under DOT Airport, and within 4 miles each side of the federal-register/cfr/ibr-locations.html. Regulatory Policies and Procedures (44 037° bearing from Scottsboro Municipal— FAA Order 7400.11, Airspace FR 11034; February 26, 1979); and (3) Word Field Airport extending from the 6.5- Designations and Reporting Points, is does not warrant preparation of a mile radius to 10.9 miles northeast of the published yearly and effective on regulatory evaluation as the anticipated airport, and within 4 miles each side of the September 15. 218° bearing from Scottsboro Municipal— impact is so minimal. Since this is a FOR FURTHER INFORMATION CONTACT: Tom Word Field Airport extending from the 6.5- routine matter that only affects air traffic mile radius to 11 miles southwest of the Clark, Federal Aviation Administration, procedures and air navigation, it is airport; and that airspace within a 6-mile Operations Support Group, Western certified that this rule, when radius of the points in space (lat. 34°39’45’’ Service Center, 1601 Lind Avenue SW., promulgated, does not have a significant N., long. 86°02’48’’ W.) serving Highland Renton, WA 98057; telephone (425) economic impact on a substantial Medical Center Heliport. 203–4511. number of small entities under the Issued in College Park, Georgia, on October SUPPLEMENTARY INFORMATION: criteria of the Regulatory Flexibility Act. 18, 2017. Authority for This Rulemaking Environmental Review Ryan W. Almasy, Manager, Operations Support Group, Eastern The FAA’s authority to issue rules The FAA has determined that this Service Center, Air Traffic Organization. regarding aviation safety is found in action qualifies for categorical exclusion [FR Doc. 2017–23248 Filed 10–31–17; 8:45 am] Title 49 of the United States Code. Subtitle I, Section 106 describes the under the National Environmental BILLING CODE 4910–13–P Policy Act in accordance with FAA authority of the FAA Administrator. Order 1050.1F, ‘‘Environmental Subtitle VII, Aviation Programs, Impacts: Policies and Procedures,’’ DEPARTMENT OF TRANSPORTATION describes in more detail the scope of the paragraph 5–6.5a. This airspace action agency’s authority. This rulemaking is is not expected to cause any potentially Federal Aviation Administration promulgated under the authority significant environmental impacts, and described in Subtitle VII, Part A, no extraordinary circumstances exist 14 CFR Part 71 Subpart I, Section 40103. Under that section, the FAA is charged with that warrant preparation of an [Docket No. FAA–2017–0616; Airspace environmental assessment. Docket No. 17–ANM–26] prescribing regulations to assign the use of airspace necessary to ensure the Lists of Subjects in 14 CFR Part 71 Amendment of Class E Airspace; safety of aircraft and the efficient use of Airspace, Incorporation by reference, Prineville, OR airspace. This regulation is within the Navigation (air). scope of that authority as it modifies AGENCY: Federal Aviation Class E airspace extending upward from Adoption of the Amendment Administration (FAA), DOT. 700 feet and removes Class E airspace In consideration of the foregoing, the ACTION: Final rule. upward from 1,200 feet above the Federal Aviation Administration surface at Prineville Airport, Prineville, SUMMARY: amends 14 CFR part 71 as follows: This action modifies Class E OR, to support IFR operations under airspace extending upward from 700 standard instrument approach PART 71—DESIGNATION OF CLASS A, feet above the surface, and removes procedures. B, C, D, AND E AIRSPACE AREAS; AIR Class E airspace extending upward from TRAFFIC SERVICE ROUTES; AND 1,200 feet above the surface, at History REPORTING POINTS Prineville Airport, Prineville, OR, to On July 5, 2017, the FAA published accommodate airspace redesign for the in the Federal Register (82 FR 31033) ■ 1. The authority citation for part 71 safety and management of instrument Docket FAA–2017–0616 a notice of continues to read as follows: flight rules (IFR) operations within the proposed rulemaking (NPRM) to modify Authority: 49 U.S.C. 106(f), 106(g); 40103, National Airspace System. Class E airspace extending upward from 40113, 40120, E.O. 10854, 24 FR 9565, 3 CFR, DATES: Effective 0901 UTC February 1, 700 feet above the surface and remove 1959–1963 Comp., p. 389. 2018. The Director of the Federal Class E airspace upward from 1,200 feet Register approves this incorporation by above the surface at Prineville Airport, § 71.1 [Amended] reference action under Title 1, Code of Prineville, OR. Interested parties were ■ 2. The incorporation by reference in Federal Regulations, part 51, subject to invited to participate in this rulemaking 14 CFR 71.1 of FAA Order 7400.11B, the annual revision of FAA Order effort by submitting written comments Airspace Designations and Reporting 7400.11 and publication of conforming on the proposal to the FAA. No Points, dated August 3, 2017, effective amendments. comments were received.
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Class E airspace designations are number of small entities under the DEPARTMENT OF TRANSPORTATION published in paragraph 6005 of FAA criteria of the Regulatory Flexibility Act. Order 7400.11B, dated August 3, 2017, Federal Aviation Administration and effective September 15, 2017, which Environmental Review 14 CFR Part 71 is incorporated by reference in 14 CFR The FAA has determined that this part 71.1. The Class E airspace action qualifies for categorical exclusion [Docket No. FAA–2016–9499; Airspace designation listed in this document will under the National Environmental Docket No. 16–ASO–19] be published subsequently in the Order. Policy Act in accordance with FAA Amendment of Class D and Class E Availability and Summary of Order 1050.1F, ‘‘Environmental Airspace; Fort Knox, KY, and Documents for Incorporation by Impacts: Policies and Procedures,’’ Louisville, KY Reference paragraph 5–6.5a. This airspace action is not expected to cause any potentially AGENCY: Federal Aviation This document amends FAA Order Administration (FAA), DOT. 7400.11B, Airspace Designations and significant environmental impacts, and ACTION: Final rule. Reporting Points, dated August 3, 2017, no extraordinary circumstances exist that warrant preparation of an and effective September 15, 2017. FAA SUMMARY: This action amends Class E Order 7400.11B is publicly available as environmental assessment. airspace designated as an extension to listed in the ADDRESSES section of this Lists of Subjects in 14 CFR Part 71 Class D airspace by removing the Notice document. FAA Order 7400.11B lists to Airmen (NOTAM) part-time status at Class A, B, C, D, and E airspace areas, Airspace, Incorporation by reference, Godman Army Airfield (AAF) Fort air traffic service routes, and reporting Navigation (air). Knox, KY; and Bowman Field Airport, points. Louisville, KY. This action also updates Adoption of the Amendment The Rule and corrects the geographic coordinates In consideration of the foregoing, the of these airports, and Louisville This amendment to Title 14, Code of Federal Aviation Administration International Airport-Standiford Field Federal Regulations (14 CFR) part 71 amends 14 CFR part 71 as follows: (formerly Louisville Standiford Field) in modifies Class E airspace extending the associated Class D and E airspace upward from 700 feet above the surface PART 71—DESIGNATION OF CLASS A, descriptions. This action enhances the at Prineville Airport, Prineville, OR. B, C, D, AND E AIRSPACE AREAS; AIR safety and management of instrument Class E airspace extending upward from TRAFFIC SERVICE ROUTES; AND flight rules (IFR) operations at the 700 feet above the surface is modified to REPORTING POINTS airport. within an 8-mile radius (from a 6.9-mile DATES: Effective 0901 UTC, February 1, radius) of Prineville airport, with a 4.2- ■ 1. The authority citation for part 71 2018. The Director of the Federal mile (from 10 miles) wide segment continues to read as follows: Register approves this incorporation by extending to 11.4 miles (from 12.3 reference action under title 1, Code of miles) west of the airport. Additionally, Authority: 49 U.S.C. 106(f), 106(g); 40103, Federal Regulations, part 51, subject to the Class E airspace extending upward 40113, 40120; E.O. 10854, 24 FR 9565, 3 CFR, the annual revision of FAA Order from 1,200 feet above the surface 1959–1963 Comp., p. 389. 7400.11 and publication of conforming designated to Prineville Airport would § 71.1 [Amended] amendments. be removed since this airspace area ADDRESSES: FAA Order 7400.11B, duplicates the larger Bend Class E en ■ 2. The incorporation by reference in Airspace Designations and Reporting route airspace area. This airspace 14 CFR 71.1 of FAA Order 7400.11B, Points, and subsequent amendments can redesign is necessary for the safety and Airspace Designations and Reporting be viewed on-line at http:// management of aircraft operations at the Points, dated August 3, 2017, and www.faa.gov/air_traffic/publications/. airport. effective September 15, 2017, is For further information, you can contact Regulatory Notices and Analyses amended as follows: the Airspace Policy Group, Federal Aviation Administration, 800 The FAA has determined that this Paragraph 6005 Class E Airspace Areas Independence Avenue SW., regulation only involves an established Extending Upward From 700 Feet or More Washington, DC 20591; telephone: (800) body of technical regulations for which Above the Surface of the Earth. 647–8927, or (202) 267–8783. The Order frequent and routine amendments are * * * * * is also available for inspection at the necessary to keep them operationally ANM OR E5 Prineville, OR [Amended] National Archives and Records current, is non-controversial and Administration (NARA). For unlikely to result in adverse or negative Prineville Airport, OR information on the availability of FAA ° ′ ″ ° ′ ″ comments. It, therefore: (1) Is not a (Lat. 44 17 16 N., long. 120 54 19 W.) Order 7400.11B at NARA, call (202) ‘‘significant regulatory action’’ under That airspace extending upward from 700 741–6030, or go to https:// Executive Order 12866; (2) is not a feet above the surface within an 8-mile radius www.archives.gov/federal-register/cfr/ ‘‘significant rule’’ under DOT of Prineville Airport, and within 2.1 miles ibr-locations.html. Regulatory Policies and Procedures (44 each side of a 288° bearing extending from FAA Order 7400.11, Airspace FR 11034; February 26, 1979); and (3) the airport to 11.4 miles west of the airport. Designations and Reporting Points, is does not warrant preparation of a Issued in Seattle, Washington, on October published yearly and effective on Regulatory Evaluation as the anticipated 25, 2017. September 15. impact is so minimal. Since this is a B.G. Chew, FOR FURTHER INFORMATION CONTACT: John routine matter that only affects air traffic Fornito, Operations Support Group, procedures and air navigation, it is Acting Group Manager, Operations Support Eastern Service Center, Federal Aviation Group, Western Service Center. certified that this rule, when Administration, P.O. Box 20636, promulgated, will not have a significant [FR Doc. 2017–23674 Filed 10–31–17; 8:45 am] Atlanta, GA 30320; telephone (404) economic impact on a substantial BILLING CODE 4910–13–P 305–6364.
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SUPPLEMENTARY INFORMATION: Order 7400.11B is publicly available as that warrant preparation of an listed in the ADDRESSES section of this environmental assessment. Authority for This Rulemaking document. FAA Order 7400.11B lists Lists of Subjects in 14 CFR Part 71 The FAA’s authority to issue rules Class A, B, C, D, and E airspace areas, regarding aviation safety is found in air traffic service routes, and reporting Airspace, Incorporation by reference, Title 49 of the United States Code. points. Navigation (air). Subtitle I, Section 106 describes the authority of the FAA Administrator. The Rule Adoption of the Amendment Subtitle VII, Aviation Programs, This amendment to Title 14, Code of In consideration of the foregoing, the describes in more detail the scope of the Federal Regulations (14 CFR) part 71 Federal Aviation Administration agency’s authority. This rulemaking is removes the NOTAM part-time status of amends 14 CFR part 71 as follows: promulgated under the authority the Class E airspace designated as an PART 71—DESIGNATION OF CLASS A, described in Subtitle VII, Part A, extension to a Class D surface area at B, C, D, AND E AIRSPACE AREAS; AIR Subpart I, Section 40103. Under that Godman Army Airfield (AAF) Fort TRAFFIC SERVICE ROUTES; AND section, the FAA is charged with Knox, KY; and Bowman Field Airport, REPORTING POINTS prescribing regulations to assign the use Louisville, KY. of airspace necessary to ensure the Also, the geographic coordinates are ■ safety of aircraft and the efficient use of 1. The authority citation for part 71 amended and corrected at these airports continues to read as follows: airspace. This regulation is within the and Louisville International-Standiford Authority: 49 U.S.C. 106(f), 106(g); 40103, scope of that authority as it amends Field Airport, KY, in Class D airspace, Class D and E airspace in the Fort Knox, 40113, 40120, E.O. 10854, 24 FR 9565, 3 CFR, Class E surface airspace, Class E 1959–1963 Comp., p. 389. KY, and Louisville, KY areas, to support airspace designated as an extension to a IFR operations at these airports. Class D surface area, and Class E § 71.1 [Amended] History airspace areas extending upward from ■ 2. The incorporation by reference in 700 feet or more above the surface to be The FAA published a notice of 14 CFR 71.1 of FAA Order 7400.11B, in concert with the FAA’s aeronautical proposed rulemaking in the Federal Airspace Designations and Reporting database. Also, the name change of Register (82 FR 24269, May 26, 2017) Points, dated August 3, 2017, effective Louisville International Airport- Docket No. FAA–2016–9499 proposing September 15, 2017, is amended as Standiford Field, (formerly Louisville to remove NOTAM part-time follows: Standiford Field) is recognized. information from Class E airspace These changes are necessary for Paragraph 5000 Class D Airspace. designated as an extension to Class D * * * * * airspace at Godman Army Airfield, Fort continued safety and management of Knox, KY, and Bowman Field Airport, IFR operations at these airports. ASO KY D Fort Knox, KY [Amended] Louisville, KY. Also, the NPRM Regulatory Notices and Analyses Godman AAF, KY proposed to update the geographic (Lat. 37°54′26″ N., long. 85°58′18″ W.) coordinates of these airports, and The FAA has determined that this That airspace extending upward from the Louisville International Airport- regulation only involves an established surface to and including 3,300 feet MSL Standiford Field. Subsequent to body of technical regulations for which within a 3.9-mile radius of Godman AAF. publication, the FAA found that some of frequent and routine amendments are This Class D airspace area is effective during the geographic coordinates were necessary to keep them operationally the specific days and times established in incorrect and makes the correction in current. It, therefore: (1) Is not a advance by a Notice to Airmen. The effective ‘‘significant regulatory action’’ under days and times will thereafter be this rule. Also, this action recognizes continuously published in the Chart the name change of Louisville Executive Order 12866; (2) is not a ‘‘significant rule’’ under DOT Supplement (previously called Airport/ International Airport-Standiford Field, Facility Directory). (formerly Louisville Standiford Field). Regulatory Policies and Procedures (44 Interested parties were invited to FR 11034; February 26, 1979); and (3) ASO KY D Louisville Bowman Field, KY [Amended] participate in this rulemaking effort by does not warrant preparation of a regulatory evaluation as the anticipated Bowman Field Airport, KY submitting written comments on the ° ′ ″ ° ′ ″ proposal to the FAA. No comments impact is so minimal. Since this is a (Lat. 38 13 41 N., long. 85 39 49 W.) were received. routine matter that only affects air traffic That airspace extending upward from the Class D and E airspace designations procedures and air navigation, it is surface to but not including 2,200 feet MSL are published in paragraphs 5000, 6002, certified that this rule, when within a 3.9-mile radius of Bowman Field Airport. This Class D airspace area is 6004, and 6005 of FAA Order 7400.11B promulgated, does not have a significant economic impact on a substantial effective during the specific dates and times dated August 3, 2017, and effective established in advance by a Notice to September 15, 2017, which is number of small entities under the Airmen. The effective date and time will incorporated by reference in 14 CFR criteria of the Regulatory Flexibility Act. thereafter be continuously published in the part 71.1. The Class E airspace Environmental Review Chart Supplement (previously called Airport/ designations listed in this document Facility Directory). The FAA has determined that this will be published subsequently in the Paragraph 6002 Class E Surface Area Order. action qualifies for categorical exclusion Airspace. under the National Environmental Availability and Summary of Policy Act in accordance with FAA * * * * * Documents for Incorporation by Order 1050.1F, ‘‘Environmental ASO KY E2 Fort Knox, KY [Amended] Reference Impacts: Policies and Procedures,’’ Godman AAF, KY This document amends FAA Order paragraph 5–6.5a. This airspace action (Lat. 37°54′26″ N., long. 85°58′18″ W.) 7400.11B, Airspace Designations and is not expected to cause any potentially Within a 3.9-mile radius of Godman AAF. Reporting Points, dated August 3, 2017, significant environmental impacts, and This Class E airspace area is effective during and effective September 15, 2017. FAA no extraordinary circumstances exist the specific dates and times established in
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advance by a Notice to Airmen. The effective localizer east course, extending from the 10- FOR FURTHER INFORMATION CONTACT: John date and time will thereafter be continuously mile radius to 7 miles east of the LOM and Fornito, Operations Support Group, published in the Chart Supplement within a 10-mile radius of Bowman Field Eastern Service Center, Federal Aviation (previously called Airport/Facility Directory). Airport. Administration, P.O. Box 20636, * * * * * Issued in College Park, Georgia, on October Atlanta, Georgia 30320; telephone (404) 18, 2017. ASO KY E2 Louisville Bowman Field, KY 305–6364. [Amended] Ryan W. Almasy, SUPPLEMENTARY INFORMATION: Manager, Operation Support Group, Eastern Bowman Field Airport, KY Authority for This Rulemaking (Lat. 38°13′41″ N., long. 85°39′49″ W.) Service Center, Air Traffic Organization. Within a 3.9-mile radius of Bowman Field [FR Doc. 2017–23254 Filed 10–31–17; 8:45 am] The FAA’s authority to issue rules Airport. This Class E airspace area is effective BILLING CODE 4910–13–P regarding aviation safety is found in during the specific dates and times Title 49 of the United States Code. established in advance by a Notice to Subtitle I, Section 106 describes the Airmen. The effective date and time will DEPARTMENT OF TRANSPORTATION authority of the FAA Administrator. thereafter be continuously published in the Subtitle VII, Aviation Programs, Chart Supplement (previously called Airport/ Federal Aviation Administration describes in more detail the scope of the Facility Directory). agency’s authority. This rulemaking is Paragraph 6004 Class E Airspace 14 CFR Part 71 promulgated under the authority Designated as an Extension to a Class D [Docket No. FAA–2015–2891; Airspace described in Subtitle VII, Part A, Surface Area. Docket No. 15–ANE–1] Subpart I, Section 40103. Under that * * * * * section, the FAA is charged with Establishment of Class E Airspace; prescribing regulations to assign the use ASO KY E4 Fort Knox, KY [Amended] Deblois, ME of airspace necessary to ensure the Godman AAF, KY safety of aircraft and the efficient use of ° ′ ″ ° ′ ″ AGENCY: (Lat. 37 54 26 N., long. 85 58 18 W.) Federal Aviation airspace. This regulation is within the Godman NDB Administration (FAA), DOT. ° ′ ″ ° ′ ″ scope of that authority as it establishes (Lat. 37 57 31 N., long. 85 58 36 W.) ACTION: Final rule. Class E airspace at Deblois Flight Strip, That airspace extending upward from the ° SUMMARY: This action establishes Class Deblois, ME, to ensure the efficient use surface within 2.4 miles each side of the 354 of airspace within the National Airspace bearing from Godman NDB, extending from E airspace extending upward from 700 the 3.9-mile radius of Godman AAF to 7 feet above the surface in Deblois, ME, to System. miles north of the NDB. accommodate new area navigation History ASO KY E4 Louisville Bowman Field, KY (RNAV) global positioning system (GPS) The FAA published a notice of [Amended] standard instrument approach proposed rulemaking (NPRM in the Bowman Field Airport, KY procedures (SIAPs) serving Deblois Federal Register (82 FR 39065, August (Lat. 38°13′41″ N., long. 85°39′49″ W.) Flight Strip. Controlled airspace is 16, 2017) Docket No. FAA–2015–2891 Bowman VOR/DME necessary for the safety and ° ′ ″ ° ′ ″ to establish Class E airspace extending (Lat. 38 13 49 N., long. 85 39 53 W.) management of instrument flight rules upward from 700 feet or more above the That airspace extending upward from the (IFR) operations at the airport. surface within a 7-mile radius of Deblois surface within 2.4 miles each side of the DATES: Effective 0901 UTC, February 1, Flight Strip, Deblois, ME, providing the Bowman VOR/DME 067° radial, extending 2018. The Director of the Federal from the 3.9-mile radius of Bowman Field controlled airspace required to support Register approves this incorporation by the new RNAV (GPS) standard Airport to 7 miles east of the Bowman VOR/ reference action under title 1, Code of DME. instrument approach procedures for IFR Federal Regulations, part 51, subject to operations at the airport. Interested Paragraph 6005 Class E Airspace Areas the annual revision of FAA Order parties were invited to participate in Extending Upward From 700 Feet or More 7400.11 and publication of conforming Above the Surface of the Earth. this rulemaking effort by submitting amendments. written comments on the proposal to the * * * * * ADDRESSES: FAA Order 7400.11B, FAA. No comments were received. ASO KY E5 Fort Knox, KY [Amended] Airspace Designations and Reporting Class E airspace designations are Godman AAF, KY Points, and subsequent amendments can published in paragraph 6005, of FAA (Lat. 37°54′26″ N., long. 85°58′18″ W.) be viewed online at http://www.faa.gov/ Order 7400.11B dated August 3, 2017, _ Godman NDB air traffic/publications/. For further and effective September 15, 2017, which (Lat. 37°57′31″ N., long. 85°58′36″ W.) information, you can contact the is incorporated by reference in 14 CFR That airspace extending upward from 700 Airspace Policy Group, Federal Aviation part 71.1. The Class E airspace feet above the surface within a 6.3-mile Administration, 800 Independence designations listed in this document radius of Godman AAF and within 2.4 miles Avenue SW., Washington, DC 20591; will be published subsequently in the each side of the 354° bearing from Godman telephone: (202) 267–8783. The Order is Order. NDB, extending from the 6.3-mile radius to also available for inspection at the 7 miles north of the NDB. National Archives and Records Availability and Summary of Documents for Incorporation by ASO KY E5 Louisville, KY [Amended] Administration (NARA). For Reference Louisville International-Standiford Field information on the availability of FAA Airport, KY Order 7400.11B at NARA, call (202) This document proposes to amend (Lat. 38°10′27″ N., long. 85°44′11″ W.) 741–6030, or go to https:// FAA Order 7400.11B, Airspace Bowman Field Airport, KY www.archives.gov/federal-register/cfr/ Designations and Reporting Points, (Lat. 38°13′41″ N., long. 85°39′49″ W.) ibr-locations.html. dated August 3, 2017, and effective That airspace extending upward from 700 FAA Order 7400.11, Airspace September 15, 2017. FAA Order feet above the surface within a 10-mile radius Designations and Reporting Points, is 7400.11B is publicly available as listed of Louisville International-Standiford Field published yearly and effective on in the ADDRESSES section of this and within 2.4 miles each side of the ILS September 15. document. FAA Order 7400.11B lists
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Class A, B, C, D, and E airspace areas, PART 71—DESIGNATION OF CLASS A, reference action under Title 1, Code of air traffic service routes, and reporting B, C, D, AND E AIRSPACE AREAS; AIR Federal Regulations, part 51, subject to points. TRAFFIC SERVICE ROUTES; AND the annual revision of FAA Order 7400.11 and publication of conforming The Rule REPORTING POINTS amendments. ■ This action amends Title 14 Code of 1. The authority citation for part 71 ADDRESSES: FAA Order 7400.11B, Federal Regulations (14 CFR) part 71 by continues to read as follows: Airspace Designations and Reporting establishing Class E airspace extending Authority: 49 U.S.C. 106(f), 106(g); 40103, Points, and subsequent amendments can upward from 700 feet or more above the 40113, 40120; E.O. 10854, 24 FR 9565, 3 CFR, be viewed online at http://www.faa.gov/ surface within a 7-mile radius of Deblois 1959–1963 Comp., p. 389. air_traffic/publications/. For further Flight Strip, Deblois, ME, providing the § 71.1 [Amended] information, you can contact the controlled airspace required to support Airspace Policy Group, Federal Aviation the new RNAV (GPS) standard ■ 2. The incorporation by reference in Administration, 800 Independence instrument approach procedures for IFR 14 CFR 71.1 of Federal Aviation Avenue SW., Washington, DC 20591; operations at the airport. Administration Order 7400.11B, telephone: (202) 267–8783. The Order is Class E airspace designations are Airspace Designations and Reporting also available for inspection at the published in Paragraph 6005, of FAA Points, dated August 3, 2017, effective National Archives and Records Order 7400.11B, dated August 3, 2017, September 15, 2017, is amended as Administration (NARA). For and effective September 15, 2017, which follows: information on the availability of this is incorporated by reference in 14 CFR Paragraph 6005 Class E Airspace Areas material at NARA, call (202) 741–6030, 71.1. The Class E airspace designations Extending Upward From 700 Feet or More or go to https://www.archives.gov/ listed in this document will be Above the Surface of the Earth. federal-register/cfr/ibr-locations.html. published subsequently in the Order. * * * * * FAA Order 7400.11, Airspace Regulatory Notices and Analyses Designations and Reporting Points, is ANE ME E5 Deblois Flight Strip, Deblois, published yearly and effective on The FAA has determined that this ME [New] September 15. regulation only involves an established Deblois Flight Strip, ME FOR FURTHER INFORMATION CONTACT: body of technical regulations for which (Lat. 44°43′35″ N., long. 67°59′27″ W.) Tom Clark, Federal Aviation Administration, frequent and routine amendments are That airspace extending upward from 700 necessary to keep them operationally feet above the surface within a 7-mile radius Operations Support Group, Western current. Therefore, this regulation: (1) Is of Deblois Flight Strip, and within 1-mile Service Center, 1601 Lind Avenue SW., not a ‘‘significant regulatory action’’ either side of a 135° bearing from the airport, Renton, WA 98057; telephone (425) under Executive Order 12866; (2) is not extending from the 7-mile radius to 10.5 203–4511. a ‘‘significant rule’’ under DOT miles southeast of the airport. SUPPLEMENTARY INFORMATION: Regulatory Policies and Procedures (44 Issued in College Park, Georgia, on October Authority for This Rulemaking FR 11034; February 26, 1979); and (3) 18, 2017. does not warrant preparation of a Ryan W. Almasy, The FAA’s authority to issue rules regulatory evaluation as the anticipated Manager, Operations Support Group, Eastern regarding aviation safety is found in impact is so minimal. Since this is a Service Center, Air Traffic Organization. Title 49 of the United States Code. routine matter that only affects air traffic [FR Doc. 2017–23255 Filed 10–31–17; 8:45 am] Subtitle I, Section 106 describes the authority of the FAA Administrator. procedures and air navigation, it is BILLING CODE 4910–13–P certified that this rule, when Subtitle VII, Aviation Programs, promulgated, does not have a significant describes in more detail the scope of the economic impact on a substantial DEPARTMENT OF TRANSPORTATION agency’s authority. This rulemaking is number of small entities under the promulgated under the authority criteria of the Regulatory Flexibility Act. Federal Aviation Administration described in Subtitle VII, Part A, Subpart I, Section 40103. Under that Environmental Review 14 CFR Part 71 section, the FAA is charged with prescribing regulations to assign the use The FAA has determined that this [Docket No. FAA–2017–0391; Airspace action qualifies for categorical exclusion Docket No. 17–ANM–13] of airspace necessary to ensure the under the National Environmental safety of aircraft and the efficient use of Policy Act in accordance with FAA Amendment of Class E Airspace; airspace. This regulation is within the Order 1050.1F, ‘‘Environmental Bend, OR scope of that authority as it modifies Impacts: Policies and Procedures,’’ Class E airspace extending upward from paragraph 5–6.5a. This airspace action AGENCY: Federal Aviation 700 feet above the surface at Bend is not expected to cause any potentially Administration (FAA), DOT. Municipal Airport, Bend, OR, to support significant environmental impacts, and ACTION: Final rule. IFR operations under standard no extraordinary circumstances exist instrument approach procedures. SUMMARY: This action modifies Class E that warrant preparation of an airspace extending upward From 700 History environmental assessment. feet above the surface at Bend On July 5, 2017, the FAA published Lists of Subjects in 14 CFR Part 71 Municipal Airport, Bend, OR to in the Federal Register (82 FR 31030) Airspace, Incorporation by reference, accommodate airspace redesign for the Docket FAA–2017–0391 a notice of Navigation (air). safety and management of instrument proposed rulemaking to modify Class E flight rules (IFR) operations within the airspace extending upward from 700 Adoption of the Amendment National Airspace System. feet above the surface at Bend In consideration of the foregoing, the DATES: Effective 0901 UTC, February 1, Municipal Airport, Bend, OR. Interested Federal Aviation Administration 2018. The Director of the Federal parties were invited to participate in amends 14 CFR part 71 as follows: Register approves this incorporation by this rulemaking effort by submitting
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written comments on the proposal to the Environmental Review Issued in Seattle, Washington, on October FAA. No comments were received. 25, 2017. Class E airspace designations are The FAA has determined that this B.G. Chew, published in paragraph 6005 of FAA action qualifies for categorical exclusion Acting Group Manager, Operations Support Order 7400.11B, dated August 3, 2017, under the National Environmental Group, Western Service Center. and effective September 15, 2017, which Policy Act in accordance with FAA [FR Doc. 2017–23673 Filed 10–31–17; 8:45 am] is incorporated by reference in 14 CFR Order 1050.1F, ‘‘Environmental BILLING CODE 4910–13–P part 71.1. The Class E airspace Impacts: Policies and Procedures,’’ designation listed in this document will paragraph 5–6.5a. This airspace action be published subsequently in the Order. is not expected to cause any potentially DEPARTMENT OF TRANSPORTATION significant environmental impacts, and Availability and Summary of Federal Aviation Administration Documents for Incorporation by no extraordinary circumstances exist that warrant preparation of an Reference 14 CFR Part 71 environmental assessment. This document amends FAA Order [Docket No. FAA–2017–0296; Airspace 7400.11B, Airspace Designations and Lists of Subjects in 14 CFR Part 71 Docket No. 17–ACE–7] Reporting Points, dated August 3, 2017, and effective September 15, 2017. FAA Airspace, Incorporation by reference, Amendment of Class E Airspace; Order 7400.11B is publicly available as Navigation (air). Oskaloosa, IA listed in the ADDRESSES section of this Adoption of the Amendment document. FAA Order 7400.11B lists AGENCY: Federal Aviation Administration (FAA), DOT. Class A, B, C, D, and E airspace areas, In consideration of the foregoing, the air traffic service routes, and reporting Federal Aviation Administration ACTION: Final rule; correction. points. amends 14 CFR part 71 as follows: SUMMARY: This action corrects a final The Rule rule published in the Federal Register PART 71—DESIGNATION OF CLASS A, of August 28, 2017 that modifies E This amendment to Title 14, Code of B, C, D, AND E AIRSPACE AREAS; AIR Federal Regulations (14 CFR) part 71 airspace extending upward from 700 TRAFFIC SERVICE ROUTES; AND feet above the surface at Oskaloosa modifies Class E airspace extending REPORTING POINTS upward from 700 feet above the surface Municipal Airport, Oskaloosa, IA, to at Bend Municipal Airport, Bend, OR. accommodate new standard instrument ■ The airspace remains within the 4.3- 1. The authority citation for part 71 approach procedures for instrument mile radius of Bend Municipal Airport, continues to read as follows: flight rules (IFR) operations at the with the segments extending northwest Authority: 49 U.S.C. 106(f), 106(g); 40103, airport. The FAA identified that the and south of the airport enlarged to 7 40113, 40120; E.O. 10854, 24 FR 9565, 3 CFR, reference to the Ottumwa, IA Class E miles wide (from 5.2 miles) extending to 1959–1963 Comp., p. 389. airspace was not removed from the legal 8.5 miles northwest (from 6.5 miles), description as it should have been. and 5.8 miles wide (from 2.9 miles) § 71.1 [Amended] DATES: Effective 0901 UTC, December 7, extending to 8.8 miles south of the ■ 2017. The Director of the Federal 2. The incorporation by reference in Register approves this incorporation by airport (from 9.3 miles south of the 14 CFR 71.1 of FAA Order 7400.11B, airport). This airspace redesign is reference action under Title 1, Code of Airspace Designations and Reporting necessary for the safety and Federal Regulations, part 51, subject to Points, dated August 3, 2017, and management of aircraft operations at the the annual revision of FAA Order effective September 15, 2017, is airport. 7400.11 and publication of conforming amended as follows: amendments. Regulatory Notices and Analyses Paragraph 6005 Class E Airspace Areas FOR FURTHER INFORMATION CONTACT: The FAA has determined that this Extending Upward From 700 Feet or More Walter Tweedy, Federal Aviation regulation only involves an established Above the Surface of the Earth. Administration, Operations Support body of technical regulations for which * * * * * Group, Central Service Center, 10101 frequent and routine amendments are Hillwood Parkway, Fort Worth, TX, necessary to keep them operationally ANM OR E5 Bend, OR [Amended] 76177; telephone (817) 222–5900. current, is non-controversial and Bend Municipal Airport, OR SUPPLEMENTARY INFORMATION: unlikely to result in adverse or negative (Lat. 44°05′40″ N., long. 121°12′01″ W.) History comments. It, therefore: (1) Is not a That airspace upward from 700 feet above ‘‘significant regulatory action’’ under the surface within a 4.3-mile radius of Bend The FAA published a final rule in the Executive Order 12866; (2) is not a Municipal Airport, and within the area Federal Register (82 FR 40692, August ‘‘significant rule’’ under DOT bounded by a line starting at the point where 28, 2017) Docket No. FAA–2017–0296; Regulatory Policies and Procedures (44 a 300° bearing from the airport intersects the corrected (82 FR 47098, October 11, FR 11034; February 26, 1979); and (3) 4.3-mile radius from the airport to lat. 2017), Docket No. FAA–2017–0315, does not warrant preparation of a 44°11′07″ N., long. 121°20′35″ W., to lat. modifying Class E airspace extending Regulatory Evaluation as the anticipated 44°15′41″ N., long. 121°12′11″ W., to the upward from 700 feet above the surface impact is so minimal. Since this is a point where a 054° bearing from the airport at Oskaloosa Municipal Airport, routine matter that only affects air traffic intersects the 4.3-mile radius from the Oskaloosa, IA. procedures and air navigation, it is airport, thence counter clockwise along the Subsequent to publication, The FAA certified that this rule, when airport 4.3-mile radius to the point of found that reference to the Ottumwa, IA promulgated, will not have a significant beginning, and within 3.1 miles west and 2.8 Class E airspace was inadvertently left economic impact on a substantial miles east of the 167° bearing from the airport in the airspace description. This action number of small entities under the extending to 8.8 miles south of the airport. removes the wording from the legal criteria of the Regulatory Flexibility Act. description.
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Class E airspace designations are exceptions and provide the general of License Exception GOV and are published in paragraph 6005, public answers to frequently asked limited to providing guidance on how respectively, of FAA Order 7400.11B, questions based on existing agency BIS interprets these paragraphs of dated August 2, 2017, and effective interpretive practice. Therefore, the License Exception GOV in response to September 15, 2017, which is clarifications in this final rule do not questions from the public. incorporated by reference in 14 CFR change the EAR requirements for the Paragraph (b)(2)(ii). The final rule 71.1. The Class E airspace designations use of the license exceptions but are revises paragraph (b)(2)(ii) of License listed in this document will be intended to assist exporters new to the Exception GOV to add two sentences to published subsequently in the Order. EAR. clarify the applicability of the term ‘contractor support personnel,’ which is Correction to Final Rule DATES: This rule is effective November 1, 2017. defined in paragraph (b)(2)(ii) of License Accordingly, pursuant to the Exception GOV. BIS has received FOR FURTHER INFORMATION CONTACT: authority delegated to me, in the questions regarding the locations where Timothy Mooney, Regulatory Policy Federal Register of August 3, 2017 (82 ‘contractor support personnel’ must Division, Bureau of Industry and FR 40692) FR Doc. 2017–18107, work and the level of U.S. Government Security, Department of Commerce, Amendment of Class E Airspace; supervision needed for personnel to be Phone: (202) 482–2440, Fax: (202) 482– Oskaloosa, IA, is corrected as follows: considered ‘contractor support 3355, Email: [email protected]. personnel.’ The first sentence that this § 71.1 [Amended] SUPPLEMENTARY INFORMATION: final rule adds to paragraph (b)(2)(ii) ACE IA E5 Oskaloosa, IA [Corrected] Background clarifies that ‘contractor support personnel’ is limited to those ■ On page 40694 column 1, on lines 11 This final rule revises part 740 of the individuals who are providing such and 12, remove the following text: Export Administration Regulations support within a U.S. Government ‘‘excluding that airspace within the (EAR) by clarifying two license owned or operated facility or under the Ottumwa, IA Class E airspace area.’’ exceptions based on existing agency direct supervision of a U.S. government understanding and practice. To provide Issued in Fort Worth, Texas on October 17, employee. This final rule adds a the general public with guidance on parenthetical phrase to clarify that a 2017. using these license exceptions, this final Christopher L. Southerland, U.S. government employee is an rule makes three clarifications to individual directly employed by the Acting Manager, Operations Support Group, License Exception Governments, ATO Central Service Center. U.S. Government. International Organizations, As an example of persons directly [FR Doc. 2017–23247 Filed 10–31–17; 8:45 am] International Inspections under the employed who would meet the BILLING CODE 4910–13–P Chemical Weapons Convention, and the ‘contractor support personnel’ International Space Station (GOV) and definition, BIS provides the following: adds five notes, along with making other A U.S. Government agency plans to DEPARTMENT OF COMMERCE minor clarifications, to License conduct a study of soy bean cultivation Exception Strategic Trade Authorization in Malaysia and the U.S. Government Bureau of Industry and Security (STA). These changes are described agency team will include three below under sections: (A) Clarifications ‘contractor support personnel’ providing 15 CFR Part 740 for License Exception GOV and (B) scientific support to the U.S. [Docket No. 160303181–6181–01] Clarifications for License Exception Government agency’s study. These three STA. ‘contractor support personnel’ will work RIN 0694–AG80 With these revisions, BIS is not at the U.S. Embassy in Malaysia to Clarifications to the Export changing the EAR requirements for the process and analyze agricultural field Administration Regulations for the Use use of these license exceptions. Instead, data being gathered by U.S. Government of License Exceptions the agency seeks to provide sufficient personnel as part of a study. These guidance within the EAR to answer individuals meet the definition of AGENCY: Bureau of Industry and questions the agency frequently receives contractor support personnel in Security, Commerce. from the public as to the application of paragraph (b)(2)(ii) because they will be ACTION: Final rule. the two license exceptions. These working within a U.S. Government- clarifications should be particularly owned and operated facility (a U.S SUMMARY: This final rule makes helpful to exporters who are new to the embassy) and providing a form of clarifications to the Export EAR, including exporters of items that support (scientific support) that is Administration Regulations (EAR) to have recently moved to the EAR from identified in the term’s definition. provide guidance based on existing the International Traffic in Arms For an example of persons not agency understanding and practice on Regulations (ITAR) as a result of the directly employed who would be the use of two license exceptions. United States Munitions List to the outside the scope of the ‘contractor Specifically, this final rule makes three Commerce Control List review process. support personnel’ definition, BIS clarifications to License Exception provides the following: A U.S. Governments, International (A) Clarifications for License Exception Government agency is evaluating the Organizations, International Inspections GOV possibility of providing a grant to a under the Chemical Weapons This final rule revises License company in Kenya that seeks financing Convention, and the International Space Exception GOV, § 740.11, to make three for building three windmills. To Station (GOV) and adds five notes, along clarifications. Specifically, this final evaluate the feasibility of providing a with making other minor clarifications, rule revises paragraph (b)(2)(ii); adds a grant, this U.S. Government agency has to License Exception Strategic Trade new note to paragraph (b)(2)(iii)(C); and entered into a contract with a U.S. Authorization (STA). These revisions adds a new note to paragraph (c)(1). company that provides feasibility respond to questions BIS has received These clarifications do not change the analysis for windmill locations. To about the use of these two EAR license applicability or any other requirements conduct the feasibility analysis study,
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the contractor will need to have certain GOV. This final rule adds a new note to (B) Clarifications for License Exception items exported to it in Kenya. Under paragraph (c)(1) of License Exception STA this example, the contractor, including GOV to clarify that civil This final rule revises License personnel of the contractor, would not intergovernmental organizations in Exception STA, § 740.20, to add five constitute ‘contractor support which the membership is limited to new clarification notes, along with personnel’ because it does not meet the national governments that are making other minor clarifications. definition of ‘contractor support ‘cooperating governments’ are also Specifically, this final rule adds the personnel.’ Although it is providing considered ‘cooperating governments’ following notes to License Exception scientific analysis for this U.S. for purposes of paragraph (c)(1). The STA: Note 1 to paragraph (a) for Government agency under a contract, new note provides an example of a civil applicability of transfers (in-country) the analysis is not being conducted at a intergovernmental organization, the under STA; Note 1 to paragraphs (b)(2) U.S. Government facility or being European Space Agency (ESA), which and (b)(3) for staying within the scope conducted under the direct supervision BIS has determined to fall within the of the original authorization; Note 1 to of an individual directly employed by scope of the definition of ‘cooperating paragraph (d)(2) for multiple consignees the U.S. Government agency. governments.’ ESA (and other civil on a single prior consignee statement The second sentence this final rule intergovernmental organizations) are and minor clarifications to the text of adds to paragraph (b)(2)(ii) clarifies that paragraph (d)(2); and Note 2 to private security contractors are not considered ‘cooperating governments’ paragraph (d)(2) for exclusion for ‘contractor support personnel’ for because their membership is limited to government consignees from prior purposes of paragraph (b)(2)(ii). This ‘cooperating governments’—meaning consignee statement; and Note 1 to new sentence clarifies that although in that if an export was made directly to paragraph (d)(3) for exclusion for certain cases private security contractors any of organization’s national intangible exports, reexports or transfers may work within a U.S. Government government members, License owned or operated facility, such Exception GOV would be available. On (in-country). These new notes, along contractors do not provide this basis, BIS does not exclude exports, with the other minor clarifications, do administrative, managerial, scientific or reexports and transfers (in-country) not change the applicability or any other technical support under contract to the made to ESA (and any other civil requirements of License Exception STA U.S. Government, as required under the intergovernmental organization whose and simply provide guidance on how definition of ‘contractor support members are ‘cooperating governments’) BIS interprets these provisions of personnel.’ from License Exception GOV. The License Exception STA. These new Note 1 to paragraph (b)(2)(iii)(C). purpose of this paragraph (c)(1) is to notes are consistent with the agency’s Paragraph (b)(2)(iii)(C) of License clarify that the fact that two or more responses to questions at numerous Exception GOV authorizes the ‘cooperating governments’ are working outreach events and in the Frequently temporary export, reexport, or transfer together does not change the policy Asked Questions (FAQs) available on (in-country) of an item in support of any rationale for why the United States the agency’s Web site. Note 1 to paragraph (a) for foreign assistance or sales program Government intends to authorize such applicability of transfers (in-country) authorized by law and subject to the exports, reexports, and transfers (in- under STA. This final rule adds a new control of the President by other means, country). However, this final rule adds note to paragraph (a) to License when the criteria specified in this a second sentence to the note to paragraph are met. This final rule adds Exception STA. This new note provides paragraph (c)(1) to clarify that if the guidance on when License Exception a new note to paragraph (b)(2)(iii)(C) of membership of the civil License Exception GOV to clarify how STA may be used to authorize transfers intergovernmental organization involves (in-country) in response to questions BIS interprets the meaning of the term any national governments or other ‘temporary’ for purposes of this from the public about its applicability. organizations that are not ‘cooperating The purpose of this note to paragraph paragraph. The new note clarifies that governments,’ such civil within the context of the authorization (a) is to explain why transfers (in- intergovernmental organizations are not available in paragraph (b)(2)(iii)(C), country) are included in License considered cooperating governments for ‘temporary’ means that within no more Exception STA and describe how this purposes of paragraph (c)(1), and a third than four years from the date of an term is applied in the context of this item’s initial export, reexport, or sentence to provide three illustrative license exception. Under the EAR, transfer (in-country), it must be returned examples of civil intergovernmental outside of prohibited end uses and end to the exporter, reexporter or transferor organizations that are excluded based users and ‘‘knowing’’ violations, the or its disposition otherwise authorized on this criteria. This third sentence also transactions where most transferors will (e.g., pursuant to a license or another clarifies that this exclusion applies even need an EAR authorization is when the license exception) in accordance with when some or all of the ‘cooperating original export, reexport, or transfer (in- the EAR. As a conforming change to this governments’ are members of the civil country) was authorized under a BIS new note to paragraph (b)(2)(iii)(C), this intergovernmental organization. This license and the consignee will make a final rule revises the introductory text of final rule provides the European transfer (in-country) that goes outside paragraph (b)(2)(iii)(C) to add single Aviation Safety Agency (EASA), the the scope of the license. License quotes around the term ‘temporary.’ United Nations, and the World Bank as Exception STA would be available to Note 1 to paragraph (c)(1). Paragraph three examples of civil authorize such transfers (in-country), (c) of License Exception GOV authorizes intergovernmental organizations that provided all the applicable certain exports, reexports, and transfers include members that are ‘cooperating requirements of License Exception STA (in-country) to agencies of cooperating governments’ along with members that were met, such as obtaining a prior governments or agencies of the North are not ‘cooperating governments,’ with consignee statement from the consignee Atlantic Treaty Organization (NATO). the inclusion of the latter group in-country. If the transfer (in-country) Paragraph (c)(1) defines ‘Agency of a meaning that these civil did not require an authorization, such as cooperating government’ for purposes of intergovernmental organizations are not for exports received under License this paragraph of License Exception within the scope of paragraph (c)(1). Exception STA, an authorization is not
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required for subsequent transfers (in- of License Exception STA, in particular form) exports, reexports, or transfers (in- country), provided no prohibited end as it relates to the ‘‘600 series.’’ country). BIS adds a sentence clarifying uses, end-users or ‘‘knowing’’ violations Adding greater specificity to this for purposes of License Exception were involved in the transfer (in- paragraph (d)(1). This final rule revises STA in this final rule. BIS has based this country). These nuances on the paragraph (d)(1) (Requirement to furnish existing agency practice and application of transfers (in-country) are Export Control Classification Number) interpretation on the use of the term sometimes not well understood because of License Exception STA to remove the ‘‘shipment’’ when referring to a log or some people incorrectly assume that the undefined terms ‘‘shipment’’ in four other record to mean that the original way to determine license requirements places and ‘‘shipped’’ in two places and intent of this License Exception STA for exports and reexports is the same add in their place the defined terms requirement was not to apply the way to determine license requirements ‘‘export’’ in paragraph (d)(1)(i) and requirement to intangible exports, for transfers (in-country). The note to ‘‘reexport or transfer (in-country)’’ in reexports, or transfers (in-country). paragraph (a) also specifies that when a paragraph (d)(1)(ii). In the context of Because of the frequency at which paragraph (d)(1), the requirement to transfer (in-country) is not being made intangible exports, reexports, or furnish the ECCN is intended to apply under STA, then the STA requirements transfers (in-country) often occur, it to all exports, reexports, or transfers (in- do not apply. The note to paragraph (a) would have been impractical to impose country) under License Exception STA, includes a parenthetical phrase with a and is consistent with how the agency a log or other record requirement for reference to see the note to paragraphs has interpreted this paragraph. This such exports, reexports or transfers (in- (b)(2) and (b)(3) of License Exception final rule clarifies the intent of this country). For example, for a technical STA for requirements specific to staying paragraph (d)(1) by removing the work team located at a U.S. parent within the scope of the original License undefined term ‘‘shipment’’ and adding company that is collaborating with a Exception STA authorization, which is in its place defined terms that provide technical work team in the United described in more detail below. greater specificity on the intended scope Kingdom (a Country Group A:5 Note 1 to paragraphs (b)(2) and (b)(3). of this paragraph (d)(1). This final rule Country), there may be dozens or This final rule adds a new Note 1 to makes similar clarifications as described hundreds of intangible exports that paragraphs (b)(2) and (b)(3) to License below to paragraphs (d)(2) and (d)(3) to occur during a teleconference or Exception STA. This new note to improve the clarity of these paragraphs. telephone call that are authorized under paragraphs (b)(2) and (b)(3) clarifies that Paragraph (d)(2) for multiple License Exception STA. Although the for ‘‘600 series’’ items authorized under consignees on a single prior consignee party making the intangible export, License Exception STA, the items must statement. This final rule revises reexport, or transfer (in-country) and the be provided to an eligible ultimate end paragraph (d)(2) (Prior Consignee party receiving the technology or user, such as a Country Group A:5 Statement) of License Exception STA to software are responsible for complying military, to stay in compliance with the make four clarifications to paragraph with the other requirements of License original authorization. The new note (d)(2): Adding greater specificity to the Exception STA, which are suitable for refers to this concept as ‘completing the introductory text as it relates to the keeping an intangible export, reexport, chain,’ which means that regardless of undefined term ‘‘shipment;’’ adding two or transfer (in-country) within the scope how many times the ‘‘600 series’’ item new notes to paragraph (d)(2); clarifying of License Exception STA, the party is transferred (in-country) or whether the term ‘description’’ in paragraph making the intangible export, reexport, (d)(2)(i); and making certain terms the ‘‘600 series’’ item is incorporated or transfer (in-country) is not burdened plural in the text. Because of past issues into higher level assemblies or other with trying to keep a log or other record, with the incorporation of revisions to items or not, the ‘‘600 series’’ item must the requirement for which was paragraph (d)(2), in particular some of ultimately be provided to an eligible appropriate and intended for a tangible the undesignated text included in that ultimate end user or be otherwise shipment but was not intended for paragraph, in this final rule BIS is intangible exports, reexports, or authorized under the EAR. Lastly, the revising the entire paragraph to ensure transfers (in-country). The changes new note to paragraphs (b)(2) and (b)(3) the intended revisions are incorporated included in this rule will make this clarifies that because the other items correctly. The clarifications to interpretation clearer to the public. This eligible for authorization under License paragraph (d)(2) are described in the Exception STA (i.e., 9x515 and other next four paragraphs. new sentence also specifies that an non-600 series ECCNs) do not include Similar to the changes described exporter, reexporter, or transferor is the ‘‘600 series’’ requirements specific above for paragraph (d)(1), this final rule required, prior to making any export, to ultimate end user, the ‘completing the revises the introductory text of reexport or transfer (in-country), chain’ concept does not apply to 9x515 paragraph (d)(2) to remove the including those that are intangible, to and other non-600 series Export Control undefined term ‘‘shipment’’ in one ensure that a prior consignee statement Classification Numbers (ECCNs) place and the undefined term has been obtained pursuant to the authorized under License Exception ‘‘shipping’’ in another, and add in their requirements of paragraph (d)(2). This STA. However, the original export, place the defined terms ‘‘exports, final rule also adds a parenthetical reexport, or transfer (in-country) must reexports, or transfers (in-country).’’ phrase to include a cross reference to be completed within the terms and This final rule does not remove the Note 1 to paragraph (d)(3), which conditions of the original License undefined term ‘‘shipment’’ in the two provides additional guidance on Exception STA authorization. As noted additional instances where the term is intangible exports, reexports and above, this clarification is specific to used in the introductory text of transfers (in-country) under License existing EAR requirements; the new paragraph (d)(2), which specifies the Exception STA. BIS also has posted on note to paragraphs (b)(2) and (b)(3) does requirement to maintain a log or other the BIS Web site best practices for not change any License Exception STA record. This is because the requirement managing intangible exports, reexports, requirements but rather provides to maintain a log or other record is not and transfers (in-country) under the guidance on how these existing EAR intended to apply to intangible (i.e., EAR. BIS encourages any party involved requirements are applied in the context electronic or in an otherwise intangible in intangible exports, reexports, or
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transfers (in-country) to review this statement makes little sense, given that appropriate and to the extent permitted guidance. the goal of License Exception STA is to by law, pursuant to Executive Order This final rule adds a new Note 1 to get these ‘‘600 series’’ items to Country 13222, as amended by Executive Order paragraph (d)(2) to clarify an existing Group A:5 governments for their 13637. BIS policy that allows for multiple ultimate end use (one of the three Rulemaking Requirements consignees to be listed on a single prior permissible ultimate end uses for ‘‘600 consignee statement, provided certain series’’ items authorized under License 1. Executive Orders 13563 and 12866 requirements are met. This new Note 1 Exception STA). In addition, this direct agencies to assess all costs and to paragraph (d)(2) addresses scenarios existing interpretation of agency benefits of available regulatory when multiple consignees who form a practice takes into account that under alternatives and, if regulation is network engaged in a production the other likely license exception under necessary, to select regulatory process (or other type of collaborative which such governments may receive approaches that maximize net benefits activity, such as joint development) will items, License Exception GOV, such a (including potential economic, be receiving items under License signature on a prior consignee statement environmental, public health and safety Exception STA. In such cases, it is is not required. This is an existing effects, distribute impacts, and equity). existing BIS policy to allow the use of interpretation of agency practice that Executive Order 13563 emphasizes the a single consignee statement identifying BIS is making explicit in the regulatory importance of quantifying both costs multiple consignees, provided all the text. BIS has provided similar guidance and benefits, of reducing costs, of applicable requirements of License to the public, including to Country harmonizing rules, and of promoting Exception STA are met, including those Group A:5 and A:6 governments. flexibility. This final rule has been specified in paragraph (d)(2). Note 1 to paragraph (d)(3) for determined to be not significant for This final rule revises paragraph exclusion for intangible exports, purposes of Executive Order 12866. (d)(2)(i) by adding the term ‘‘GENERAL’’ reexports or transfers (in-country). This This rule is not an Executive Order before the term ‘‘DESCRIPTION’’ and final rule adds a new Note 1 to 13771 regulatory action because this adding the parenthetical phrase, paragraph (d)(3) to specify that rule is not significant under Executive ‘‘aircraft parts and components intangible exports, reexports, and Order 12866. classified under ECCN 9A610,’’ to transfers (in-country) made under 2. Notwithstanding any other provide an example of the level of License Exception STA are not subject provision of law, no person is required specificity that BIS intends for the to the notification requirements of to respond to nor be subject to a penalty description on the prior consignee paragraph (d)(3). The new note to for failure to comply with a collection statement. BIS has received questions paragraph (d)(3) also specifies that the of information, subject to the from the public asking whether the term requirements of paragraph (d)(1) and requirements of the Paperwork ‘‘description’’ used in paragraph (d)(2)(i) (d)(2) still apply, including to intangible Reduction Act of 1995 (44 U.S.C. 3501 is intended to mean that the prior exports, reexports, or transfers (in- et seq.) (PRA), unless that collection of consignee must include the make and country) made under License Exception information displays a currently valid model number of each part or STA. The specification in the new note Office of Management and Budget component that the consignee would to paragraph (d)(3) is consistent with the (OMB) Control Number. This regulation receive under License Exception STA. requirement discussed above for the involves collections previously The term ‘‘DESCRIPTION,’’ as used in new Note 1 to paragraphs (b)(2) and approved by OMB under control paragraph (d)(2)(i), does not require that (b)(3) that any export, reexport or number 0694–0088, Simplified Network level of specificity, as clarified by the transfer (in-country) made under STA Application Processing System, which changes in this final rule. must stay within the scope of the includes, among other things, license Lastly, specific to the clarifications to authorization. As noted above in the applications and carries a burden paragraph (d)(2), this final rule adds an explanation of the changes to paragraph estimate of 43.8 minutes for a manual or ‘‘(s)’’ to the end of the term (d)(2), BIS has posted on the BIS Web electronic submission. Total burden ‘‘CONSIGNEE’’ in the introductory text site best practices for managing hours associated with the PRA and of paragraph (d)(2) and adds an ‘‘(S)’’ to intangible exports, reexports, and OMB control number 0694–0088 are not the end of the terms ‘‘TITLE,’’ ‘‘NAME,’’ transfers (in-country) under the EAR. expected to increase as a result of this and ‘‘PERSON’’ in the undesignated text BIS encourages any party involved in rule. You may send comments regarding at the end of paragraph (d)(2)(viii). intangible exports, reexports, or the collection of information associated These changes, along with the new Note transfers (in-country) to review this with this rule, including suggestions for 1 to paragraph (d)(2), make explicit that guidance. reducing the burden, to Jasmeet K. it is permissible to list multiple Seehra, Office of Management and Export Administration Act of 1979 consignees on a single consignee Budget (OMB), by email to Jasmeet_K._ statement. Although the Export Administration [email protected], or by fax to (202) Note 2 to paragraph (d)(2) for Act of 1979 expired on August 20, 2001, 395–7285. exclusion for government consignees the President, through Executive Order 3. This rule does not contain policies from prior consignee statement. This 13222 of August 17, 2001, 3 CFR, 2001 with Federalism implications as that final rule adds Note 2 to paragraph Comp., p. 783 (2002), as amended by term is defined under E.O. 13132. (d)(2) to exclude Country Group A:5 and Executive Order 13637 of March 8, 4. The Department finds that there is A:6 government consignees from the 2013, 78 FR 16129 (March 13, 2013), good cause under 5 U.S.C. 553(b)(B) to requirement to sign or provide a prior and as extended by the Notice of August waive the provisions of the consignee statement to an exporter, 15, 2017, 82 FR 39005 (August 16, Administrative Procedure Act requiring reexporter, or transferor under License 2017), has continued the Export prior notice and the opportunity for Exception STA. In particular, for ‘‘600 Administration Regulations in effect public comment because they are either series’’ items authorized under License under the International Emergency unnecessary or contrary to the public Exception STA for Country Group A:5 Economic Powers Act. BIS continues to interest. BIS is making the changes to its governments, requiring government end carry out the provisions of the Export regulations described above to provide users to provide a prior consignee Administration Act of 1979, as guidance on existing interpretations of
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current EAR provisions, and thus prior § 740.11 Governments, International foreign assistance or sales program notice and the opportunity for public Organizations, International Inspections authorized by law and subject to the comment is contrary to the public under the Chemical Weapons Convention, control of the President by other means, interest. The guidance included in this and the International Space Station (GOV). when: final rule has been provided to many * * * * * * * * * * members of the public in the past (e.g., (b) * * * Note 1 to paragraph (b)(2)(iii)(C): those persons that have attended BIS (2) * * * (ii) Exports, reexports, and transfers ‘Temporary,’ for purposes of paragraph outreach events, asked these types of (in-country) made by or consigned to a (b)(2)(iii)(C) of this section, means that four application questions to BIS by phone, department or agency of the U.S. years from the date of an item’s initial export, email or in writing, or read certain Government. This paragraph authorizes reexport, or transfer (in-country), it must be FAQs posted on the BIS Web site returned to the exporter, reexporter, or exports, reexports, and transfers of items dealing with these EAR provisions). transferor or its disposition otherwise when made by or consigned to a Importantly, this is also the same authorized (e.g., pursuant to a license or department or agency of the U.S. guidance that would be provided to any another license exception) in accordance Government solely for its official use or with the EAR. other member of the public that asked for carrying out any U.S. Government the same questions to BIS dealing these program with foreign governments or * * * * * EAR provisions. BIS’s purpose with international organizations that is (c) * * * (1) * * * publishing this final rule is not to authorized by law and subject to control change the application of these by the President by other means. This Note 1 to paragraph (c)(1): Civil provisions but to more efficiently paragraph does not authorize a intergovernmental organizations (such as the communicate the existing agency department or agency of the U.S. European Space Agency (ESA)) where the membership is limited to national guidance and interpretation of these Government to make any export, provisions by clarifying the regulations. governments that are ‘cooperating reexport, or transfer that is otherwise governments’ are also considered This will benefit members of the public prohibited by other administrative because they will be able to more easily ‘cooperating governments’ for purposes of provisions or by statute. Contractor paragraph (c)(1) of this section. If the understand and apply these provisions, support personnel of a department or membership of the civil intergovernmental which are consistent with past agency agency of the U.S. Government are organization includes any national guidance and interpretations provided eligible for this authorization when in governments or other organizations that are to other members of the public. BIS the performance of their duties pursuant not ‘cooperating governments,’ such civil finds good cause to waive the 30-day to the applicable contract or other intergovernmental organizations are not delay in effectiveness under 5 U.S.C. considered ‘cooperating governments’ for official duties. ‘Contractor support purposes of paragraph (c)(1) of this section. 553(d)(3). This rule does not change the personnel’ for the purpose of this requirements or obligations of persons For example, civil intergovernmental provision means those persons who organizations such as the European Aviation under the EAR, so a 30-day delay in provide administrative, managerial, Safety Agency (EASA), the United Nations, effectiveness is not needed. Because a scientific or technical support under and the World Bank do not fall within notice of proposed rulemaking and an contract to a U.S. Government paragraph (c)(1) of this section because their opportunity for public comment are not department or agency (e.g., contractor membership includes governments that are required to be given for these employees of Federally Funded not ‘cooperating governments.’ amendments by 5 U.S.C. 553, or by any Research Facilities or Systems * * * * * other law, the analytical requirements of Engineering and Technical Assistance ■ 3. Section 740.20 is amended: the Regulatory Flexibility Act, 5 U.S.C. contractors). The term ‘contractor 601 et seq., are not applicable. ■ a. By adding Note 1 to paragraph (a); support personnel’ for purposes of this ■ b. By adding Note 1 to paragraphs List of Subjects in 15 CFR Part 740 paragraph (b)(2)(ii) is limited to those (b)(2) and (b)(3) at the end of paragraph Administrative practice and individuals who are providing such (b)(3); procedure, Exports, Reporting and support within a U.S. Government ■ c. By revising paragraphs (d)(1)(i) and recordkeeping requirements. owned or operated facility or under the (d)(1)(ii); direct supervision of a U.S. government ■ Accordingly, part 740 of the Export d. By revising paragraph (d)(2); and employee (i.e., an individual directly ■ e. By adding Note 1 to paragraph Administration Regulations (15 CFR employed by the U.S. Government). (d)(3) to read as follows: parts 730–774) is amended as follows: Private security contractors are not ‘contractor support personnel’ for § 740.20 License Exception Strategic PART 740—[AMENDED] Trade Authorization (STA). purposes of this paragraph (b)(2)(ii) ■ 1. The authority citation for 15 CFR because although they may work within * * * * * part 740 continues to read as follows: a U.S. Government owned or operated (a) * * * Note 1 to paragraph (a): License Exception Authority: 50 U.S.C. 4601 et seq.; 50 facility, such contractors do not provide STA authorizes transfers (in-country) but is U.S.C. 1701 et seq.; 22 U.S.C. 7201 et seq.; administrative, managerial, scientific or only needed to authorize a transfer (in- E.O. 13026, 61 FR 58767, 3 CFR, 1996 Comp., technical support under contract to the country) when an EAR authorization is p. 228; E.O. 13222, 66 FR 44025, 3 CFR, 2001 U.S. Government. This authorization is required. If a transfer (in-country) is not Comp., p. 783; Notice of August 15, 2017, 82 not available when a department or being made under STA, the requirements FR 39005 (August 16, 2017). agency of the U.S. Government acts as specified in this section do not apply (see ■ 2. Section 740.11 is amended: a transmittal agent on behalf of a non- Note 1 to paragraphs (b)(2) and (b)(3) of this ■ a. By revising paragraph (b)(2)(ii); U.S. Government person, either as a section for requirements specific to staying ■ b. By revising the introductory text of convenience or in satisfaction of within the scope of the original License paragraph (b)(2)(iii)(C); security requirements. Exception STA authorization and the concept ■ c. By adding Note 1 to paragraph (iii) * * * of ‘completing the chain’ for purposes of (b)(2)(iii)(C); and (C) This paragraph authorizes the ‘‘600 series’’ items originally authorized ■ d. By adding Note 1 to paragraph ‘temporary’ export, reexport, or transfer under License Exception STA). (c)(1) to read as follows: (in-country) of an item in support of any (b) * * *
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(3) * * * Exception STA to export, reexport, or (iii) Understands that items shipped Note 1 to paragraphs (b)(2) and (b)(3): Any transfer (in-country), including pursuant to License Exception STA may export, reexport, or transfer (in-country) reexporters and transferors of items not subsequently be reexported originally authorized under License previously received under License pursuant to paragraphs (a) or (b) of Exception STA must stay within the scope of Exception STA. The exporter, License Exception APR (15 CFR the original authorization. For example, for reexporter, or transferor must obtain the 740.16(a) or (b)); ‘‘600 series’’ items authorized under License following statement in writing from its (iv) Agrees to obtain a prior consignee Exception STA, such items must be provided consignee(s) prior to exporting, statement when using License to an eligible ultimate end user, such as a reexporting, or transferring (in-country) Exception STA for any reexport or Country Group A:5 military, to stay in transfer (in-country) of items previously compliance with the original authorization. the item and must retain the statement This requirement for the ‘‘600 series’’ is in accordance with part 762 of the EAR. received under License Exception STA; referred to as ‘completing the chain,’ One statement may be used for multiple (v) Agrees not to export, reexport, or meaning regardless of how many times the exports, reexports, or transfers (in- transfer these items to any destination, ‘‘600 series’’ item is transferred (in-country) country) of the same items between the use or user prohibited by the United or whether the ‘‘600 series’’ item is same parties so long as the party names, States’ Export Administration incorporated into higher level assemblies or the description(s) of the item(s) and the Regulations; other items, the ‘‘600 series’’ item must ECCNs are correct. The exporter, (vi) Agrees to provide copies of this ultimately be provided to an eligible ultimate reexporter, or transferor must maintain document and all other export, reexport, end user, or be otherwise authorized under or transfer records (i.e., the documents the EAR. This applies regardless of whether a log or other record (such as documents created in the ordinary course of described in 15 CFR part 762) relevant the ‘‘600 series’’ item has been incorporated to the items referenced in this statement into a foreign-made item that may no longer business) that identifies each shipment be ‘‘subject to the EAR.’’ Because the other made pursuant to this section and the to the U.S. Government as set forth in items eligible for authorization under License specific consignee statement that is 15 CFR 762.7; Exception STA (9x515 and other non-600 associated with each shipment. For (vii) Understands that License series ECCNs) do not include the ‘‘600 purposes of this paragraph (d)(2), a log Exception STA may be used to export, series’’ requirements specific to ultimate end or other record is not required for reexport, and transfer (in-country) ‘‘600 user, this ‘completing the chain’ concept intangible (i.e., electronic or in an series’’ items to persons, whether non- does not apply to 9x515 and other non-600 otherwise intangible form) exports, governmental or governmental, only if series ECCNs authorized under License they are in and, for natural persons, Exception STA. However, the original export, reexports, or transfers (in-country) made under License Exception STA, but an nationals of a country listed in Country reexport, or transfer (in-country) made under Group A:5 (See supplement no. 1 to part License Exception STA for 9x515 and other exporter, reexporter, or transferor is 740 of the EAR) or the United States and non-600 series ECCNs still must comply with required, prior to making any export, the original authorization—meaning the reexport, or transfer (in-country), to if: (A) The ultimate end user for such terms and conditions of License Exception ensure that a prior consignee statement items is the armed forces, police, STA. has been obtained pursuant to the paramilitary, law enforcement, customs, requirements of this paragraph (d)(2). * * * * * correctional, fire, or a search and rescue (See Note 1 to paragraph (d)(3) of this (d) Conditions—(1) Requirement to agency of a government of one of the section for additional guidance on furnish Export Control Classification countries listed in Country Group A:5 or intangible exports, reexports, and Number. (i) The exporter must furnish the United States Government; to the consignee the ECCN of each item transfers (in-country), including best (B) For the ‘‘development,’’ to be exported pursuant to this section. practices). Paragraphs (d)(2)(i) through ‘‘production,’’ operation, installation, Once furnished to a particular (vi) of this section are required for all maintenance, repair, overhaul, or consignee, the ECCN that applies to any transactions. In addition, paragraph refurbishing of an item in one of the item need not be refurnished to that (d)(2)(vii) is required for all transactions countries listed in Country Group A:5 or consignee at the time the same exporter in ‘‘600 series’’ items and paragraph the United States that will be for one, or makes an additional export of the same (viii) of this section is required for more, of the following purposes: item, if the information remains transactions in ‘‘600 series’’ items if the (1) Ultimately to be used by any such accurate at the time of the additional consignee is not the government of a government agencies in one of the export. country listed in Country Group A:5 countries listed in Country Group A:5 or (ii) A reexporter or transferor must (See supplement no. 1 to part 740 of the the United States Government; or furnish to subsequent consignees the EAR). Paragraph (d)(2)(viii) is also (2) Sent to a person in the United ECCN, provided by the exporter or a required for transactions including States and not for subsequent export prior reexporter or transferor, of each 9x515 items. under § 740.9(b)(1) (License Exception item to be reexported or transferred (in- [INSERT NAME(S) OF CONSIGNEE(S)]: TMP for items moving in transit through country) pursuant to this section. Once (i) Is aware that [INSERT GENERAL the United States); or furnished to a particular consignee, the DESCRIPTION AND APPLICABLE (C) The United States Government has ECCN that applies to any item need not ECCN(S) OF ITEMS TO BE SHIPPED otherwise authorized the ultimate end be refurnished to that consignee at the (e.g., aircraft parts and components use, the license or other authorization is time the same reexporter or transferor classified under ECCN 9A610)] will be in effect, and the consignee verifies in makes an additional reexport or transfer shipped pursuant to License Exception writing that such authorization exists (in-country) of the same item, if the Strategic Trade Authorization (STA) in and has provided the license or other information remains accurate at the time § 740.20 of the United States Export approval identifier to the exporter, of the additional reexport or transfer (in- Administration Regulations (15 CFR reexporter or transferor (as applicable). country). 740.20); (viii) Agrees to permit a U.S. * * * * * (ii) Has been informed of the ECCN(s) Government end-use check with respect (2) Prior Consignee Statement. The noted above by [INSERT NAME OF to the items. requirements in this paragraph (d)(2) EXPORTER, REEXPORTER OR [INSERT NAME(S) AND TITLE(S) OF apply to each party using License TRANSFEROR]; PERSON(S) SIGNING THIS
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DOCUMENT, AND DATE(S) ADDRESSES: Report available through and clarified by OMB’s May 8, 2017 DOCUMENT IS SIGNED]. http://www.ferc.gov. Guidance Memo.3 In addition, these Note 1 to paragraph (d)(2): When multiple FOR FURTHER INFORMATION CONTACT: identified agency actions may be consignees who form a network engaged in Nicholas Tackett, Office of Energy addressed in conjunction with the a production process (or other type of Projects, Branch Chief, Division of Commission’s ongoing efforts pursuant collaborative activity, such as joint Hydropower Licensing, Federal to Executive Order 13777. development) will be receiving items under Energy Regulatory Commission, 888 License Exception STA, a single prior II. Background consignee statement for multiple consignees First Street NE., Washington, DC Section 2 of the Executive Order may be used for any item eligible for export, 20426, 202–502–6783 requires the heads of federal agencies to reexport, or transfer (in-country) under Karin L. Larson, Office of General immediately ‘‘review all existing License Exception STA, provided all of the Counsel, Energy Projects, Federal regulations, orders, guidance applicable requirements of License Exception Energy Regulatory Commission, 888 documents, policies, and any other STA are met, including those specified in First Street NE., Washington, DC paragraph (d)(2). similar agency actions (collectively, 20426, 202–502–8236 agency actions) that potentially burden Note 2 to paragraph (d)(2): Country Group SUPPLEMENTARY INFORMATION: the development or use of domestically A:5 and A:6 government consignees are not FEDERAL ENERGY REGULATORY produced energy resources, with required to sign or provide a prior consignee COMMISSION particular attention to oil, natural gas, statement. coal, and nuclear energy resources. Final Report (3) * * * Such review shall not include agency Review of Federal Energy Regulatory actions that are mandated by law, Note 1 to paragraph (d)(3): While the necessary for the public interest, and exporter, reexporter, and transferor must Commission Agency Actions Pursuant furnish the applicable ECCN and obtain a to Executive Order 13783, Promoting consistent with the policy set forth in consignee statement prior to export, reexport Energy Independence and Economic section 1 of this order.’’ or transfer (in-country) made under License Growth On May 8, 2017, OMB issued a Exception STA in accordance with the Guidance Memo providing additional requirements of paragraphs (d)(1) and (d)(2) I. Executive Summary information regarding compliance with of this section, intangible (i.e., electronic or On March 28, 2017, the President the Executive Order, in particular in an otherwise intangible form) exports, signed Executive Order 13783, titled section 2. The Guidance Memo noted reexports, and transfers (in-country) made Promoting Energy Independence and that the Executive Order does not apply under License Exception STA are not subject Economic Growth (Executive Order).1 to independent agencies as defined in to the notification requirements of paragraph 44 U.S.C. 3502(5), but encouraged (d)(3) of this section. However, any export, Pursuant to section 2(c) of the Executive reexport, or transfer (in-country) made under Order, on May 12, 2017, the Federal independent regulatory agencies, STA must stay within the scope of the Energy Regulatory Commission (FERC, especially those that directly regulate original authorization. or the Commission) submitted to the the development or use of domestically Office of Management and Budget produced energy resources, to provide * * * * * (OMB) its plan (Plan) for reviewing its the plan and report that are called for in Dated: October 26, 2017. existing regulations, orders, guidance section 2 of the Executive Order. The Richard E. Ashooh, documents, policies, and any other Guidance Memo further encourages Assistant Secretary for Export similar agency action (agency actions) agencies to coordinate their compliance Administration. that potentially burden the development with Section 2 of Executive Order 13783 [FR Doc. 2017–23712 Filed 10–31–17; 8:45 am] or use of domestically produced energy with their compliance with Executive BILLING CODE 3510–33–P resources. On July 26, 2017, pursuant to Order 13777, which directs agencies to section 2(d) of the Executive Order, the establish Regulatory Reform Task Forces head of the Commission submitted a to evaluate existing regulations DEPARTMENT OF ENERGY draft final report detailing the review generally and make recommendations to undertaken and the results of the the agency head regarding their repeal, Federal Energy Regulatory review. Given the Commission’s status replacement and modification, Commission as an independent regulatory agency, consistent with applicable law. this final report is being submitted on a In the Plan, the Commission 18 CFR Chapter I voluntary basis.2 explained that it intended to review Of the agency actions reviewed, this agency actions it has taken pursuant to Final Report: Review of Federal Energy final report identifies nine agency legislative authority under: (1) the Regulatory Commission Agency actions that potentially materially Natural Gas Act (NGA), 15 U.S.C. 717, Actions Pursuant to Executive Order burden the development or use of et seq.; (2) the Federal Power Act (FPA), 13783, Promoting Energy domestic energy resources as 16 U.S.C. 791a, et seq.; (3) the Interstate Independence and Economic Growth contemplated by the Executive Order Commerce Act, 49 App. U.S.C. 1 et seq.; (4) the Public Utility Regulatory Policies AGENCY: Federal Energy Regulatory 1 Executive Order 13783, Promoting Energy Act of 1978 (PURPA), 16 U.S.C. 2601 et Commission, DOE. Independence and Economic Growth, 82 Fed. Reg. seq., and (5) other statutes for which the ACTION: Availability of Final Report. 16093 (Mar. 28, 2017). Commission’s actions on LNG, natural 2 The Commission is a multi-member, gas pipeline, and hydropower projects SUMMARY: This Final Report on the independent regulatory agency that must follow applicable federal laws to change its rules, Review of Federal Energy Regulatory regulations and orders. Because the Commission 3 Memo from Dominic J. Mancini, Acting Commission Agency Actions is must ultimately decide what action, if any, to take Administrator, Office of Information and Regulatory provided pursuant to Executive Order in response to the Executive Order, this report is a Affairs to Regulatory Reform Officers and 13783, Promoting Energy Independence Commission staff analysis of the issues identified Regulatory Policy Officers at Executive Departments for review in the Executive Order and does not and Agencies regarding Guidance for Section 2 of and Economic Growth. specifically recommend actions nor indicate the Executive Order 13783, titled ‘‘Promoting Energy DATES: November 1, 2017. timing of any potential action. Independence and Economic Growth.’’
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often require compliance, such as the broadly applied and not otherwise Commission actions related to electric National Environmental Policy Act, the codified by the Commission.5 capacity market policies could have a Endangered Species Act, the Coastal primary indirect effect on the B. Methodology Zone Management Act, and the Clean development and use of generation Water Act. This final report identifies and resources. classifies the potentially relevant agency Finally, agency actions involving III. Commission Review of Agency actions based on: (1) the type of action generator interconnection policies could Actions Pursuant to Section 2 undertaken; (2) the energy source have a primary indirect effect on the A. Scope of Review potentially affected by that action; and development of domestic energy (3) whether the potential effects of the resources. For example, a wind or solar Domestic Energy Sources: Section 2 of action are direct or indirect. generator at utility scale typically must the Executive Order states that the This final report focuses on agency interconnect to the transmission grid in review should place particular attention actions in four jurisdictional areas: (1) order to deliver the electricity produced on oil, natural gas, coal, and nuclear hydropower licensing; (2) LNG facility, by those domestic energy resources to energy resources. In addition, section 1 and natural gas pipeline and storage the wholesale purchaser. If Commission of the Executive Order and the facility siting; (3) centralized electric policies or actions lead to a delay in Guidance Memo list renewable sources, capacity market policies in PJM interconnection or otherwise affect the including flowing water, as domestic Interconnection, L.L.C. (PJM), ISO New generator’s ability to interconnect, then energy sources. Therefore, this final England, Inc. (ISO–NE), and New York the project developer may not develop report considers agency actions that Independent System Operator, Inc. that energy resource, which would potentially affect not only oil, natural (NYISO); and (4) electric generator impact the development or use of gas, coal, and nuclear energy resources, interconnection policies. domestic energy resources. but also hydropower and other Commission actions in these four This final report does not review renewable generation resources. jurisdictional areas have the greatest agency actions involving oil and natural potential to materially burden domestic gas pipeline rates; electric energy and Potentially Material Burdens: Section energy resources as contemplated under ancillary service rates and market 2(b) of the Executive Order states that the Executive Order. In particular, the policies; 6 electric transmission rates, ‘‘burden’’ means ‘‘to unnecessarily Commission’s hydropower licensing including return on equity issues; obstruct, delay, curtail, or otherwise program has the potential to directly demand response resources; mergers; impose significant costs on the siting, affect the design, location, and enforcement; reliability; backstop permitting, production, utilization, development of hydropower resources. transmission siting authority; and the transmission, or delivery of energy In addition, the Commission’s Public Utilities Regulatory Policies Act. resources.’’ Based on the Executive jurisdiction over the siting of LNG Commission action in these areas may Order’s definition of ‘‘burden,’’ as terminals and natural gas pipelines may indirectly impact the design, location, informed by the Guidance Memo which affect the delivery to market of natural development, or use of domestic energy highlights agency actions that gas, and have a primary indirect effect resources, but would not have a primary ‘‘materially’’ affect domestic energy on the use of that domestically indirect effect, as discussed above. production, this final report considers produced energy resource. Pursuant to the Guidance Memo’s an agency action ‘‘material’’ if it could: Agency actions related to electric recommendation, this effort with (1) directly affect the development or capacity market policies and generator respect to Executive Order 13783, to the use of domestic energy resources; or (2) interconnection policies may have a extent appropriate, was coordinated have a primary indirect effect on the primary indirect effect on the with the Commission’s Regulatory development or use of domestic energy development, retention, or retirement of Reform Task Force created pursuant to resources.4 Given the Commission’s domestic energy resources. As the Executive Order 13777.7 limited jurisdiction, none of the Commission has recently recognized in This final report discusses those Commission’s agency actions would its ongoing efforts concerning the agency actions that rose to the level of materially affect the design and/or interplay of wholesale electric markets a potential material burden as location of drilling or mining of energy and state policy, the centralized electric contemplated by the Executive Order production resources. capacity markets in PJM, ISO–NE, and and clarified by the Guidance Memo. For hydropower licensing and the LNG Agency Actions: This final report NYISO are intended to ensure long-term considers the following types of binding resource adequacy by sending accurate price signals for investment in electric 6 Commission actions on energy and ancillary Commission agency actions in existence service market rules are less directly related to the as of March 28, 2017 (i.e., the date of capacity resources, when and where development and use of domestic energy resources issuance of Executive Order 13783): needed. By signaling the value of than Commission actions on centralized capacity codified regulations published by the capacity, including the potential need market rules. While energy and ancillary service for new generation resources, these markets have an effect on the economic viability Commission (i.e., 18 CFR); final rules; and day-to-day use of generation resources, the public policy statements and guidance markets serve a function in those market rules established by the Commission are documents; and case-specific orders and regions that would otherwise typically intended to ensure recovery of variable costs (e.g., opinions that establish policies that are be performed through integrated fuel costs) for marginal units, rather than to be the resource planning, often before a state primary source of fixed cost recovery for new generation resources. That is, in regions that do not 4 The Guidance Memo indicates that agencies public service commission. As a result, have capacity markets, there is an additional should review actions that both directly and mechanism to address fixed cost recovery typically indirectly affect domestic energy sources. This final 5 This report does not consider the issue of grants administered by the relevant state regulatory report uses the term ‘‘primary indirect effect’’ to to third parties to perform agency actions because commission, in the case of investor-owned public define the scope of indirect effects that will be the Commission does not issue such grants. utilities, or the management of public power considered for review. A primary indirect effect is Commission staff’s analysis included consideration utilities. an effect that is only one step removed from a direct of information collections, including those subject 7 As with Executive Order 13783, independent effect. In other words, a primary indirect effect to the Paperwork Reduction Act, to the extent that regulatory agencies like the Commission are not occurs when an agency action affects a factor that, such collections are within the scope of the agency subject to Executive Order 13777, but are in turn, affects a domestic energy source. actions reviewed under the Executive Order. encouraged to comply.
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and natural gas transportation facilities proposed or unlicensed operating project-specific, and may be negligible/ siting programs, the Executive Order projects; determine and assess non-existent for complex proceedings review process revealed potentially headwater benefit charges; approve that could benefit from a more burdensome agency actions related to transfers of licensed projects; resolve structured process such as the ILP. regulations promulgated by the complaints alleging noncompliance However, any material burden could be Commission. For electric capacity with license and exemption conditions; alleviated by making the ILP optional, markets and generator interconnection, and act on applications for license and removing the requirement to seek the Executive Order review process surrenders. Commission authorization to use the revealed potentially burdensome agency The Commission also is responsible TLP and ALP (see 18 CFR 4.30, 5.1, 5.3, actions related to Commission for ensuring that the water-retaining 5.8, 16.1). rulemaking orders and case-specific features of hydropower projects are orders, which typically did not result in designed, constructed, operated, and ii. Pre-Filing Application Requirement the promulgation of regulations. This maintained using current engineering final report identifies steps the standards and federal guidelines for In the final stages of the Commission’s Commission may consider, to the extent dam safety. Commission staff inspects pre-filing process for hydropower permitted by law, to alleviate or projects to investigate potential dam projects, the Commission’s regulations eliminate the aspects of the agency safety problems and, every five years, a require a potential applicant to submit actions that may burden the Commission-approved independent a draft license application or development or use of domestically consulting engineer must inspect and preliminary licensing proposal before produced energy resources. evaluate projects with dams higher than submitting a final license application 32.8 feet or with a total storage capacity (18 CFR 4.38(c)(4) and 5.16, C. Discussion of more than 2,000 acre-feet. The respectively). The Commission’s 1. Hydropower Licensing Commission also requires licensees to regulations include minimum filing requirements for these documents (e.g., Under Part I of the FPA, the prepare emergency action plans and Commission has the exclusive authority conducts training sessions on how to study results, analyses, and to issue licenses, small capacity develop and test these plans. environmental measures), and a exemptions (up to 10 megawatts (MW)), The vast majority of agency actions stakeholder review process. The and conduit exemptions for non-federal relating to the Commission’s requirement to file the draft application hydropower projects. The Commission hydropower program do not present a and preliminary licensing proposal may currently regulates over 1,600 licensed material burden to hydropower be materially burdensome in terms of or exempted hydroelectric projects, resources. Specifically, most agency the cost and delay associated with the representing about 56,000 MW of actions: (1) are necessary to administer preparation of the documents and the authorized installed capacity, which is the Commission’s hydropower program stakeholder review process. To more than half of all developed and process hydropower license eliminate material burdens, the hydropower in the United States. applications in an orderly manner; and/ Commission could consider revising its The Commission is responsible for or (2) do not negatively affect the regulations to make this aspect of the coordinating and managing the development of hydropower resources. pre-filing process optional for license processing of hydropower project As outlined below, however, this final applicants. license and exemption applications, as report identifies three areas where well as applications for preliminary potential material burdens may exist: iii. Pre-Filing Schedule licensing processes; exemption permits (under which permittees study The ILP contains comment and filing proposed projects). This includes processes; and determinations on deficient applications. deadlines throughout the pre- and post- determining the effects of constructing, filing application process to ensure a operating, and maintaining hydropower a. Licensing Processes structured approach to hydropower projects on environmental resources, licensing. The ILP, however, may be and the need for the project’s power. i. ILP Default Regulation materially burdensome in terms of the Pursuant to the FPA, issues considered The Commission’s regulations include schedule established for the pre-filing during the review of license three hydropower licensing processes process (3–3.5 years total). To alleviate applications include power production; for applicants: the Integrated Licensing this burden, the Commission could fish, wildlife, recreation, and other Process (ILP), the Traditional Licensing environmental issues; flood control; Process (TLP), and the Alternative consider certain comment and filing irrigation; and other water uses. Various Licensing Process (ALP). The deadline reductions to allow for an statutory requirements also give other Commission’s regulations assign the ILP overall time savings of three months: (1) agencies a significant role in project as the default process for all license reduce the time that an applicant has to development, and several state and requests, and an applicant must file a proposed study plan, and the federal agencies have mandatory specifically request and justify the use Commission has to issue a second authorities that limit the Commission’s of either the TLP or ALP. Assigning the scoping document, from 45 days to 30 control of the cost and time required for ILP as the default process could be days after receiving comments (18 CFR licensing. materially burdensome due to: (1) the 5.10 and 5.11); (2) reduce the time for Following the issuance of a license or time and costs associated with obtaining entities to file comments on the exemption, the Commission oversees the Commission’s approval to use the proposed study plan, from 90 days to 60 compliance with the terms and TLP or ALP; and (2) in the event the days (18 CFR 5.12); (3) reduce the time conditions of the license/exemption for Commission denies the request to use an applicant has to file a revised study the duration of the license. This the TLP/ALP, there may be additional plan, from 30 days to 15 days (18 CFR includes processing the filing of plans, time and costs associated with the ILP, 5.13); and (4) reduce the time for filing reports, and license amendments. due to the structured nature of the comments on an applicant’s preliminary Additionally, the Commission must process. The level of burden caused by licensing proposal, from 90 days to 60 determine if it has jurisdiction over the ILP default regulation is largely days (18 CFR 5.16).
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iv. License Term Policy procedure for small hydroelectric power conduit exemption application to the Section 6 of the FPA provides that projects with an installed capacity of 5 relevant regulations for a license hydropower licenses shall be issued for MW or less (see 46 FR 55,944 at 55,947 application, and then be accepted for a term not to exceed 50 years. There is (1981); 16 U.S.C. § 2705). The filing as of the date the exemption no minimum license term for original Hydropower Regulatory Efficiency Act application was accepted for filing. The licenses (16 U.S.C. 799). Section 15(e) of of 2013 has since amended PURPA by inability of an applicant of a small the FPA provides that any new license increasing the size of a small hydropower exemption to convert its for an existing project (i.e., relicense) hydroelectric power project from 5 to 10 application to a license application is shall be for a term that the Commission MW. Therefore, the 5 MW threshold in materially burdensome because the determines to be in the public interest, 18 CFR 4.40, 4.50, and 4.60 is materially applicant must initiate an entirely new but not less than 30 years or more than burdensome to projects between 5 and license process after its exemption is 50 years (16 U.S.C. 808(e)). Current 10 MW, in terms of the cost and time rejected, thereby causing delay to the Commission policy is to set a 30-year associated with the more onerous filing development of the resource. To license term where there is little or no requirements of Subparts E and F. To eliminate this burden, the Commission authorized redevelopment, new eliminate the material burden, the could consider amending its regulations construction, or environmental Commission could consider revising its to explicitly provide the small mitigation and enhancement; a 40-year regulations to increase the threshold hydropower exemption applicant with license term for a license involving a from 5 MW. the ability to convert its exemption application to a license application if moderate amount of these activities; and b. Exemption Processes a 50-year license term where there is an the exemption application is rejected. i. Increased Capacity Requirement extensive amount of such activity.8 On c. Prohibition on Refiling Subsequent November 17, 2016, the Commission To qualify for a license exemption License Applications issued a notice of inquiry in FERC under section 405 of PURPA, an Pursuant to the authority provided in Docket No. RM17–4–000 inviting applicant must propose to install/ section 10(i) of the FPA (16 U.S.C. 803), comments on what changes, if any, increase the total capacity of a project to the Commission routinely waives should be made to the license term not more than 10 MW (18 CFR certain sections of Part I of the FPA policy. The license terms provide 4.30(b)(31), 4.31(c), and 4.103(a)). The when it issues a minor license. As operational certainty and govern the regulatory requirement to add new relevant, the Commission routinely frequency of the license renewal capacity at the project is not specifically waives section 15 of the FPA, which process, which influences the overall required by section 405 of PURPA, and governs the Commission’s procedures cost of development. In turn, shorter it materially burdens existing licensees for issuing a new license to an existing license terms could burden that would otherwise be eligible to seek licensee (i.e., a relicense) (16 U.S.C. and development by increasing the cost of an exemption at the end of the existing 808). Yet, the Commission’s regulations development. The Commission license term. To eliminate this burden, require the licensee to file an currently is considering comments on the Commission could consider revising application for relicense at least 24 the license term policy, which it could the regulations to remove the months before the expiration of the use to further evaluate the need for any requirement to install or increase the existing license (18 CFR 16.20(c)). future changes to the license term capacity of the facility to qualify for an Moreover, if the Commission rejects the policy. exemption. application, it cannot be refiled (18 CFR v. Minimum Filing Requirements ii. Small Hydropower Conversion 16.9(b)(4)). Rejecting a relicense The Commission’s regulations contain Restrictions application, and not providing the minimum filing requirements In the event that the Commission applicant with the opportunity to refile, depending on the size of a project, and rejects an exemption application, the is materially burdensome to the use of whether construction or modification of Commission’s regulations do not hydropower resources. To eliminate this a dam is needed for project operation. explicitly provide an applicant with the burden, the Commission could consider Part 4 of the Commission’s regulations ability to convert a small hydropower revising its regulations at 18 CFR 16.20 includes three subparts corresponding exemption application to a license to provide the applicant with the option to these factors: (1) Subpart E— application (18 CFR 4.105). The of resubmitting the application if the Application for License for Major Commission’s Handbook for deficiencies are corrected. Unconstructed Project and Major Hydroelectric Project Licensing and 5 2. LNG Facility and Natural Gas Modified Project (18 CFR 4.40); (2) MW Exemptions from Licensing, issued Pipeline and Storage Facility Siting Subpart F—Application for License for April 2004, explicitly states at section Under section 7 of the NGA, 15 U.S.C. Major Project—Existing Dam (18 CFR 6.3.2: 717f, the Commission authorizes the 4.50); and (3) Subpart G—Application If the exemption application is construction, operation, or for License for Minor Water Power dismissed, the process is terminated. abandonment of interstate natural gas Projects and Major Water Power Projects There is no opportunity to convert the pipeline and storage projects, as well as 5 MW or Less (18 CFR 4.60). Subparts exemption application to an application certain types of LNG facilities (e.g., LNG E and F apply to projects greater than 5 for license.9 plants engaged in the storage of MW, and include more onerous filing In comparison, the Commission has interstate natural gas volumes). requirements than Subpart G, which established a process for converting a Similarly, under section 3 of the NGA, applies to projects less than or equal to small conduit exemption application to 15 U.S.C. 717b(e)(1), the Commission 5 MW. The 5 MW threshold is based on a license application (18 CFR 4.93). The authorizes the siting, construction and section 405 of PURPA, which mandated process for small conduits allows the operation of LNG terminals through a simplified and expeditious licensing applicant to submit additional information necessary to conform the which the commodity passes for export 8 See City of Danville, Virginia, 58 FERC ¶ 61,318 or import. As part of these (1992); and Consumers Power Co., 68 FERC ¶ 9 See www.ferc.gov/industries/hydropower/gen- responsibilities, the Commission 61,077, (1994). info/handbooks/licensing_handbook.pdf. conducts both a non-environmental and
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an environmental review of the by interstate and intrastate pipelines, development, its overall result is a more proposed facilities. The non- and environmental review under NEPA. timely application review by environmental review focuses on the The majority of agency actions considering all issues regarding a engineering design, rate, and tariff relating to the siting and construction of project concurrently. As such, there is considerations. The Commission carries interstate natural gas transportation and no need for the Commission to consider out the environmental review with the LNG facilities do not materially burden any revision to this regulation. cooperation of numerous federal, state, the transportation or delivery of 3. Centralized Electric Capacity Market and local agencies, and with the input domestically produced natural gas. Policies of other interested parties. Under the Specifically, most of the Commission’s NGA, the Commission also is the lead actions: (1) Are necessary for the Three of the Regional Transmission federal agency for coordinating all Commission to review and process NGA Operator/Independent System Operator applicable federal authorizations (e.g., section 3 and 7 project applications; (RTO/ISO) markets in the eastern U.S. required permits under the Clean Water and/or (2) do not negatively affect the have adopted centralized capacity Act, Clean Air Act, and Coastal Zone siting or construction of natural gas markets to help address resource Management Act, among others) and pipeline and storage facilities or LNG adequacy concerns.10 In particular, PJM, preparing environmental analyses import/export facilities in a manner that ISO–NE, and NYISO have implemented required under the National has a direct or primary indirect effect on centralized capacity markets that were Environmental Policy Act (NEPA) for all the development or use of domestic designed, in part, to ensure long-term interstate natural gas infrastructure and energy production. resource adequacy by sending accurate LNG import/export proposals. However, the Commission’s price signals for investment in capacity There are several distinct phases to regulations require a prospective resources, when and where needed.11 the review process for interstate natural applicant for authorization under As a result, agency actions related to gas and LNG facilities under the section 3 of the NGA to site and capacity market policies could have a Commission’s jurisdiction: pre-filing construct LNG terminals and related primary indirect effect on the review (if applicable); application jurisdictional natural gas facilities to development and use of generation review; and post-authorization engage in the Commission’s pre-filing resources, including renewables, natural compliance. During the pre-filing process. (18 CFR 157.21(a)). The gas, and nuclear facilities.12 review, Commission staff begins work Commission’s pre-filing regulations The centralized capacity markets on the environmental review and require applicants to use the pre-filing require load-serving entities to secure, engages with stakeholders with the goal process for a minimum of 180 days either through self-supply 13 or of resolving issues before the filing of an before the filing of an application for participation in the capacity auction, application. Throughout the pre-filing any project that is required to engage in sufficient resources to meet their process, Commission staff meets with pre-filing. (18 CFR 157.21(a)(2)(1) and capacity obligation at a future time. All stakeholders, visits the project site, and 153.6(c)). While, in general, the pre- three centralized capacity markets allow confers with federal, state, and local filing process is designed to expedite participation by any resource that is agencies. the processing of applications, the technically qualified to provide the Once a project sponsor files an mandatory imposition of the pre-filing capacity product being procured and application with the Commission under process on LNG terminals and related each market generally models locational NGA section 3 for LNG import/export pipeline projects for at least 180 days constraints. Each conducts a capacity terminals or under NGA section 7 for before an application can be filed may auction where eligible offers to sell interstate pipeline and storage facilities, be materially burdensome for some capacity are compared to the demand Commission staff analyzes both projects in terms of the potential delay for capacity resources, which is environmental and non-environmental and costs associated with the process. established through an administratively- aspects for a proposed project, including Although the 180 day pre-filing process for LNG terminals safety and is required by statute for LNG terminals, 10 The Commission has defined resource engineering. An Environmental 15 U.S.C. 717b–1(a), the statute did not adequacy as ‘‘the availability of an adequate supply of generation or demand responsive resources to Assessment or Environmental Impact mandate that the Commission also support safe and reliable operation of the grid.’’ Cal. Statement typically is issued for public require ‘‘related jurisdictional natural Indep. Sys. Operator Corp., 122 FERC ¶ 61,017, at comment, and ultimately, the gas facilities’’ to engage in pre-filing. P 3 (2008). Commission will issue an order on an However, related jurisdictional natural 11 ‘‘Capacity is not actual electricity. It is a commitment to produce electricity or forgo application after considering both gas pipeline facilities need to be consumption of electricity when required.’’ environmental and non-environmental evaluated concurrent with a proposed Advanced Energy Mgmt. All. v. FERC, No. 16–1234, issues. LNG terminal to avoid segmentation 2017 WL 2636455, at *1 (D.C. Cir. Jun. 20, 2017); During the post-authorization under the National Environmental see Conn. Dep’t of Pub. Util. Control v. FERC, 569 F.3d 477, 482 (D.C. Cir. 2009) (explaining that compliance period, Commission staff Policy Act. Further, the pre-filing capacity ‘‘amounts to a kind of call option that monitors the project sponsor’s process allows stakeholders to become electricity transmitters purchase from parties— compliance with the conditions directed involved in the overall Project at an generally, generators—who can either produce more by the Commission. Ultimately, early stage, and applicants can benefit or consumer less when required’’). 12 It is important to note that the Commission has Commission approval is required before from stakeholder’s early identification not required RTOs/ISOs to implement centralized the facility can begin operation and and resolution of issues that may capacity markets; rather, the determination to provide service. overlap with the LNG terminal. Without include such markets has been a voluntary decision Pursuant to Executive Order 13783, using the pre-filing process for related by the stakeholders in each particular RTO/ISO. However, once an RTO/ISO decides to implement the review encompassed the jurisdictional natural gas facilities, such a capacity market, the Commission must Commission’s regulations, guidance delays could occur during the ensure that the tariff provisions establishing the documents, and policies related to the application review, when issues are first capacity market rules are just and reasonable and certification of interstate natural gas identified and need resolution. Thus, not unduly discriminatory or preferential. transportation facilities, authorization of although this regulation may result in 13 While the specific rules vary by RTO/ISO, load- serving entities can own or construct resources or LNG import and export facilities, delays or additional costs to the contract bilaterally for capacity from resources authorization of certain transportation applicant early on in a project’s owned by other entities.
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determined demand curve. Generally individual generation developer’s generator interconnection procedures speaking, the market clears based on the decision not to develop as a result of and a standard small generator intersection between the supply and being subject to a MOPR would not in interconnection agreement for the demand curves. All cleared resources and of itself materially affect the use or interconnection of electric generators no receive the market clearing price for development of oil, natural gas, coal, larger than 20 MW.15 capacity regardless of resource type. nuclear energy, or other domestic Order No. 661: In Order No. 661, the The Commission has issued multiple energy resources in the U.S. Therefore, Commission required public utilities to agency actions (i.e., Commission orders Commission actions on MOPRs do not add standard procedures and technical addressing the capacity market designs negatively affect the development and requirements for the interconnection of of the relevant organized markets) that use of domestic energy resources by the large wind generation resources to their govern the rules and design of the electricity sector, despite the potential standard large generator interconnection centralized capacity markets. Agency burden on those individual resources procedures and large generator actions related to electric capacity that are mitigated. Furthermore, from interconnection agreements in their markets were reviewed to determine if the perspective of other resources in the open access transmission tariffs.16 they impose a material burden on the market, the MOPR can help preserve the Order No. 827: In Order No. 827, the development and use of domestic integrity of the market price signals and Commission revised the interconnection energy resources. In general, agency revenue streams, thereby facilitating agreements for both large and small actions regarding centralized electricity development and retention of other non-synchronous generators to capacity market design do not impose a resources that might use domestic eliminate exemptions for wind material burden on the development energy resources. generators from providing reactive and use of domestic energy resources 17 4. Generator Interconnection Policies power. because they generally seek to ensure Order No. 828: In Order No. 828, the adequate resources, and thereby Electric generators use domestic Commission modified the small facilitate the development of domestic energy resources to produce electricity. generator interconnection agreement as energy resources, rather than create Electric generators at utility scale must set forth in Order Nos. 2006 and 792 to material burdens to the development interconnect to the transmission system require newly interconnecting small and use of these resources. However, to deliver the electricity they produce to generating facilities to ride through this final report discusses Commission customers and receive benefits from the abnormal frequency and voltage events actions regarding one aspect of wholesale electric markets. The and not disconnect during such centralized electricity capacity markets, interconnection process is designed to events.18 buyer-side market power mitigation ensure a new resource can safely and Order No. 792: In Order No. 792, the rules, due to the potentially material reliably deliver its output to end-users Commission revised the standard small burdens Commission actions may have and to assign the costs to the party generator interconnection procedures on the development of domestic energy causing the costs of any system and standard small generator resources. upgrades required to maintain safety interconnection agreement for the All three eastern RTOs/ISOs use some and reliability. If a generator is not able interconnection of electric generators no form of a minimum offer price rule to interconnect to the transmission larger than 20 MW.19 (MOPR) as approved by Commission system, or if it is too difficult or None of these orders materially order. MOPRs as currently designed expensive to do so, the developer may burden the development or use of establish offer floors for certain new decide not to pursue investment in the domestic energy resources. The resources to protect against subsidized electric generation resource. Therefore, Commission’s generator interconnection new entry that has the potential to the ability of an electric generator to orders establish an orderly, uniform artificially suppress capacity market interconnect to a transmission system process for all types of generators to could affect the development or use of prices. New resources that trigger this interconnect to the grid safely and domestic energy resources. rule are required to submit offers into reliably, facilitating their development the capacity market auction at or above The Commission has issued multiple agency actions that govern and facilitate by providing them with the means to the floor. If the resource’s mitigated deliver the electricity they produce to offer price is too high to clear in the the interconnection of electric the purchaser. As such, these market, then the resource would not generators to public utility transmission requirements will not unnecessarily receive a capacity obligation and the systems. They include: obstruct, delay, curtail or otherwise associated market payments. Depending Order No. 2003: In Order No. 2003, on the terms of any out-of-market the Commission created standard large generator interconnection procedures 15 Standardization of Small Generator contracts, the resource also may not be Interconnection Agreements and Procedures, Order eligible to receive out-of-market and adopted a standard large generator No. 2006, FERC Stats. & Regs. ¶ 31,180, order on payments if it does not clear in the interconnection agreement for the reh’g, Order No. 2006–A, FERC Stats. & Regs. ¶ capacity market auction. Without such interconnection of electric generators 31,196 (2005), order granting clarification, Order larger than 20 MW, regardless of No. 2006–B, FERC Stats. & Regs. ¶ 31,221 (2006). compensation, the developer may 16 14 Interconnection for Wind Energy, Order No. conclude it is not economic to develop resource type. 661, FERC Stats. & Regs. ¶ 31,186, order on reh’g, the resource. In this way, Commission Order No. 2006: In Order No. 2006, Order No. 661–A, FERC Stats. & Regs. ¶ 31,198 actions on the MOPR arguably impose a the Commission created standard small (2005). burden on certain new resources. 17 Reactive Power Requirements for Non- However, Commission actions on the 14 Standardization of Generator Interconnection Synchronous Generators, Order No. 827, FERC Agreements and Procedures, Order No. 2003, FERC Stats. & Regs. ¶ 31,385, order on reh’g, 157 FERC MOPR do not rise to the level of a Stats. & Regs. ¶ 31,146 (2003), order on reh’g, Order ¶ 61,003 (2016). material burden, as the term is defined No. 2003–A, FERC Stats. & Regs. ¶ 31,160, order on 18 Requirements for Frequency and Voltage Ride in the Executive Order and Guidance reh’g, Order No. 2003–B, FERC Stats. & Regs. Through Capability of Small Generating Facilities, Memo. While application of the MOPR ¶ 31,171 (2004), order on reh’g, Order No. 2003–C, Order No. 828, 156 FERC ¶ 61,062 (2016). FERC Stats. & Regs. ¶ 31,190 (2005), aff’d sub nom. 19 Small Generator Interconnection Agreements to a generator’s bid may conceivably Nat’l Ass’n of Regulatory Util. Comm’rs v. FERC, and Procedures, Order No. 792, 145 FERC ¶ 61,159 result in the developer deciding not to 475 F.3d 1277 (D.C. Cir. 2007), cert. denied, 552 (2013), clarifying, Order No. 792–A, 146 FERC ¶ develop its generation resource, an U.S. 1230 (2008). 61,214 (2014).
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impose significant costs on the siting, limitations to be adjusted for inflation sufficient notice to the public of any permitting, production, utilization, are set forth in Appendix A and adjustments prior to any changes transmission, or delivery of energy Appendix B of part 24 in this final rule becoming effective for each fiscal year. resources and therefore they will not and include the commercial vessel The FAST Act further requires the materially burden the production or use arrival fees, commercial truck arrival Secretary to round the amount of any of domestic energy resources. fees, railroad car arrival fees, private increase in the CPI to the nearest dollar. The rounding requirement applies to the Dated: October 25, 2017. vessel arrival fees, private aircraft arrival fees, commercial aircraft and difference in the CPI from the Kimberly D. Bose, vessel passenger arrival fees, dutiable comparison year to the current year Secretary. mail fees, customs broker permit user when determining whether an [FR Doc. 2017–23722 Filed 10–31–17; 8:45 am] fees, barges and other bulk carriers adjustment is necessary. As written, the BILLING CODE 6717–01–P arrival fees, and merchandise processing rounding requirement does not apply to fees as well as the corresponding the fee amount resulting from any limitations. (19 U.S.C. 58c(a) and (b)). adjustment. As noted above, if the DEPARTMENT OF HOMELAND Further, the FAST Act includes a difference in the CPI since the last SECURITY particular measure of inflation for these adjustment is less than one (1) percent, purposes and special rules when the Secretary may elect not to adjust the U.S. Customs and Border Protection considering adjustments. fees and limitations. The statute According to the FAST Act, the requires CBP to use the Consumer Price DEPARTMENT OF THE TREASURY customs COBRA user fees and Index—All Urban Consumers, U.S. All limitations were to be adjusted on April items, 1982–84 (CPI–U) which can be 19 CFR Parts 24 and 111 1, 2016, and at the beginning of each found on the U.S. Department of Labor, [USCBP–2017–0025; CBP Dec. 17–16] fiscal year to reflect the percent increase Bureau of Labor Statistics Web site: (if any) in the Consumer Price Index www.bls.gov/cpi/. The proposed rule RIN 1515–AE25 (CPI) for the preceding 12-month period provided that CBP’s Office of Finance compared to the CPI for fiscal year 2014. will determine annually whether an Procedures To Adjust Customs The statute permits the Secretary to adjustment to the fees and limitations is COBRA User Fees To Reflect Inflation ignore any CPI increase of less than one necessary and a notice specifying the AGENCY: U.S. Customs and Border (1) percent from the time of the previous amount of the fees and limitations will Protection, Department of Homeland adjustment. As a result, if the increase be published in the Federal Register for Security; Department of the Treasury. in the CPI since the previous adjustment each fiscal year at least 30 days prior to is less than one (1) percent, the the effective date of the new fees and ACTION: Final rule. Secretary has discretion to determine limitations. whether the fees should be adjusted. SUMMARY: This document adopts as a Technical Corrections final rule, with changes, the On June 15, 2016, CBP published a amendments proposed to the U.S. notice in the Customs Bulletin In addition, CBP proposed technical Customs and Border Protection (CBP) announcing the April 2016 updates to paragraph (g) of 19 CFR 24.22 regulations to reflect that customs user determination that no adjustment to the to reflect the elimination of the user fee fees and limitations established by the customs COBRA user fees and exemption for passengers arriving from Consolidated Omnibus Budget limitations was necessary based on the Canada, Mexico or one of the adjacent Reconciliation Act (COBRA) will be FAST Act provision as the increase of islands pursuant to the United States— adjusted for inflation in accordance the CPI was less than one (1) percent. Colombia Trade Promotion Agreement with the Fixing America’s Surface (Customs Bulletin, Vol. 50, No. 24, p. Implementation Act. (Colombia TPA, Transportation Act (FAST Act). 13). CBP published a second notice in Pub. L. 112–42, October 21, 2011). the Customs Bulletin on December 7, Section 601 of the Colombia TPA DATES: Effective November 1, 2017. 2016, announcing that, based on a less amended 19 U.S.C. 58c(b)(1)(A)(i) to FOR FURTHER INFORMATION CONTACT: than one (1) percent increase in limit the fee exemption exclusively to Bruce Ingalls, Director—Revenue inflation, no adjustment was necessary passengers whose journey originated in Division, 317–298–1107, bruce.ingalls@ for fiscal year 2017. (Customs Bulletin a territory or possession of the United cbp.dhs.gov; or Tina Ghiladi, Director— Vol. 50, No. 49, p. 4). States, or originated in the United States Fee Strategy, Communications, and and was limited to the territories and Integration, 202–344–3722, Proposed Rule possessions of the United States. (19 [email protected]. On July 17, 2017, CBP published a U.S.C. 58c(b)(1)(A)(i)). Since the law SUPPLEMENTARY INFORMATION: notice of proposed rulemaking (NPRM) became effective on November 5, in the Federal Register (82 FR 32661) 2011,CBP has been collecting only the Background proposing to amend title 19 of the Code non-exempt user fees. In accordance On December 4, 2015, the Fixing of Federal Regulations (19 CFR) to set with the statute, CBP is removing the America’s Surface Transportation Act forth the methodology for determining exemption for passengers arriving from (FAST Act, Pub. L. 114–94) was signed the required adjustments. The FAST Act Canada, Mexico, or one of the adjacent into law. Section 32201 of the FAST Act specifies that the customs COBRA user islands, from the regulations found in amends section 13031 of the fees and corresponding limitations paragraphs (g)(1)(i), (g)(1)(i)(A), Consolidated Omnibus Budget should be adjusted to reflect the (g)(1)(i)(B), (g)(1)(ii), (g)(1)(iii), (g)(2)(i), Reconciliation Act (COBRA) of 1985 (19 percentage of the increase (if any) in the the chart in paragraph (g)(2)(iv), and the U.S.C. 58c) by requiring certain customs average of the CPI for the preceding 12- collection procedures in paragraphs COBRA user fees and corresponding month period compared to the CPI for (g)(4)(ii)(A), (g)(4)(ii)(B), (g)(4)(ii)(C), limitations to be adjusted by the fiscal year 2014. CBP determined that (g)(4)(iii)(A), (g)(4)(iii)(B), and Secretary of the Treasury (Secretary) to the 12-month period for comparison (g)(4)(iii)(C). (19 CFR 24.22(g)). CBP is reflect certain increases in inflation. The will be June through May. This also removing the definition of specific fees and corresponding timeframe was proposed to allow for ‘‘adjacent islands’’ from paragraph
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(g)(1)(iii) as references to adjacent ‘‘outside the United States’’ with ‘‘other disagrees with CBP’s methodology islands have been removed from than the territories and possessions of because 19 U.S.C. 58c(l)(2)(A) directs paragraph (g). (19 CFR 24.22(g)). the United States.’’ This also makes the the Secretary to ‘‘round the amount of Additionally, CBP is amending language consistent with that found in any increase in the Consumer Price paragraph (g)(2)(iii) to clarify that the following paragraph (g)(4)(ii)(C). Index to the nearest dollar[.]’’ According journeys between ports in the United Paragraph (g)(4)(ii)(C) is also amended to the commenter, CBP’s methodology is States are not subject to the fee. (19 CFR for clarity by replacing the proposed incorrect because the CPI is not 24.22(g)(2)(iii)). phrase ‘‘outside the United States, expressed in dollars. As a result, the Upon further review, CBP determined unless that passenger’s journey commenter concludes that Congress that certain technical corrections that originated’’ with ‘‘other than one of the must have intended for the actual fee were proposed needed further territories or possessions of the United and limitation amounts to be rounded to clarification. States, is processed by CBP, and the the nearest dollar instead. Specifically, CBP has determined that journey does not originate.’’ CBP Response: CBP disagrees. paragraph (g)(1)(i) needs to be revised to In paragraph (g)(4)(iii)(A), the word Congress makes its intent known more clearly identify when a fee is ‘‘from’’ after the words ‘‘the customs through the statutory text and here charged based on the arrival of a territory of the United States’’ is expressly instructed the Secretary to passenger aboard a commercial vessel or retained and the proposed new phrase round the amount of any increase in the aircraft from one of the territories or ‘‘that originated in’’ will not be Consumer Price Index to the nearest possessions of the United States. included. This retains the existing dollar. See 19 U.S.C. 58c(l)(2)(A). Paragraph (g)(1)(i) is re-organized for regulatory text while removing the Moreover, the statute clearly states that clarity to provide for the three references to Canada, Mexico and the the Secretary may ignore any such exceptions to the general rule stated in adjacent islands. Similar changes are increase of less than 1 percent. See 19 paragraph (g)(1)(i). made to paragraph (g)(4)(iii)(B), so that U.S.C. 58c(l)(2)(B). ‘‘Such increase’’ In paragraph (g)(1)(ii), CBP has the existing regulatory text is retained plainly refers to the increase in the CPI determined that its proposed wording and only the references to Canada, referenced in the sentence above. There was incorrect. Instead, CBP is retaining Mexico and the adjacent islands are is nothing in the statute that explicitly current paragraph (g)(1)(ii) with removed. states that Congress intended for the revisions to remove the references to In paragraph (g)(4)(iii)(C), CBP will actual fee and limitation amounts to be Canada, Mexico and the adjacent not adopt the proposed new text rounded. More broadly, throughout the islands and adding the phrase that the reading, ‘‘a place outside the United statute, the terms ‘‘fees and limitations’’ fee amount is subject to adjustment by States and that passenger’s journey and ‘‘CPI’’ are used in different the terms of paragraph (k) of this originated in’’ and will instead retain locations, which ordinarily means that section. the existing regulatory text while they are to be given distinct meanings Further, the user fee chart in removing the references to Canada and and are not interchangeable terms. paragraph (g)(2) is intended as a tool to Mexico or adjacent islands. In addition, the overarching intent of assist readers understand the Finally, in the chart found in new this statutory provision was to keep the application of the fee structure laid out Appendix A to Part 24, the description COBRA fee and limitation amounts in 19 U.S.C. 58c and 19 CFR 24.22(g)(1). of the Commercial Vessel Passenger consistent with inflation. Rounding the The chart as proposed in the NPRM Arrival Fee is amended by removing the fees and limitations to the nearest whole contained two errors and did not references to Canada and Mexico or dollar amount would in some cases accurately reflect the existing statutory adjacent islands from the parenthetical. result in fee and limitation amounts that and regulatory rules. The chart is being The notice of proposed rulemaking would far exceed the pace of inflation. amended to reflect ‘‘No fee’’ for aircraft requested public comments. The public Lastly, while CBP acknowledges that arriving from a specified location comment period closed on August 16, the CPI is typically expressed as an regardless of where the journey 2017, and five comments were received. index number rather than a dollar originates. Additionally, the chart found amount, as the CPI measures changes in in paragraph (g)(2) is corrected as the Discussion of Comments prices, it is closely related to dollars and fees for vessels arriving from a specified Five comments were received in the Bureau of Labor Statistics has location with a journey either response to the notice of proposed published materials explaining how to originating in a place other than a rulemaking. interpret the CPI in dollars. See, e.g., specified location or the United States, Comment: Two commenters requested United States Department of Labor, or originating in the United States additional notice time beyond the 30 Bureau of Labor Statistics, BLS including travel to at least one place days proposed stating that 30 days Handbook of Methods, Chapter 17, CPI other than a Specified Location, were notice would be insufficient to make the Publication, Indexes, available at mistakenly changed from $1.93 to $5.50. necessary internal operational https://www.bls.gov/opub/hom/pdf/ These two fees will remain at $1.93 but adjustments. homch17.pdf (last visited August 18, will include the amendments adding the CBP Response: In response to the 2017) (explaining that, in the case of an reference to paragraph (k). commenters’ concern over the amount increase in the CPI from 100 to 233.596, In paragraph (g)(4)(ii)(A), the words of time necessary to operationally ‘‘[o]ne interpretation of this is that a ‘‘in and arrives’’ are no longer being prepare for adjusted fees, CBP will representative set of consumer items removed because they are necessary to increase the notice time from 30 days to that cost $100 in 1982–84 would have prevent charging for passengers whose 60 days in the final rule. cost $233.60 in July 2013.’’); United journey may not have originated from a Comment: One commenter questioned States Department of Labor, Bureau of territory or possession of the United a step in CBP’s methodology for Labor Statistics, Consumer Price States but who are arriving from a calculating the inflation adjustment, Index—July 2017, Technical Note, territory or possession. Paragraph specifically, that the agency proposed to available at https://www.bls.gov/ (g)(4)(ii)(B) is amended for greater round the difference between the CPI for news.release/archives/cpi_08112017.pdf clarity and accuracy by replacing the the current year and the CPI for the (last visited August 18, 2017) phrase at the end of the proposed text, comparison year. The commenter (explaining that an increase in the CPI
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from 100 to 107 ‘‘can also be expressed calculation if the CPI–U for FY14 is FR 32661) on July 17, 2017, with the as the price of a base period market subsequently adjusted. The commenter following three changes as well as the basket of goods and services rising from suggested replacing the numeric figure changes to the proposed technical $100 to $107’’). with a reference to the arithmetic changes discussed above. Specifically, Therefore, consistent with basic tenets average of the CPI–U for FY14. in the introductory paragraphs to of statutory interpretation, CBP’s CBP Response: CBP agrees and will §§ 24.22 and 24.23 (19 CFR 24.22 and reading as articulated in the NPRM make the suggested change to paragraph 24.23) and in paragraph (k)(1) of § 24.22 gives meaning to the plain language of (k)(2)(ii) of § 24.22 in the final rule. (19 (19 CFR 24.22(k)(1)), CBP extended the the text. As Congress chose not to direct CFR 24.22(k)). timeframe for publishing notice CBP to round the fees, but rather to Comment: Two commenters requested specifying the amount of the fees and round the CPI, and since the CPI is that CBP reconsider the index used to limitations from at least 30 days prior to closely related to dollars, CBP believes measure the change in inflation. Both the effective date to at least 60 days that this interpretation is the best way suggested that CBP use the ‘‘All items prior to the effective date of the new to give meaning to the text as written. less food and energy’’ index as opposed fees and limitations. Second, in There is no need to render irrelevant to the CPI–U. The basis for their paragraph (k)(2)(ii) of § 24.22, CBP Congress’s explicit direction to round suggestion is that food and energy prices removed the figure 236.009, stated to be the difference in the CPI and to express are relatively volatile and that the index the arithmethic average of the CPI–U for such a difference in dollars, as urged by excluding them represents the ‘‘core’’ or FY 2014 and replaced it with an the commenter. ‘‘underlying’’ rate of inflation and better instruction to calculate the arithmethic Finally, while CBP believes that the reflects the costs of business average of the CPI–U for FY 2014. language of the FAST Act pertaining to administration activities. Finally, in paragraph (c)(1) of § 24.22, rounding does not apply to the fee CBP Response: CBP agrees that the CBP inserted language to adjust the fee amounts, CBP has determined that it has commenters’ suggested measure of for commercial trucks down to the separate authority to adjust the fee inflation would lead to less volatility in nearest lower $0.05 in order to amount in the unique situation of the fee amounts. However, the statutory minimize the burden of making change commercial truck fee for efficient language specifically requires that we in the primary inspection booth at the processing purposes for both the public use the CPI–U, so we are not able to port of entry. and the agency. The statute requires revise the methodology according to the only that the fee and limitation amounts commenters’ suggestion. Announcement of Adjusted Fees be adjusted ‘‘to reflect’’ the percentage Comment: Two commenters viewed In accordance with this final rule, change in inflation. The ordinary the proposal as an opportunity to CBP is also publishing a separate notice meaning of the word reflect is to correct what they view as the double in the Federal Register announcing the ‘‘[e]mbody or represent (something) in a assessment of processing fees when customs COBRA user fees and faithful or appropriate way.’’ See express consignment carrier and limitations as adjusted for fiscal year Reflect, Oxford Dictionaries, https:// centralized hub facilities are used. Both 2018. en.oxforddictionaries.com/definition/ acknowledged that the language at issue reflect (Last visited October 2, 2017). found in § 24.23(b)(4)(i) of the CBP Inapplicability of Delayed Effective Unlike nearly all of the other instances Regulations (19 CFR 24.23) is only Date where COBRA user fees are collected, revised to reflect the addition of the Section 553(d) of the Administrative the commercial truck fee is regularly reference to new paragraph (k); Procedure Act (APA) generally provides paid in cash at an inspection booth. however, they argue that assessing the that a rule may not take effect earlier Cash collection at the port of entry is a $1 express consignment carrier and than thirty (30) days after it is published manual, burdensome, and time- centralized hub facilities fee adjusted by in the Federal Register. One of the consuming process. Making change in inflation for formal entries amounts to exceptions from this general rule is pennies, given the enormous amount of double assessment of the merchandise when there is good cause to make the cash user fee payments made daily at processing fee. They state that if a rule effective sooner. As this rule the land border primary inspection formal entry is presented to CBP, the $1 provides that CBP will publish a booth, would dramatically slow down express consignment carrier and separate notice in the Federal Register the clearance of vehicles and increase centralized hub facilities fee should not providing 60 days-notice before fuel costs and carbon emissions as a be assessed as the importer will pay the inflation adjustments to the fees result of idling in long lines. appropriate MPF with the entry required by the FAST Act are imposed, Accordingly, CBP has determined that summary as required and that paying there is a self-contained delayed this fee set forth in paragraph (c) of the $1 express consignment carrier and effective date within the rule. § 24.22 will be adjusted to the nearest centralized hub facilities fee and the ad Accordingly, CBP finds good cause in lower nickel ($0.05). (19 CFR 24.22(c)). valorem MPF assesses the same fee accordance with 5 U.S.C. 553(d)(3) to Commercial truck fees adjusted to the twice on a single entry. waive the 30-day delayed effective date nearest lower nickel therefore still CBP Response: The fee set forth in requirement for the rule. appropriately reflect the change in paragraph 24.23(b)(4)(i) of section 24 is Executive Orders 12866, 13563 and inflation as required by the statute but required by statute. (19 U.S.C. 13771 also alleviate the hardship of making 58c(b)(9)(A)(ii)). Any changes to the fees change in pennies at the primary themselves are beyond the scope of this Executive Orders 12866 and 13563 inspection booth and allow for faster rulemaking. direct agencies to assess the costs and processing and clearance of commercial benefits of available regulatory trucks. Conclusion alternatives and, if regulation is Comment: One commenter noted that Based on the comments received and necessary, to select regulatory the Bureau of Labor Statistics (BLS) may further review of the proposed technical approaches that maximize net benefits revise the CPI–U figures periodically. As corrections, CBP has decided to adopt as (including potential economic, such, stating a definite figure in the CBP final the proposed amendments environmental, public health and safety regulations may result in an incorrect published in the Federal Register (82 effects, distributive impacts, and
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equity). Executive Order 13563 List of Subjects as adjusted in accordance with the emphasizes the importance of terms of paragraph (k) of this section, 19 CFR Part 24 quantifying both costs and benefits, of and the APHIS/AQI fee set forth in 7 reducing costs, of harmonizing rules, Accounting, Claims, Customs duties CFR 354.3’’ between the words and of promoting flexibility. This final and inspection, Harbors, Reporting and ‘‘Prepayment’’ and ‘‘must be made’’ in rule has not been designated a recordkeeping requirements, Taxes. the second sentence; ■ ‘‘significant regulatory action,’’ under 19 CFR Part 111 h. Paragraph (d)(1) is amended by section 3(f) of Executive Order 12866. adding the words ‘‘, as adjusted in Administrative practice and accordance with the terms of paragraph Accordingly, the Office of Management procedure, Brokers, Customs duties and and Budget (OMB) has not reviewed this (k) of this section,’’ after the words ‘‘fee inspection, Penalties, Reporting and of $8.25’’; rule. This rule is not an Executive Order recordkeeping requirements ■ i. Paragraph (d)(2) is amended by 13771 regulatory action because this Amendments to the CBP Regulations adding the words ‘‘, as adjusted in rule is not significant under Executive accordance with the terms of paragraph Order 12866. For the reasons stated above, parts 24 (k) of this section,’’ after the words and 111 of title 19 of the Code of Regulatory Flexibility Act ‘‘prepayment of $100’’; and Federal Regulations (19 CFR parts 24 ■ j. Paragraph (d)(3) is amended by The Regulatory Flexibility Act (5 and 111) are amended as set forth adding the words ‘‘, as adjusted in U.S.C. 601 et seq.), as amended by the below. accordance with the terms of paragraph (k) of this section,’’ after the words ‘‘fee Small Business Regulatory Enforcement PART 24—CUSTOMS FINANCIAL AND of $100’’; and Fairness Act of 1996, requires ACCOUNTING PROCEDURE agencies to assess the impact of ■ k. Paragraph (e)(1) is amended by regulations on small entities. A small ■ 1. The general authority citation for adding the words, as adjusted in entity may be a small business (defined part 24 continues to read as follows, the accordance with the terms of paragraph as any independently owned and specific authority citation for § 24.22 is (k) of this section,’’ after the words operated business not dominant in its added, and the specific authority ‘‘sum of $27.50; and ■ l. Paragraph (e)(2) is amended by field that qualifies as a small business citation for § 24.23 is revised to read as adding the words ‘‘, as adjusted in per the Small Business Act); a small not- follows accordance with the terms of paragraph for-profit organization; or a small Authority: 5 U.S.C. 301; 19 U.S.C. 58a– (k) of this section’’ to the end of the first governmental jurisdiction (locality with 58c, 66, 1202 (General Note 3(i), Harmonized sentence after the word ‘‘section’’; fewer than 50,000 people). Tariff Schedule of the United States), 1505, ■ 1520, 1624; 26 U.S.C. 4461, 4462; 31 U.S.C. m. Paragraph (f) is amended by adding This rule will affect a combination of 3717, 9701; Pub. L. 107–296, 116 Stat. 2135 the words ‘‘, as adjusted in accordance individuals and businesses. While most (6 U.S.C. 1 et seq.). with the terms of paragraph (k) of this of the businesses that pay the customs * * * * * section’’ after the words ‘‘amount of COBRA user fees are large corporations, Section 24.22 also issued under Sec. 892, $5.50’’; ■ the rule affects all businesses that pay Pub. L. 108–357, 118 Stat. 1418 (19 U.S.C. n. Paragraph (g)(1)(i) through (iii) are these fees, so this rule will affect a 58c); Sec. 32201, Pub. L. 114–94, 129 Stat. revised; ■ substantial number of small entities. 1312 (19 U.S.C. 58c). o. Paragraph (g)(2)(i) is amended by However, the impact will be small and Section 24.23 also issued under 19 U.S.C. removing the text ‘‘Canada, Mexico, 3332; Sec. 892, Pub. L. 108–357, 118 Stat. any’’ between the words ‘‘means’’ and in line with inflation; for example, with 1418 (19 U.S.C. 58c); Sec. 32201, Pub. L. ‘‘territories’’, and removing the text ‘‘, the current inflation since the base year, 114–94, 129 Stat. 1312 (19 U.S.C. 58c). and any adjacent islands’’ after the the commercial truck fee will increase * * * * * words ‘‘United States’’; by 15 cents. Therefore, CBP certifies that ■ 2. In § 24.22: ■ p. Paragraph (g)(2)(iii) is amended by this rule will not have a significant ■ a. Add introductory introductory text; adding the words ‘‘and/or the United economic impact on a substantial ■ b. Paragraph (b)(1)(i) is amended by States’’ after the words ‘‘Specified number of small entities. adding the words ‘‘, as adjusted in Location’’; ■ Paperwork Reduction Act accordance with the terms of paragraph q. The table in paragraph (g)(2)(iv) is (k) of this section,’’ after the words revised; In accordance with the Paperwork ‘‘amount of $437’’; ■ r. Paragraph (g)(4)(ii)(A) is amended Reduction Act of 1995 (Pub. L. 104–13, ■ c. Paragraph (b)(1)(ii) is amended by by removing the words ‘‘Canada, 44 U.S.C. 3507) an agency may not adding the words ‘‘, as adjusted in Mexico,’’ between the words ‘‘other conduct, and a person is not required to accordance with the terms of paragraph than’’ and ‘‘one of the territories, and respond to, a collection of information (k) of this section,’’ after the words removing the words ‘‘, or an adjacent unless the collection of information ‘‘total of $5,955 in fees’’; island’’ from the end of the sentence; ■ ■ s. Paragraphs (g)(4)(ii)(B) and (C) are displays a valid control number d. Paragraph (b)(2)(i) is amended by adding the words ‘‘, as adjusted in revised; assigned by OMB. This rule does not accordance with the terms of paragraph ■ t. Paragraph (g)(4)(iii)(A) is amended involve any collection of information. (k) of this section,’’ after the words ‘‘fee by removing the words ‘‘Canada, Signing Authority of $110’’; Mexico,’’ between the words ‘‘United ■ e. Paragraph (b)(2)(ii) is amended by States’’ and ‘‘one of the territories’’, and This regulation is being issued in adding the words ‘‘, as adjusted in removing the comma and the words ‘‘or accordance with 19 CFR 0.1(a)(1) accordance with the terms of paragraph an adjacent island’’ from the end of the pertaining to the Secretary of the (k) of this section,’’ after the words paragraph; Treasury’s authority (or that of his ‘‘$1,500 in fees’’; ■ u. Paragraph (g)(4)(iii)(B) is amended delegate) to approve regulations related ■ f. Paragraphs (c)(1) and (2) are revised; by removing the words ‘‘Canada, to certain customs revenue functions. ■ g. Paragraph (c)(3) is amended by Mexico,’’ between the words ‘‘from’’ adding the words ‘‘of the $100 CBP fee, and ‘‘one’’, and removing the comma
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and the words ‘‘or an adjacent island’’ Consumer Price Index for fiscal year transportation of non-commercial following the words ‘‘United States’’ at 2014 is set forth in paragraph (k) of this merchandise on a for-hire basis. the end of the sentence; section. CBP will determine annually (2) CBP fee limitation. No CBP fee will ■ v. Paragraph (g)(4)(iii)(C) is revised; whether an adjustment to the fees and be collected under paragraph (c)(1) of ■ w. Paragraph (g)(5)(v) is amended by limitations is necessary and a notice this section for the arrival of a adding the words ‘‘, as adjusted in specifying the amount of the fees and commercial truck during any calendar accordance with the terms of paragraph limitations will be published in the year once a prepayment of $100, as (k) of this section,’’ after the words Federal Register annually for each fiscal adjusted by the terms of paragraph (k) ‘‘vessel passenger fee’’ in each place that year at least 60 days prior to the of this section, has been made and a they appear; effective date of the new fees and transponder has been affixed to the ■ x. Paragraph (h) is revised; limitations. The fees and the limitations vehicle windshield as provided in ■ y. Paragraph (i)(7) is amended by will also be maintained for the public’s paragraph (c)(3) of this section. adding the words ‘‘, as adjusted in convenience on the CBP Web site at * * * * * accordance with the terms of paragraph www.cbp.gov. If a customs user has pre- (g) * * * (k) of this section’’ after the words paid or met the calendar year limit prior (1) * * * ‘‘commercial aircraft passengers’’; to the effective date of the new fees and (i) Subject to paragraphs (g)(1)(ii) and ■ z. Paragraph (i)(8) is amended by (g)(3) of this section, a fee of $5.50, as adding the words ‘‘, as adjusted in limitations, no additional fees will be adjusted by the terms of paragraph (k) accordance with the terms of paragraph required for that calendar year. If the of this section, must be collected and (k) of this section’’ after the words customs user has not pre-paid or met remitted to CBP for services provided in ‘‘commercial vessel passengers’’; and the calendar year limit prior to the connection with the arrival of each ■ aa. Paragraph (k) is added. effective date of the new fees and passenger aboard a commercial vessel or The revisions and additions read as limitations, the customs user will be commercial aircraft from a place outside follows: subject to the adjusted limitation or prepayment amount. the United States except: § 24.22 Fees for certain services. (A) When the journey of the arriving * * * * * This section sets forth the terms and passenger originates in a territory or conditions for when the fees and (c) Fees for arrival of a commercial possession of the United States; corresponding limitations for certain truck—(1) Fees. The fees for the arrival (B) When the journey of the arriving services are required. The specific of a commercial truck consist of two passenger originates in the United States customs user fee amounts and separate fees. A CBP fee of $5.50, as and was limited to the territories and corresponding limitations that appear in adjusted by the terms of paragraph (k) possessions of the United States; or this section are not the actual fees or of this section, but if the adjusted (C) When arriving from one of the limitations but represent the base year amount is not evenly divided by 0.05 territories or possessions of the United amounts that are subject to adjustment (e.g., $5.74) then adjusted down to the States. each fiscal year in accordance with the next lower $0.05 (e.g., $5.70), and an (ii) Subject to paragraph (g)(3) of this Fixing America’s Surface Transportation Animal and Plant Health Inspection section, a fee of $1.93, as adjusted by the Act (FAST Act) using Fiscal Year 2014 Service/Agricultural Quarantine terms of paragraph (k) of this section, as the base year for comparison. (See Inspection (APHIS/AQI) fee set forth in must be collected and remitted to CBP Appendix A to part 24 for a table setting 7 CFR 354.3 for the services provided for services provided in connection with forth the fees and limitations subject to that CBP collects on behalf of APHIS. the arrival of each passenger aboard a adjustment along with the Upon arrival at a CBP port of entry, the commercial vessel from a territory or corresponding statutory authority, the driver or other person in charge of a possession of the United States, regulatory citation, the name of the fee commercial truck must tender the fees regardless of whether the journey of the or limitation, and the Fiscal Year 2014 to CBP unless they have been prepaid as arriving passenger originates in a place base amount which reflects the statutory provided for in paragraph (c)(3) of this outside the United States or in the amounts that were adjusted by the section. The fees will not apply to any United States. American Jobs Creation Act of 2004 commercial truck which, at the time of (iii) For the purposes of this (Pub. L. 108–357).) The methodology for arrival, is being transported by any paragraph (g), the term ‘‘territories and adjusting the fees and limitations to vessel other than a ferry. For purposes possessions of the United States’’ reflect the percentage, if any, of the of this paragraph, the term ‘‘commercial includes American Samoa, Guam, the increase in the average of the Consumer truck’’ means any self-propelled vehicle, Northern Mariana Islands, Puerto Rico, Price Index—All Urban Consumers, U.S. including an empty vehicle or a truck and the U.S. Virgin Islands. All items, 1982–84 (CPI–U) for the cab without a trailer, which is designed * * * * * preceding 12-month period (June and used for the transportation of (2) * * * through May) compared to the commercial merchandise or for the (iv) * * *
Place where Fee status for arrival from SL Fee status for arrival from other than SL journey originates (see (g)(1)(iv)) Vessel Aircraft Vessel Aircraft
SL ...... $1.93, as adjusted by the terms No fee ...... No fee ...... No fee of paragraph (k) of this section. Other than SL or $1.93, as adjusted by the terms No fee ...... $5.50, as adjusted by the terms $5.50, as adjusted by the terms U.S. of paragraph (k) of this section. of paragraph (k) of this section. of paragraph (k) of this section U.S...... $1.93, as adjusted by the terms No fee ...... N/A ...... N/A of paragraph (k) of this section. U.S...... $1.93, as adjusted by the terms No fee ...... $5.50, as adjusted by the terms $5.50, as adjusted by the terms of paragraph (k) of this section. of paragraph (k) of this section. of paragraph (k) of this section
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* * * * * (i) Calculate the arithmetic average of ■ e. Paragraph (b)(2)(i) is amended by (4) * * * the Consumer Price Index—All Urban adding the words ‘‘, as adjusted in (ii) * * * Consumers, U.S. All items, 1982–84 = accordance with the terms of § 24.22(k) (B) When a return ticket or travel 100 (CPI–U) for the current year based of this part,’’ after the amount ‘‘$2’’; document is issued (or a receipt or other on the most recent June-May period. ■ f. Paragraph (b)(2)(ii) is amended by document that indicates an infant This figure is referred to as (A). adding the words ‘‘, as adjusted in traveling without a return ticket or (ii) Calculate the arithmetic average of accordance with the terms of § 24.22(k) travel document is issued) in the CPI–U for FY 2014. This figure is of this part,’’ after the amount ‘‘$6’’; connection with a journey which referred to as (B). ■ g. Paragraph (b)(2)(iii) is amended by originates in the United States, includes (iii) State the arithmetic average of adding the words ‘‘, as adjusted in a stop in a place other than one of the CPI–U for the comparison year which accordance with the terms of § 24.22(k) territories and possessions of the United will be either (B) if the fees have never of this part,’’ after the amount ‘‘$9’’; and States and the return arrival to the been adjusted in accordance with this ■ h. Paragraph (b)(4) is revised. United States is from a place other than paragraph (k), or the arithmetic average The addition and revision read as the territories and possessions of the of the CPI–U for the last year in which follows: United States; and fees were adjusted in accordance with § 24.23 Fees for processing merchandise. (C) When a passenger on a journey this paragraph (k) as set forth in the This section sets forth the terms and through the United States to a foreign Federal Register notice that last conditions for when the fees for destination arrives in the customs adjusted the fee. This figure is referred processing merchandise are required. territory of the United States from a to as (C). The specific merchandise processing fee (iv) Calculate the difference between place other than one of the territories or amounts and corresponding limitations the arithmetic averages of the CPI–U of possessions of the United States, is that appear in this section are not the the comparison year (C) and the current processed by CBP, and the journey does actual fees or limitations, but represent not originate in the territories and year (A). This difference is referred to as ¥ the base year amounts that are subject possessions of the United States. (D). (D) = (A) (C). to adjustment each fiscal year in (v) Round the difference (D) to the (iii) * * * accordance with the Fixing America’s nearest whole number. This figure is (C) When a passenger on a journey Surface Transportation Act (FAST Act) through the United States to a foreign referred to as (E). (vi) Calculate the percentage change using Fiscal Year 2014 as the base year destination arrives in the customs for comparison. (See Appendix B to part territory of the United States from one in the arithmetic averages of the CPI–U of the comparison year (C) and the 24 for a table setting forth the fees and of the territories and possessions of the limitations subject to adjustment along United States and is processed by CBP. current year (A) which is referred to as ÷ × with the corresponding statutory * * * * * (F). (F) = ((E) (C)) 100%. (vii) If (F) is one percent or more, authority, the regulatory citation, the (h) Annual customs broker permit proceed to the next step (viii). If (F) is name of the fee or limitation, and the user fee. Customs brokers are subject to less than one percent, no adjustment Fiscal Year 2014 base amount which an annual user fee of $138, as adjusted will be made. reflects the statutory amounts that were by the terms of paragraph (k) of this (viii) Calculate the difference in the adjusted by the American Jobs Creation section, for each district permit and for arithmetic average of the CPI–U between Act of 2004 (Pub. L. 108–357).) The a national permit held by an individual, the current year (the most recent June methodology for adjusting the fees and partnership, association, or corporation. through May period) and the base year limitations to reflect the percentage, if The annual user fee for each district (FY 2014). This difference is referred to any, of the increase in the average of the permit must be submitted to the port as (G). (G) = (A)¥(B). Consumer Price Index—All Urban through which the broker was granted (ix) Calculate the percentage change Consumers, U.S. All items, 1982–84 the permit. The annual user fee for a in the CPI–U from the base year to the (CPI–U) for the preceding 12-month national permit must be submitted to current year. This figure is referred to as period (June through May) compared to the port through which the broker’s (H). (H) = ((G) ÷ (B)) × 100%. the Consumer Price Index for fiscal year license is delivered. (x) Increase the fees and limitations 2014 is set forth in § 24.22(k) of this * * * * * that are subject to the rules of this part. CBP will determine annually (k) Adjustment for inflation of paragraph by (H), calculating fees and whether an adjustment to the fees and Customs Consolidated Omnibus Budget limitations to the second decimal. limitations is necessary and a notice Reconciliation Act (COBRA) user fees— ■ 3. In § 24.23: specifying the amount of the fees and (1) Fee amounts. CBP will determine ■ a. Add introductory text; limitations will be published in the annually whether an adjustment to the ■ b. Paragraph (b)(1)(i)(A) is amended Federal Register annually for each fiscal fees and limitations is necessary and a by adding the words, as adjusted in year at least 60 days prior to the notice specifying the amount of the fees accordance with the terms of § 24.22(k) effective date of the new fees and and limitations, as adjusted, will be of this part,’’ after the words ‘‘$1.00 per limitations. The fees and the limitations published in the Federal Register individual air waybill or bill of lading will also be maintained for the public’s annually for each fiscal year at least 60 fee’’; convenience on the CBP Web site at days prior to the effective date of the ■ c. Paragraph (b)(1)(i)(B) is amended by www.cbp.gov. new fees and limitations. The fee and adding the words ‘‘, as adjusted in * * * * * limitation amounts will also be accordance with the terms of § 24.22(k) (b) * * * maintained for the public’s convenience of this part,’’ after the amounts ‘‘$485’’ (4) Express consignment carrier and on the CBP Web site at www.cbp.gov. and ‘‘$25’’; centralized hub facilities—(i) General. (2) Methodology for annual ■ d. Paragraph (b)(1)(ii) is amended by Each carrier or operator using an adjustments of fees and limitation adding the words ‘‘, as adjusted in express consignment carrier facility or a amounts for inflation. CBP will accordance with the terms of § 24.22(k) centralized hub facility must pay to CBP determine the adjustments, if any, by of this part,’’ after the words ‘‘surcharge a fee in the amount of $1.00, as adjusted making the following calculations: of $3’’; in accordance with the terms of
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paragraph (k) of § 24.22 of this chapter, with the terms of § 24.22(k) of this part, chapter, and the number covered by per individual air waybill or individual and must not be less than $0.35, as other informal entry procedures. bill of lading for the processing of adjusted by § 24.22(k) of this part. (C) Overpayments or underpayments airway bills for shipments arriving in (iii) Quarterly payments. The may be accounted for by an explanation the United States. In addition, if following additional requirements and in, and adjustment of, the next due merchandise is formally entered and conditions apply to each quarterly quarterly payment to CBP. In the case of valued at $2,500 or less, the importer of payment made under this section: an overpayment or underpayment that record must pay to CBP the ad valorem (A) The quarterly payment must is not accounted for by an adjustment of fee specified in paragraph (b)(1) of this conform to the requirements of § 24.1 of the next due quarterly payment to CBP, section, if applicable. An individual air this part, must be submitted the following procedures apply: waybill or individual bill of lading is electronically via Fedwire or pay.gov, or (1) In the case of an overpayment, the the individual document issued by the mailed to Customs and Border carrier or operator may request a refund carrier or operator for transporting and/ Protection, Revenue Division/Attention: by writing to Customs and Border or tracking an individual item, letter, Reimbursables, 6650 Telecom Drive, Protection, Revenue Division/Attention: package, envelope, record, document, or Suite 100, Indianapolis, Indiana 46278, Reimbursables, 6650 Telecom Drive, shipment. An individual air waybill is and must be received by CBP no later Suite 100, Indianapolis, Indiana 46278. not a consolidation of several air than the last day of the month that The refund request must specify the waybills, and is not a master bill or follows the close of the calendar quarter grounds for the refund and must be other consolidated document. An to which the payment relates. received by CBP within one year of the individual air waybill or bill of lading (B) The following information must be date the fee for which the refund is is a bill representing an individual included with the quarterly payment: sought was paid to CBP; and shipment that has its own unique bill (1) The identity of the calendar (2) In the case of an underpayment, number and tracking number, where the quarter to which the payment relates; interest will accrue on the amount not shipment is assigned to a single ultimate (2) The identity of the facility for paid from the date payment was consignee, and no lower bill unit exists. which the payment is made and the port initially due to the date that payment to Payment must be made to CBP on a code that applies to that location and, if CBP is made. quarterly basis and must cover the the payment covers multiple facilities, (D) The underpayment or failure of a individual fees for all subject the identity of each facility and its port carrier or operator using an express transactions that occurred during a code and the portion of the payment consignment carrier facility or a calendar quarter. that pertains to each port code; and centralized hub facility to pay all (ii) Maximum and minimum fees. (3) The total number of individual air applicable fees owed to CBP pursuant to Subject to the provisions of paragraph waybills and individual bills of lading paragraph (b)(4) of this section may (b)(1)(i)(A) and (b)(4) of this section covered by the payment, and a result in the assessment of penalties relating to the express consignment breakdown of that total for each facility under 19 U.S.C. 1592, liquidated carrier facility or centralized hub facility covered by the payment according to the damages, and any other action fee, the fee per individual air waybill or number covered by formal entry authorized by law. bill of lading charged under paragraph procedures, the number covered by * * * * * (b)(1)(i)(A) of this section must not informal entry procedures specified in ■ 4. Add appendices A and B to read as exceed $1, as adjusted in accordance §§ 128.24(e) and 143.23(j) of this follows:
APPENDIX A TO PART 24—CUSTOMS COBRA USER FEES AND LIMITATIONS IN 19 CFR 24.22
FY14 Base fee/ limitation (subject 19 U.S.C. 58c 19 CFR 24.22 Customs COBRA user to adjustment in fee/limitation accordance with the FAST Act)
(a)(1) ...... (b)(1)(i) ...... Fee: Commercial Vessel Arrival Fee ...... $437 (b)(5)(A) ...... (b)(1)(ii) ...... Limitation: Calendar Year Maximum for Commercial Vessel 5,955 Arrival Fees. (a)(8) ...... (b)(2)(i) ...... Fee: Barges and Other Bulk Carriers Arrival Fee ...... 110 (b)(6) ...... (b)(2)(ii) ...... Limitation: Calendar Year Maximum for Barges and Other 1,500 Bulk Carriers Arrival Fees. (a)(2) ...... (c)(1) ...... Fee: Commercial Truck Arrival Fee ...... 5.50 (b)(2) ...... (c)(2) and (3) ...... Limitation: Commercial Truck Calendar Year Prepayment 100 Fee. (a)(3) ...... (d)(1) ...... Fee: Railroad Car Arrival Fee ...... 8.25 (b)(3) ...... (d)(2) and (3) ...... Limitation: Railroad Car Calendar Year Prepayment Fee .... 100 (a)(4) ...... (e)(1) and (2) ...... Fee and Limitation: Private Vessel or Private Aircraft First 27.50 Arrival/Calendar Year Prepayment Fee. (a)(6) ...... (f) ...... Fee: Dutiable Mail Fee ...... 5.50 (a)(5)(A) ...... (g)(1)(i) ...... Fee: Commercial Vessel or Commercial Aircraft Passenger 5.50 Arrival Fee. (a)(5)(B) ...... (g)(1)(ii) ...... Fee: Commercial Vessel Passenger Arrival Fee (from one 1.93 of the territories and possessions of the United States). (a)(7) ...... (h) ...... Fee: Customs Broker Permit User Fee ...... 138
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APPENDIX B TO PART 24—CUSTOMS COBRA USER FEES AND LIMITATIONS IN 19 CFR 24.23
FY14 Base fee/ limitation (subject 19 U.S.C. 58c 19 CFR 24.23 Customs COBRA user to adjustment in fee/limitation accordance with the FAST Act)
(b)(9)(A) (ii) ...... (b)(1)(i)(A) ...... Fee: Express Consignment Carrier/Centralized Hub Facility $1 Fee, Per Individual Waybill/Bill of Lading Fee. (b)(9)(B)(i) ...... (b)(1)(i)(B)(2) ...... Limitation: Minimum Express Consignment Carrier/Central- 0.35 ized Hub Facility Fee. (b)(9)(B)(i) ...... (b)(1)(i)(B)(2) ...... Limitation: Maximum Express Consignment Carrier/Central- 1 ized Hub Facility Fee. (a)(9)(B)(i); ...... (b)(1)(i)(B)(1) ...... Limitation: Minimum Merchandise Processing Fee ...... 25 (b)(8)(A)(i) ...... (a)(9)(B)(i); ...... (b)(1)(i)(B)(1) ...... Limitation: Maximum Merchandise Processing Fee ...... 485 (b)(8)(A)(i) ...... (b)(8)(A)(ii) ...... (b)(1)(ii) ...... Fee: Surcharge for Manual Entry or Release ...... 3 (a)(10)(C)(i) ...... (b)(2)(i) ...... Fee: Informal Entry or Release; Automated and Not Pre- 2 pared by CBP Personnel. (a)(10)(C)(ii) ...... (b)(2)(ii) ...... Fee: Informal Entry or Release; Manual and Not Prepared 6 by CBP Personnel. (a)(10)(C)(iii) ...... (b)(2)(iii) ...... Fee: Informal Entry or Release; Automated or Manual; Pre- 9 pared by CBP Personnel. (b)(9)(A)(ii) ...... (b)(4) ...... Fee: Express Consignment Carrier/Centralized Hub Facility 1 Fee, Per Individual Waybill/Bill of Lading Fee.
PART 111—CUSTOMS BROKERS DEPARTMENT OF HEALTH AND MD 20993–0002, 240–402–6357, HUMAN SERVICES [email protected]. ■ 5. The general authority citation for SUPPLEMENTARY INFORMATION: Food and Drug Administration part 111 and the specific authority I. Background citation for § 111.96 continue to read as 21 CFR Part 866 follows: Upon request, FDA has classified the BCR–ABL quantitation test as class II Authority: 19 U.S.C. 66, 1202 (General [Docket No. FDA–2017–N–5995] (special controls), which we have Note 3(i), Harmonized Tariff Schedule of the determined will provide a reasonable United States), 1624, 1641. Medical Devices; Immunology and assurance of safety and effectiveness. In * * * * * Microbiology Devices; Classification of addition, we believe this action will Section 111.96 also issued under 19 U.S.C. the BCR–ABL Quantitation Test enhance patients’ access to beneficial 58c, 31 U.S.C. 9701. innovation, in part by reducing AGENCY: Food and Drug Administration, regulatory burdens by placing the * * * * * HHS. device into a lower device class than the § 111.19 [Amended] ACTION: Final order. automatic class III assignment. The automatic assignment of class III ■ SUMMARY: The Food and Drug 6. In § 111.19(c): occurs by operation of law and without Administration (FDA or we) is ■ a. Remove the phrase ‘‘100 and 138’’ any action by FDA, regardless of the classifying the BCR–ABL quantitation level of risk posed by the new device. in the first sentence; and test into class II (special controls). The Any device that was not in commercial ■ b. Remove the amounts ‘‘100’’ and special controls that apply to the device distribution before May 28, 1976, is ‘‘138’’ in each place that they appear. type are identified in this order and will automatically classified as, and remains be part of the codified language for the within, class III and requires premarket § 111.96 [Amended] BCR–ABL quantitation test’s approval unless and until FDA takes an ■ classification. We are taking this action 7. In § 111.96(c): action to classify or reclassify the device because we have determined that ■ a. In the first sentence, remove the (see 21 U.S.C. 360c(f)(1)). We refer to classifying the device into class II words ‘‘of 138’’ and add in their place these devices as ‘‘postamendments (special controls) will provide a the words ‘‘specified in § 24.22(h) of devices’’ because they were not in reasonable assurance of safety and this chapter’’; and commercial distribution prior to the effectiveness of the device. We believe date of enactment of the Medical Device ■ b. Remove the figure ‘‘138’’ in each this action will also enhance patients’ Amendments of 1976, which amended place that it appears. access to beneficial innovative devices, the Federal Food, Drug, and Cosmetic in part by reducing regulatory burdens. Ronald D. Vitiello, Act (the FD&C Act). DATES: This order is effective November Acting Deputy Commissioner, U.S. Customs FDA may take a variety of actions in and Border Protection. 1, 2017. The classification was appropriate circumstances to classify or applicable on July 22, 2016. Approved: October 30, 2017. reclassify a device into class I or II. We FOR FURTHER INFORMATION CONTACT: may issue an order finding a new device Timothy E. Skud, Ryan Lubert, Center for Devices and to be substantially equivalent under Deputy Assistant Secretary of the Treasury. Radiological Health, Food and Drug section 513(i) of the FD&C Act (21 [FR Doc. 2017–23878 Filed 10–31–17; 8:45 am] Administration, 10903 New Hampshire U.S.C. 360c(i)) to a predicate device that BILLING CODE 9111–14–P Ave., Bldg. 66, Rm. 4545, Silver Spring, does not require premarket approval.
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We determine whether a new device is Under either procedure for De Novo assurance of safety and effectiveness, substantially equivalent to a predicate classification, FDA is required to but there is sufficient information to by means of the procedures for classify the device by written order establish special controls that, in premarket notification under section within 120 days. The classification will combination with the general controls, 510(k) of the FD&C Act and part 807 (21 be according to the criteria under provide reasonable assurance of the U.S.C. 360(k) and 21 CFR part 807, section 513(a)(1) of the FD&C Act. safety and effectiveness of the device for respectively). Although the device was automatically its intended use (see 21 U.S.C. FDA may also classify a device placed within class III, the De Novo 360c(a)(1)(B)). After review of the through ‘‘De Novo’’ classification, a classification is considered to be the information submitted in the request, common name for the process initial classification of the device. we determined that the device can be authorized under section 513(f)(2) of the We believe this De Novo classification classified into class II with the FD&C Act. Section 207 of the Food and will enhance patients’ access to establishment of special controls. FDA Drug Administration Modernization Act beneficial innovation, in part by has determined that these special of 1997 established the first procedure reducing regulatory burdens. When FDA controls, in addition to general controls, for De Novo classification (Pub. L. 105– classifies a device into class I or II via will provide reasonable assurance of the 115). Section 607 of the Food and Drug the De Novo process, the device can safety and effectiveness of the device. Administration Safety and Innovation serve as a predicate for future devices of Therefore, on July 22, 2016, FDA Act modified the De Novo application that type, including for 510(k)s (see 21 issued an order to the requestor process by adding a second procedure U.S.C. 360c(f)(2)(B)(i)). As a result, other classifying the device into class II. FDA (Pub. L. 112–144). A device sponsor device sponsors do not have to submit is codifying the classification of the may utilize either procedure for De a De Novo request or premarket device by adding 21 CFR 866.6060. We Novo classification. approval application in order to market have named the generic type of device a substantially equivalent device (see 21 BCR–ABL quantitation test, and it is Under the first procedure, the person U.S.C. 360c(i), defining ‘‘substantial identified as a reverse transcription- submits a 510(k) for a device that has equivalence’’). Instead, sponsors can use quantitative polymerase chain reaction not previously been classified. After the less-burdensome 510(k) process, (RT-qPCR) test for the quantitation of receiving an order from FDA classifying when necessary, to market their device. BCR–ABL1 expressed on the the device into class III under section International Scale (IS) and control II. De Novo Classification 513(f)(1) of the FD&C Act, the person transcripts in total RNA from whole then requests a classification under On January 19, 2016, Asuragen, Inc., blood of diagnosed t(9;22) positive section 513(f)(2). submitted a request for De Novo chronic myeloid leukemia (CML) Under the second procedure, rather classification of the QuantideX qPCR patients during monitoring of treatment than first submitting a 510(k) and then BCR–ABL IS Kit. FDA reviewed the with tyrosine kinase inhibitors. This test a request for classification, if the person request in order to classify the device is not intended for the diagnosis of determines that there is no legally under the criteria for classification set CML. marketed device upon which to base a forth in section 513(a)(1) of the FD&C FDA has identified the following risks determination of substantial Act. to health associated specifically with equivalence, that person requests a We classify devices into class II if this type of device and the measures classification under section 513(f)(2) of general controls by themselves are required to mitigate these risks in table the FD&C Act. insufficient to provide reasonable 1.
TABLE 1—BCR–ABL QUANTITATION TEST RISKS AND MITIGATION MEASURES
Identified risks Mitigation measures/21 CFR section
False negative results ...... Special Controls (1) and (2) (21 CFR 866.6060(b)(1) and (2)). False positive results ...... Special Controls (1) and (2) (21 CFR 866.6060(b)(1) and (2)). Lack of traceability of results ...... Special Control (3) (21 CFR 866.6060(b)(3)).
FDA has determined that special that does not individually or Automatic Class III Designation)’’ have controls, in combination with the cumulatively have a significant effect on been approved under OMB control general controls, address these risks to the human environment. Therefore, number 0910–0844; the collections of health and provide reasonable assurance neither an environmental assessment information in part 814, subparts A of safety and effectiveness. In order for nor an environmental impact statement through E, regarding premarket a device to fall within this classification, is required. approval, have been approved under and thus avoid automatic classification IV. Paperwork Reduction Act of 1995 OMB control number 0910–0231; the in class III, it would have to comply collections of information in part 807, This final order establishes special with the special controls named in this subpart E, regarding premarket final order. The necessary special controls that refer to previously notification submissions, have been controls appear in the regulation approved collections of information approved under OMB control number codified by this order. This device is found in other FDA regulations. These subject to premarket notification collections of information are subject to 0910–0120; and the collections of requirements under section 510(k) of the review by the Office of Management and information in 21 CFR parts 801 and FD&C Act. Budget (OMB) under the Paperwork 809, regarding labeling have been Reduction Act of 1995 (44 U.S.C. 3501– approved under OMB control number III. Analysis of Environmental Impact 3520). The collections of information in 0910–0485. The Agency has determined under 21 the guidance document ‘‘De Novo CFR 25.34(b) that this action is of a type Classification Process (Evaluation of
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List of Subjects in 21 CFR Part 866 (iii) Information that demonstrates the labeling must include an indication for Biologics, Laboratories, Medical performance characteristics of the test, use statement that reads ‘‘This test is not devices. including: intended for the diagnosis of CML’’; and (A) For indications for use based on (ii) A detailed description of the Therefore, under the Federal Food, a threshold established in a predicate performance studies conducted to Drug, and Cosmetic Act and under device of this generic type, device comply with paragraph (b)(1)(iii) of this authority delegated to the Commissioner performance data from either a method section and a summary of the results. of Food and Drugs, 21 CFR part 866 is comparison study to the predicate (3) Your device output must include amended as follows: device or through a clinical study results on the International Scale (IS) PART 866—IMMUNOLOGY AND demonstrating clinical validity using and your assay must include multipoint MICROBIOLOGY DEVICES well-characterized prospectively or calibration controls traceable to a retrospectively obtained clinical relevant international reference panel ■ 1. The authority citation for part 866 specimens, as appropriate, (e.g., the World Health Organization continues to read as follows: representative of the intended use International Genetic Reference Panel Authority: 21 U.S.C. 351, 360, 360c, 360e, population; for quantitation of BCR–ABL mRNA). (B) For indications for use based on a 360j, 360l, 371. Dated: October 26, 2017. threshold not established in a predicate ■ 2. Add § 866.6060 to subpart G to read Lauren Silvis, as follows: device of this generic type, device performance data from a clinical study Chief of Staff. § 866.6060 BCR–ABL quantitation test. demonstrating clinical validity using [FR Doc. 2017–23742 Filed 10–31–17; 8:45 am] (a) Identification. A BCR–ABL well-characterized prospectively or BILLING CODE 4164–01–P quantitation test is identified as a retrospectively obtained clinical reverse transcription-quantitative specimens, as appropriate, polymerase chain reaction (RT-qPCR) representative of the intended use DEPARTMENT OF THE INTERIOR test for the quantitation of BCR–ABL1 population; expressed on the International Scale (IS) (C) Device reproducibility data 25 CFR Chapters I through III and V and control transcripts in total RNA generated, using a minimum of three through VII from whole blood of diagnosed t(9;22) sites, of which at least two sites must be positive chronic myeloid leukemia external sites, with two operators at 30 CFR Chapters II, IV, V, VII, and XII (CML) patients during monitoring of each site. Each site must conduct a treatment with tyrosine kinase minimum of three runs per operator 36 CFR Chapter I inhibitors. This test is not intended for over non-consecutive days evaluating a the diagnosis of CML. minimum of five different BCR–ABL 43 CFR Subtitles A and B (b) Classification. Class II (special concentrations that span and are well controls). The special controls for this distributed over the measuring range 50 CFR Chapters I and IV device are: and include MR3 (0.1 percent IS). [178D0102DM, DS6CS00000, (1) Premarket notification Results shall be reported as the standard DLSN00000.000000, DX.6CS25] submissions must include the following deviation and percentage coefficient of information: variation for each level tested. Final Report: Review of the (i) The indication for use must Prespecified acceptance criteria must be Department of the Interior Actions That indicate the variant(s) for which the provided and followed; Potentially Burden Domestic Energy assay was designed and validated, for (D) Device precision data using example BCR–ABL e13a2 and/or e14a2. clinical samples to evaluate the within- AGENCY: Office of the Secretary, Interior. (ii) A detailed description of all lot, between-lot, within-run, between ACTION: Availability of Final Report. components in the test, including the run, and total variation; following: (E) Device linearity data using a SUMMARY: The Department of the (A) A detailed description of the test dilution panel created from clinical Interior (Interior or the Department) is components, all required reagents, samples; announcing the availability of and instrumentation and equipment, (F) Device analytic sensitivity data, publishing in its entirety the Final including illustrations or photographs of including limit of blank, limit of Report: Review of the Department of the non-standard equipment or methods; detection, and limit of quantification; Interior Actions that Potentially Burden (B) Detailed documentation of the (G) Device specificity data, including Domestic Energy prepared pursuant to device software including, but not interference and cross-contamination; Executive Order 13783, ‘‘Promoting limited to, standalone software and Energy Independence and Economic applications and hardware-based (H) Device stability data, including Growth.’’ devices that incorporate software; real-time stability of samples under DATES: November 1, 2017. (C) Methodology and protocols for various storage times, temperatures, and ADDRESSES: The report is available control procedures for the assay to allow freeze-thaw conditions. online at: https://www.doi.gov/sites/ (iv) Identification of risk mitigation reporting on the International Scale; doi.gov/files/uploads/interior_energy_ (D) A description of the result elements used by your device, including actions_report_final.pdf. outputs, analytical sensitivity of the a detailed description of all additional assay, and the range of values that will FOR FURTHER INFORMATION CONTACT: procedures, methods, and practices _ be reported; and incorporated into the instructions for Mark Lawyer, 202–208–5257, mark (E) A description of appropriate use that mitigate risks associated with [email protected]. internal and external controls that are testing using your device. SUPPLEMENTARY INFORMATION: Executive recommended or provided. The (2) Your 21 CFR 809.10 compliant Order 13783, ‘‘Promoting Energy description must identify those control labeling must include the following: Independence and Economic Growth,’’ elements that are incorporated into the (i) The intended use in your 21 CFR 82 FR 16093 (March 31, 2017), declared testing procedure. 809.10(a)(2) and (b)(2) complaint a national policy of promoting clean and
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safe development of domestic energy IV. RESULTS OF INTERIOR’S REVIEW pursued a comprehensive review of resources, while avoiding regulatory OF POTENTIALLY ENERGY– Interior’s energy activities and this final burdens that unnecessarily limit energy BURDENING ACTIONS report details the results of this review. production, constrain economic growth, A. Bureau of Land Management II. Interior’s Role in Domestic Energy or hinder job creation. The Executive B. Bureau of Ocean Energy Production, Development, and Use Order directed the heads of agencies to Management undertake an immediate review of all C. Bureau of Safety and Interior is the steward and manager of agency actions (including regulations, Environmental Enforcement America’s natural resources, including orders, guidance documents, policies, D. Office of Natural Resources oil, gas, coal, hydropower, and and other similar agency actions) that Revenue renewable energy resources. Interior potentially burden the development or E. Office of Surface Mining manages lands, subsurface rights, and use of domestically produced energy Reclamation and Enforcement offshore areas that produce resources, giving particular attention to F. U.S. Fish and Wildlife Service approximately 19 percent of the oil, natural gas, coal, and nuclear energy G. Bureau of Reclamation Nation’s energy. Energy development on resources. The Executive Order H. Bureau of Indian Affairs public lands increases domestic energy instructed agencies not to include I. Integrated Activity Plan for Oil & production, provides alternatives to agency actions that are required by law, Gas in the National Petroleum overseas energy resources, creates jobs, necessary for the public interest, or Reserve—Alaska and enhances the Nation’s energy consistent with the policy set forth in J. Mitigation security. The Office of Natural the Order. The Executive Order directed K. Climate Change Resources Revenue (ONRR) collects an agencies to submit reports describing V. OUTREACH SUMMARY average of over $10 billion annual the actions identified through their VI. CONCLUSION revenue from onshore and offshore reviews and providing specific VII. ATTACHMENTS energy production, one of the Federal recommendations that could alleviate or Secretarial Orders and Secretary’s Government’s largest sources of non-tax eliminate aspects of agency actions that Memorandum revenue. burden domestic energy production to Report of the Secretary of the Interior Nine of Interior’s bureaus have energy the Vice President, the Director of the programs and responsibilities: Final Report: Review of the Department • Office of Management and Budget The Bureau of Land Management of the Interior Actions That Potentially (OMB), the Assistant to the President for (BLM) administers onshore energy and Burden Domestic Energy Economic Policy, the Assistant to the subsurface minerals on certain public President for Domestic Policy, and the I. Purpose of this Report lands. • The Office of Surface Mining Chair of the Council on Environmental ‘‘Energy is an essential part of Quality. Reclamation and Enforcement (OSMRE) American life and a staple of the world works with states and tribes to oversee The Department of the Interior has economy. Achieving American energy environmentally sound coal mining aggressively pursued a comprehensive dominance begins with recognizing that operations; review of Interior’s energy activities. we have vast untapped domestic energy • The Bureau of Ocean Energy Interior is publishing the Final Report: reserves. For too long America has been Management (BOEM) oversees offshore Review of the Department of the Interior held back by burdensome regulations on oil, gas, and wind development. Actions that Potentially Burden our energy industry. The Department is • The Bureau of Safety and Domestic Energy (October 24, 2017) committed to an America-first energy Environmental Enforcement (BSEE) is prepared pursuant to Executive Order strategy that lowers costs for the lead Federal agency charged with 13783 in its entirety in this Notice. hardworking Americans and maximizes improving safety and ensuring Interior also is making the Final Report the use of American resources, freeing environmental protection related to the available on its Web site at: https:// us from dependence on foreign oil.’’ offshore energy industry, primarily oil www.doi.gov/sites/doi.gov/files/ and natural gas, on the U.S. Outer uploads/interior_energy_actions_report_ Secretary Zinke, May 1, 2017, Secretarial Order 3351 Strengthening Continental Shelf (OCS). final.pdf. Please note that while the • The Bureau of Reclamation (BOR) is format of the Final Report in this Notice the Department of the Interior’s Energy Portfolio the second largest producer of may vary slightly from the version hydroelectric power in the United available on the website due to Federal This final report describes the States, generating over 40 million Register style guidelines, the substance Department of the Interior’s (Interior or megawatt-hours of electricity each year; of both versions is the same. Department) progress in implementing • The Bureau of Indian Affairs (BIA) Executive Order (EO) 13783, Promoting David L. Bernhardt, oversees leasing of tribal and Indian Energy Independence and Economic land for energy development. Deputy Secretary. Growth, dated March 28, 2017. EO13783 • The Office of Natural Resources DEPARTMENT OF THE INTERIOR requires the head of each agency to Revenue (ONRR) collects revenue from carry out a review of all agency actions Final Report: Review of the Department energy production and development. that potentially burden the development • The United States Geological of the Interior Actions That Potentially or use of domestically produced energy Survey (USGS) conducts research and Burden Domestic Energy resources, with particular attention to assessments on the location, quantity, October 24, 2017 oil, natural gas, coal, and nuclear energy and quality of energy resources, resources. See EO13783, section 2(a). including the economic and I. PURPOSE OF THIS REPORT On May 8, 2017, the Office of environmental effects of resource II. INTERIOR’S ROLE IN DOMESTIC Management and Budget (OMB) issued extraction and use. ENERGY PRODUCTION, guidance to agencies on the contents of The U.S. Fish and Wildlife Service DEVELOPMENT, AND USE a draft report. See OMB Guidance M– (FWS) and National Park Service (NPS), III. IMMEDIATE ACTION— 17–24 (May 8, 2017). The Secretary of while not directly involved in the SECRETARIAL ORDERS the Interior (Secretary) has aggressively production or development of energy as
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part of their missions, may have Federal authorizations, permits, regulations, and independence and bringing jobs back to or non-Federal oil and gas or mineral agreements. See Secretarial Order 3351, communities across the country.’’ These inholdings. These agencies also manage ‘‘Strengthening the Department of the directives foster responsible lands and trails through which Interior’s Energy Portfolio’’ (May 1, development of coal, oil, gas, and important energy-related infrastructure 2017). Establishing this position that renewable energy on Federal and tribal may pass in order to bring affordable reports directly to the Secretary assures lands and initiate review of agency energy to American families throughout that developing America’s energy actions directed by EO13783. our country. These agencies therefore resources in a responsible way to create B. Secretarial Order 3349—American have the ability to reduce potential jobs and enhance the energy security of Energy Independence burdens on domestic energy production, the United States will remain a central development, or transmission. priority. The remaining six Secretarial The most overarching Secretarial Order reducing burdens on energy III. Immediate Action—Secretarial orders are: • Secretarial Order 3348—Concerning development is Secretarial Order 3349, Orders the Federal Coal Moratorium; ‘‘American Energy Independence’’ When the United States is a leader in • Secretarial Order 3349—American (March 29, 2017), which directed developing its energy resources, it is Energy Independence; bureaus to examine specific actions less dependent on other nations, leading • Secretarial Order 3350—America- impacting oil and gas development, and to a stronger America. Interior is First Offshore Energy Strategy; any other actions affecting other energy committed to an America-First energy • Secretarial Order 3352—National development. It revoked Secretarial strategy that fosters domestic energy Petroleum Reserve—Alaska; Order 3330, ‘‘Improving Mitigation production in order to keep energy • Secretarial Order 3353—Greater Policies and Practices of the Department prices low for American families, Sage-Grouse Conservation and of the Interior,’’ and directed bureaus businesses, and manufacturers. Every Cooperation with Western States; and and offices to review all actions taken • drop of oil, Mcf of natural gas or MW Secretarial Order 3354—Supporting pursuant to that Order for possible of offshore wind energy produced here and Improving the Federal Onshore Oil reconsideration, modification, or in the U.S. benefits the American and Gas Leasing Program and Federal rescission. It also directed each bureau workers employed in those operations Solid Mineral Leasing Program. and office to review actions taken and also frees us from dependence on These Orders direct Interior bureaus regarding rescinded Executive Orders foreign energy resources. Beyond and offices to take immediate and related to climate change. Further, it enhancing America’s energy security, specific actions to identify and alleviate directed the review of the following low cost energy benefits the American or eliminate burdens on domestic specific actions impacting energy consumer and enhances American energy development. Within this development: manufacturing competitiveness, making framework, bureaus have identified • BLM Hydraulic Fracturing Rule American businesses more competitive actions and, in some cases, already (RIN 1004–AE26) (see discussion below globally. Secretary Zinke recognizes that made progress in alleviating or under IV.A.i.); development of energy resources on eliminating the energy burdens. • BLM Waste Prevention, Production public lands increases the Nation’s A. Secretary Order 3348—Concerning Subject to Royalties, and Resource domestic energy supply, provides the Federal Coal Moratorium Conservation Rule (RIN 1004–AE14) alternatives to overseas energy (see discussion below under IV.A.ii); resources, generates revenue, creates One of Secretary Zinke’s first acts was • NPS Non-Federal Oil and Gas jobs, and enhances national security. to sign Secretarial Order 3348, Rights Rule (RIN 1024–AD78); and Eliminating harmful regulations and ‘‘Concerning the Federal Coal • FWS National Wildlife Refuge unnecessary policies will require a Moratorium’’ (March 29, 2017), which System; Management of Non-Federal Oil sustained and focused effort. That said, removed the moratorium on the Federal and Gas Rights (RIN 1018–AX36) (see the Department will strike the coal leasing program by revoking a prior discussion below under IV.F.). appropriate balance in order to make Secretarial Order (Secretarial Order use of our Nation’s domestic resource 3338, ‘‘Discretionary Programmatic C. Secretarial Order 3350—America- wealth while also ensuring careful Environmental Impact Statement to First Offshore Energy Strategy attention to safe and environmentally Modernize the Federal Coal Program’’). This Order enhances opportunities for responsible operations both onshore and Secretarial Order 3348 promotes energy exploration, leasing, offshore, and promoting conservation American energy security, job creation, conservation stewardship, and stewardship. and proper conservation stewardship. It development on the Outer Continental Secretary Zinke has issued seven directs BLM to process coal lease Shelf (OCS), thereby providing jobs, Secretarial Orders to improve domestic applications and modifications energy security, and revenue for the onshore and offshore energy production expeditiously and directs Interior American people by reinitiating the that further these principles. To ensure bureaus and offices to make appropriate five-year planning process. Among other energy policies receive the highest level changes to policy and guidance actions, it directed the review of the attention across Interior, the Secretary documents to further President Donald following regulatory actions that impact established the Counselor to the Trump’s policy of promoting American offshore energy development: Secretary for Energy Policy position to energy independence and economic • BOEM Notice to Lessees (NTL) No. coordinate the energy policy of Interior, growth. (See further discussion below at 2016–N01 entitled, ‘‘Notice to Lessees including, but not limited to, promoting IV.x and E.) and Operators of Federal Oil and Gas, responsible development of energy on In addition to lifting the coal and Sulfur Leases, and Holders of public lands managed and administered moratorium, Secretary Zinke took other Pipeline Right-of-Way and Right-of-Use by Interior, developing strategies to actions to advance American energy and Easement Grants in the Outer eliminate or minimize regulatory independence. In announcing these Continental Shelf’’; burdens that unnecessarily encumber actions he said, ‘‘Today I signed a series • BOEM Offshore Air Quality energy, and promoting efficient and of directives to put America on track to Control, Reporting, and Compliance effective processing of energy-related achieve the President’s vision for energy Rule (RIN 1010–AD82);
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• BSEE Oil and Gas and Sulfur Administrative Procedure Act or other Order 3349 ordered BLM to review the Operations in the Outer Continental laws and regulations, and will weigh the rule and report to the Assistant Shelf-Blowout Preventer Systems and results of such procedures accordingly Secretary—Land and Minerals Well Control (RIN 1014–AA11); and in its decisionmaking process. Management on whether the rule is • BOEM and BSEE Oil and Gas and fully consistent with the policy IV. Results of Interior’s Review of Sulfur Operations on the Outer expressed in EO13783. Potentially Energy-Burdening Actions Continental Shelf—Requirements for The BLM conducted an initial review Exploratory Drilling on the Arctic Outer A. Bureau of Land Management of the rule and found that it was Continental Shelf Rule (RIN 1082– The Bureau of Land Management inconsistent with the policy stated in AA00). administers more land than any other EO13783 that ‘‘it is in the national D. Secretarial Order 3352—National Federal agency, consisting of more than interest to promote clean and safe Petroleum Reserve—Alaska 245 million surface acres and 700 development of our nation’s vast energy million acres of subsurface mineral resources, while at the same time This Order provides for clean and safe development. In response to EO13783 avoiding regulatory burdens that development of oil and gas resources in and Secretarial Orders 3348, 3349, and unnecessarily encumber energy the National Petroleum Reserve in 3354, BLM is revising and reforming its production, constrain economic growth, Alaska, recognizing that prudent leasing processes, improving the Coal and prevent job creation.’’ The BLM development of these resources is Management Program, and delaying, recognizes that the 2016 final rule poses essential to ensuring the Nation’s revising, or rescinding burdensome a substantial burden on industry, geopolitical security. (See discussion regulations and policies to improve particularly those requirements that are below at IV.J.) domestic energy production and set to become effective on January 17, E. Secretarial Order 3353—Greater support jobs. 2018. The BLM issued a proposed rule Sage-Grouse Conservation and Below is a list of specific actions BLM that was published in the Federal Cooperation With Western States is undertaking to reduce burdens on the Register on October 5, 2017, seeking comment on temporarily suspending or Sage-grouse protections can affect production of energy on BLM managed delaying certain requirements until energy development because these resources. January 17, 2019, to reduce the activities often share the same land i. Review of the Hydraulic Fracturing regulatory burden on the energy across the 11 western states and 67 Rule industry. This will provide industry million acres of Federal land that are Executive Order 13783 required additional time to plan for and engineer affected by sage grouse habitat. This Interior to review the final rule entitled, responsive infrastructure modifications Order establishes a Sage-Grouse Review ‘‘Oil and Gas; Hydraulic Fracturing on that will comply with the regulation. Team that includes representatives from Federal and Indian Lands,’’ 80 FR 16128 If finalized, the revised regulation will the BLM, FWS, and U.S. Geological (Mar. 26, 2015). Secretarial Order 3349 provide significant additional phase-in Survey (USGS) to review the 2015 Sage- directed BLM to undertake that review. time to oil and gas operators. Grouse Plans and associated policies, On July 25, 2017, BLM published a The BLM intends to work with giving appropriate weight to the value of proposed rule to rescind the 2015 industry to develop metrics, including energy and other development on public hydraulic fracturing rule because the key timelines or benchmarks, and the lands within BLM’s overall multiple-use compliance costs of the existing 2015 reduction of flaring from Federal and mission and to be consistent with the rule are not justified (82 FR 34464). All Indian lands over time. policy set forth in Secretarial Order 32 states with Federal oil and gas leases Following up on its initial review, 3349, ‘‘American Energy and some tribes currently have laws or BLM has reviewed the 2016 final rule in Independence.’’ (See discussion below regulations that address hydraulic accordance with the policies set forth in at IV.A.vii.) fracturing operations. Thus, rescinding EO13783. The BLM is currently drafting F. Secretarial Order 3354—Supporting the rule has the potential to reduce a proposed rule that would eliminate and Improving the Federal Onshore Oil regulatory burdens by enabling oil and overlap with the Environmental and Gas Leasing Program and Federal gas operations to occur under one set of Protection Agency’s (EPA) Clean Air Act Solid Mineral Leasing Program regulations within each state or tribal authorities while also clarifying regulatory provisions related to the This Order intends to ensure that lands, rather than two. Rescinding this beneficial use of gas on Federal and quarterly oil and gas lease sales are rule may result in additional interest in Indian lands. consistently held and to identify ways oil and gas development on public to promote the exploration and lands, especially under higher The BLM has identified the delay of development of Federal onshore oil and commodity prices. effective date rulemaking as a gas and solid mineral resources, Interior has identified this proposed deregulatory action under EO13771. including improving quarterly lease rescission as a deregulatory action iii. Revise Oil and Gas; Onshore Orders sales, enhancing the Federal onshore under EO13771. Nos. 3, 4 and 5 solid mineral leasing program, and improving the permitting processes. See ii. Temporarily Suspend or Postpone The burdens placed on industry discussion below at IV.A. Certain Requirements and Review to through these 3 new regulations are Details of progress in accordance with Rescind or Revise the Venting and being reviewed as directed under the aforementioned Executive and Flaring Rule EO13783. These 3 rulemakings, which Secretarial Orders are described below, Executive Order 13783 required were promulgated and issued as well as relevant proposed actions that Interior to review the final rule entitled, concurrently, updated and replaced are currently under review. Prior to ‘‘Oil and Gas; Waste Prevention, BLM’s Onshore Orders for site security, reaching a final determination regarding Production Subject to Royalties, and oil measurement, and gas measurement any proposed action, Interior may be Resource Conservation,’’ 81 FR 83008 regulations, respectively, that had been required to comply with the notice and (Nov. 18, 2016), also known as the in place since 1989. They are codified comment requirements of the ‘‘Venting and Flaring’’ rule. Secretarial in the Code of Federal Regulations at 43
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CFR parts 3173, 3174, and 3175. establishing greater efficiencies in the process for integrating an MLP into the External and internal oversight reviews oil and gas leasing process. Policy land use planning process. The BLM has prompted these rulemakings and found Instruction Memorandum (IM) 2010– extended this IM several times while the that many of BLM’s production 117 established a process for leasing oil BLM completes the public scoping and measurement and accountability and gas resources on Federal lands. The analysis for MLPs. An unintended policies were outdated and BLM intended the IM to reduce the consequence of this policy has been that inconsistently applied. The new rules backlog of unissued leases. However, many areas open to oil and gas leasing also address some of the Government the IM has resulted in longer time have been deferred from leasing while Accountability Office (GAO) concerns frames in analyzing and responding to they await the completion of the MLP for high risk with regard to Interior’s protests and appeals, as well as longer process. production accountability. These 3 lead times for BLM to clear and make The BLM has undertaken an effort to regulations impose new cost burdens on available parcels for oil and gas lease revise the leasing reform and MLP operators as a result of oil and gas sales. It has also resulted in increased policy and to re-establish the BLM facility infrastructure changes. The cost workload and staffing needs to conduct Resource Management Plans (RMPs) as estimates for each individual rule are as additional upfront environmental the source of lands available for fluid follows: analysis. minerals leasing. The BLM is currently • Order 3, Site Security: $31.2 million The BLM has undertaken an effort to evaluating existing MLP efforts with the in one-time costs, plus an $11.7 million revise and reform its leasing policy and goal of ending this approach. The BLM increase in annual operating costs; to streamline the leasing process from expects to rescind this IM and complete • Order 4, Oil Measurement: $3.3 beginning (i.e. receipt of an Expression the revision of the above BLM million in one-time costs, plus a $4.6 of Interest) to end (competitively Handbook, as well as any other relevant million increase in annual operating offering the nominated acreage in a BLM handbooks, in the first quarter of costs; and lease sale). Under existing policies and FY 2018. • Order 5, Gas Measurement: $23.3 procedures, the process can take up to Because this change will re-establish million one-time cost, plus $12.1 16 months (and sometimes longer) from the RMP as the source of land allocation million increase in annual operating the time lands are nominated to the time decisions for fluid minerals, it will costs. a lease sale occurs. The BLM is result in more streamlined National The new regulations also provide a examining ways to significantly reduce Environmental Policy Act (NEPA) process for approving new technology this time by as much as 8–10 months. analysis and a shorter timeframe for that meets defined performance goals. The BLM plans to complete revisions to acreage nominations to make it to a Some provisions of the rule may have the leasing process in the first quarter of competitive lease sale. Since extra time added regulatory burdens that FY 2018. and NEPA analysis adds to uncertainty unnecessarily encumber energy A shorter period from nomination to for industry and use of taxpayer dollars production, constrain economic growth, sale will reduce the number of by the Department, removing these and prevent job creation. nominated acres awaiting competitive process-related steps has the effect of The BLM is currently assessing the sale at any given time and will increase decreasing uncertainty. rules to determine 1) if additional industry certainty regarding the acreage The primary measure of success in revisions are needed beyond the it holds. As a result, industry will be removing regulatory burden from the already-implemented phase-in period able to plan for and execute exploration rescission of the MLP policy will be in for certain provisions, 2) the ability for and production strategies earlier, and the elimination of related nominated industry to introduce new technologies respond more effectively to changing acreage sale deferral pending through a defined process, rather than market conditions. completion of MLP NEPA. While there through an exception request, and 3) the Reducing the average time from will continue to be acreage sale deferrals built-in waivers or variances. The BLM acreage nomination to lease sale will be for various reasons, completion of MLP expects to complete its assessment of BLM’s measure of success. The BLM NEPA will no longer be one of them. possible changes to alleviate burdens does not control what acreage industry The time frames will be shorter. that may have added to constraints on nominates because market conditions vi. Revise Policy, Oil and Gas; IM 2013– energy production, economic growth can fluctuate dramatically; therefore, 177, ‘‘National Environmental Policy and job creation by the end of the fourth total nominated acreage awaiting sale is Act (NEPA) Compliance for Oil and Gas quarter of FY 2017. not likely to be a measure of success. The new regulations have built in Until the policy revisions are Lease Reinstatement Petitions’’ necessary waivers or variances. The completed, BLM is setting quarterly This IM directs all BLM oil and gas BLM’s establishment of a phase-in lease sale acreage targets to address the leasing Field Offices to: 1) ensure RMP period for the new site security and acreage currently nominated. The BLM conformance; 2) evaluate the adequacy production measurement regulations is is also identifying ways to augment staff of existing NEPA analysis and an interim measure. The BLM will support for potential sales in those documentation; and 3) complete any measure success over the phase-in offices with the greatest numbers of necessary new or supplemental NEPA period in terms of the production acres nominated. analysis and documentation before measurements, royalties paid, a approving a Class I or Class II oil and v. Rescind Policy, Oil and Gas; IM 2013– reduction in under-reporting of gas lease reinstatement petition. This IM 101, ‘‘Oil and Gas Leasing Reform— production, and greater site security for has resulted in additional analysis and Master Leasing Plans (MLPs)’’ production facilities. review time that often involves another This policy announced the surface management agency and, in iv. Revise and Replace Policy, Oil and incorporation of Master Leasing Plans some instances, has led to adding new Gas; IM 2010–117, ‘‘Oil and Gas Leasing (MLPs) in the oil and gas leasing lease stipulations prior to lease Reform—Land Use Planning and Lease process, further explained in Chapter V reinstatement. Parcel Reviews’’ of the BLM Handbook H–1624–1, Lease reinstatements were previously This policy will be replaced with entitled ‘‘Planning for Fluid Mineral considered a ministerial matter, revised guidance for the purpose of Resources.’’ The IM establishes a entailing a commensurate level of
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review and process to complete. impacts to the Greater Sage-grouse affect where, when, and how energy and However, IM 2013–177 changed that in before the parcels are offered for leasing. minerals are developed within the range significant ways, resulting in additional It also requires additional analysis and of the GRSG. NEPA review and significantly greater staff time to process drilling permit Pursuant to Secretarial Order 3353, timeframes for completing the approvals near Greater Sage-grouse ‘‘Greater Sage-Grouse Conservation and reinstatement. Rescinding or modifying areas. Cooperation with Western States,’’ an this policy will greatly reduce The BLM’s effort to avoid listing of Interior Sage-Grouse Review Team decisionmaking timeframes on lease the sage-grouse as an endangered (Review Team) is working with the reinstatement requests. The BLM species has affected many programs and State-Federal Sage-Grouse Task Force to expects to complete review of this a large area geographically. With new identify opportunities for greater policy in the first quarter of FY 2018 technologies and capabilities, such as collaboration, to better align Federal and and promptly finalize by the second long-reach horizontal boreholes in the State plans for the GRSG, to support quarter. oil and gas industry, the impacts are not local economies and jobs, and consider The BLM expects that changes to this as significant as once perceived. new and innovative ways to conserve policy will refocus the emphasis back to Likewise, the administrative burden is GRSG in the long-term. Pursuant to the existing NEPA analysis and information, better understood and is likely less than Secretarial Order, in August 2017, the which will significantly shorten the once thought. Efforts are underway to Review Team submitted a report to the time it takes to consider and process a better understand these conditions and Secretary summarizing their review and lease reinstatement request. The policy define ways in which energy production providing recommendations regarding changes will provide greater certainty and sage-grouse protection may next steps. and reduced expense for energy continue to co-exist. Greater consistency The Review Team’s report identified development companies and result in and predictability will provide greater a number of potential actions to production occurring sooner. stability for industry. The BLM is enhance the coordination and The BLM will measure the reduction currently assessing the policy to integration of state and Federal GRSG in burden in terms of the average time determine what revisions are needed conservation efforts. it takes to consider a complete lease and expects to complete this review in Success will be measured and reinstatement request. the fourth quarter of FY 2017. Similar to MLPs, in the interim, BLM When the BLM completes this effort, evaluated in terms of improved working must identify and evaluate the status of industry will have greater certainty in relationships among local, state, tribal, each current lease reinstatement request leasing, exploration and production and Federal units of Government and in in order to determine whether and how activities due to availability of acreage terms of improved partner and to expedite review and processing. for oil and gas development and a stakeholder understanding of effective There are no other interim measures, defined process and timeframe for GRSG conservation measures and of the waivers or variances that are relevant to consideration of Greater Sage-grouse science underlying them. the process. impacts. The BLM anticipates that some of the The BLM will measure success by actions outlined in the Review Team’s vii. Revise Policy, Oil and Gas: IM 2016– report to the Secretary could be 140, ‘‘Implementation of Greater Sage- assessing changes in industry’s interest in nominating acreage for competitive implemented in the near future through grouse Resource Management Plan changes in policy (through issuance of Revisions or Amendments—Oil & Gas sale and developing existing leases in areas affected by the Greater Sage-grouse IMs, for example), technical assistance, Leasing and Development Sequential or training. Other actions may require Prioritization’’ amendments to RMPs. As industry increases its understanding and gains amending the land use plans. On Policy IM 2016–140 is being reviewed confidence in the consistency and October 11, 2017, the Department of the for the purpose of enhancing predictability of BLM actions relative to Interior, through BLM, initiated a public consistency and certainty for oil and gas Greater Sage-grouse, then acreage scoping process for RMP amendment(s) development in areas of sage-grouse nominations, permit requests, and with associated NEPA documents. The habitat as directed by EO13783. This IM development should stabilize and be comments may be submitted until provides guidance on prioritizing tied to market forces rather than tied to November 27, 2017. Depending on the implementation decisions for BLM oil BLM Greater Sage-grouse decisions. scope and significance, such and gas leasing and development, to be The BLM has been processing acreage amendments could take upwards of 9 consistent with Approved Resource nominations in Greater Sage-grouse months to 3 years to complete. Management Plan Amendments for the areas and making them available for ix. Improve Land Use Planning and Rocky Mountain and Great Basin competitive sale. In addition, existing NEPA Act Policies and Procedures: Greater Sage-grouse Regions and nine leases are being developed. This is Approved Resource Management Plans evidence, in the interim, that both BLM The BLM’s land use planning in the Rocky Mountain Greater Sage- and industry are developing innovative regulations and policies are outlined in grouse Region (collectively referred to as ways to adapt energy development in 43 CFR subparts 1601 and 1610, the Greater Sage-grouse Plans). The IM light of Greater Sage-grouse protections. Resource Management Planning; BLM applies to activities in the areas covered Manual Section 1601; and BLM by both the Rocky Mountain and Great viii. Review of General Greater Sage- Handbook 1601–1. The BLM’s policies Basin Regions Records of Decision, Grouse Conservation Policies and Plans for complying with NEPA are outlined issued by BLM in September 2015, and In September 2015, the BLM in BLM Handbook 1790–1 and the also contains reporting requirements for incorporated Greater Sage-grouse Interior NEPA implementing regulations communication between BLM State (GRSG) conservation measures into its are at 43 CFR part 46. Taken together, Offices and the Washington Office land use plans within the range of the these regulations, manuals, and (WO). The IM may have added GRSG. In September 2016, the BLM handbooks establish the policies and administrative burdens since it requires issued a number of IMs to help guide procedures BLM follows when additional analysis and staff time to the implementation of the GRSG plans. conducting land use planning and screen parcels and weigh potential These GRSG plans and policies will NEPA compliance, including specific
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actions related to energy and mineral internal manuals or handbooks. Other (RMPs) are the basis for every on-the- development. actions would require changes in statute ground action the BLM undertakes, Pursuant to the Secretarial or regulation (such as new Categorical which includes determinations on lands Memorandum of March 27, 2017, Exclusions), may depend on other suitable for future energy leasing and entitled ‘‘Improving the Bureau of Land agencies to act, or may require front-end permitting opportunities. The BLM uses Management’s Planning and National investments in data or information land use designations as a part of the Environmental Policy Act Processes,’’ technology. land use planning process to guide the the BLM is identifying potential actions management of certain geographic areas x. Review Coal-Related Policies and it could take to streamline its planning towards particular objectives, values or Actions and NEPA review procedures. As part of uses. this identification process, BLM is On March 29, 2017, Secretary Zinke While some land use designations are working with state and local elected issued Secretarial Order 3348 to lift the made by Congressional, Secretarial, or officials and groups, including the Federal coal moratorium imposed by Presidential action (and therefore Western Governors’ Association and the previous Secretarial Order 3338. This require specific land management National Association of Counties, to Order conformed to the directive in principles), the BLM has used broad engage and gather input. The BLM also EO13783 requiring the Secretary to lift discretion in establishing other formal has invited tribes and the public to the moratorium and commence Federal and less-formal land use designations to provide input on how the Agency can coal leasing activities consistent with all set additional management criteria for make its planning and NEPA review applicable laws and regulations. public lands. In some cases, these procedures timelier, less costly, and The BLM is working to process coal criteria may conflict with other multiple more responsive to local needs. lease applications and modifications use objectives for the land—such as Pursuant to the Secretarial ‘‘expeditiously’’ in accordance with energy development—and therefore Memorandum, in September 2017, BLM regulations and guidance that existed have the potential to burden domestic will submit a report to the Secretary before Secretarial Order 3338. The BLM energy development on public lands by outlining recommended actions. also ceased activities associated with reducing access to leasable acreage. Once implemented, the actions preparation of the Federal Coal Program At the time of this report, BLM recommended in the report should Programmatic Environmental Impact identified over 60 different land use reduce the time and/or cost of Statement (PEIS). complying with BLM’s statutory designations used in RMPs, many of Consistent with EO13783 and which may lead to additional direction to conduct land use planning Secretarial Order 3348, the BLM is under section 202 of FLPMA and restrictions on the use of the land. One reviewing its policies, with the intent to example is the Area of Critical complying with NEPA when evaluating update or rescind them. proposed actions. These Environmental Concern (ACEC) recommendations also should lead to xi. Other Recommendations for designation, which is authorized by more-standardized analyses in BLM’s Alleviating or Eliminating Actions That Federal Land Policy and Management NEPA reviews at the land use plan and Could Directly or Indirectly Burden Act (FLPMA). The Eastern Interior RMP, project level. Energy Exploration or Production finalized on January 3, 2017, designated The reduction in burden will be over 2 million acres of ACEC—much of • Review Land Use Designations measured and evaluated in terms of which was recommended for closure to processing times and/or costs of The BLM land use planning process mineral entry and mineral leasing in authorizing energy development. ensures that public lands are managed order to best meet the objectives of the Some of the actions outlined in BLM’s in accordance with the intent of ACEC. The chart included below report to the Secretary will be actions Congress as stated in FLPMA (43 U.S.C. provides a visual reference for the that BLM will be able to implement in 1701 et seq.), under the principles of increased use of this land use the near future, such as improvements multiple use and sustained yield. The designation especially in more recent to business processes, or updates to BLM’s Resource Management Plans RMPs.
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The BLM will further evaluate the an onsite inspection team to determine decision, such as a protest on a land use need for these numerous land use the best location for the well, road, and plan or on a subsequent decision to designations as a part of the ongoing facilities; identify site-specific concerns include a parcel in an oil and gas lease review of their planning process. The and potential environmental impacts sale. This process provides multiple BLM will also work with state, local, associated with the proposal and opportunities to protest every step of the and tribal partners to incorporate potential options for mitigating these process of offering public lands for oil efficiencies and update policies on the impacts, including COAs. Site-specific and gas leasing. To date, many state use of land use designations that may concerns include, but are not limited to: offices, such as CO, MT, NM, UT, and burden or hinder energy development Well spacing; riparian and wetland WY are receiving protests on every oil on Federal lands. areas; visual resource management such and gas parcel offered through the as painting infrastructure specific Notice of Competitive Lease Sale • Review Use of Leasing Stipulations colors; and cultural and wildlife survey process. and Conditions of Approval needs to comply with the National In the past, protests were parcel- Aside from providing for leasing with Historic Preservation Act (NHPA) and specific on issues unique to the parcel standard lease terms in the land use the Endangered Species Act (ESA). in question. In recent years, the reasons planning process, BLM may apply lease Lease stipulations and additional for protesting every parcel in the sale stipulations to a specific unit at the conditions of approval added at the are broad-based and non-parcel specific, planning stage. Stipulations set permitting stage burden energy such as general concerns on climate additional criteria to which an operator development on public lands by adding change or hydraulic fracturing. In FY must adhere once the acreage is leased. additional development costs; 2016, 72 percent of parcels offered for Stipulations include no surface increasing the complexity of the drilling lease were protested. By comparison, in occupancy restrictions (NSO), which operations; and extending project FY 2012, only 17 percent of parcels close acreage to surface-disturbing timeframes. The 2008 Energy Policy and received protests. The number of parcels activities, timing restrictions (TL), Conservation Act Phase III study found offered on the original sale notice which close acreage to surface- that of the 128 Federal land use plans decreased from 2,247 in FY 2012 to 820 disturbing activities during certain surveyed for inventory, approximately in FY 2016. timeframes, and other controlled surface 3,125 individual stipulations and 157 If a protest is still pending on the day use (CSU) restrictions, which include types of COAs were being used.1 The of sale, the parcel can still be offered more specific restrictions such as sound BLM does not have updated figures at during the sale but the protest must be and visual impacts or construction the time of this report. resolved prior to the lease being issued requirements. In some cases, these and the protest may diminish interest in • stipulations may have an impact on the Review Protest Regulations and bidding. This in turn can delay payment attractiveness of the lease sale parcel in Policy of the State’s share of the bonus bids— the bidding process. Current BLM regulations allow any which occurred most recently in the The BLM may also assign Conditions party to file a protest on a BLM State of New Mexico. In September of Approval (COA) at the permitting 2016, BLM hosted a record-setting lease stage when an operator first applies for 1 https://www.blm.gov/sites/blm.gov/files/EPCA_ sale generating $145 million in revenue, an Application for Permit to Drill (APD). III_Inventory_Onshore_Federal_Oil_Gas.pdf; p. 42, of which $80 million was owed to the Once an APD is filed, the BLM will send 109. state Mineral Leasing Act revenue
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sharing provision. As a result of the Below are specific actions BOEM is FR 30886). Upon its completion, the number of protested parcels and the undertaking to reduce burdens on the new program will replace the 2017– length of time it took to resolve all production of energy offshore in the 2022 program. protests, the payment to the State of America-First Offshore Energy Strategy, Secretarial Order 3350 directly New Mexico was delayed approximately as delineated in EO13795 and S.O. implements EO13795, and also 250 days. 3350: advances Interior’s implementation of This uptick in the protest process and EO13783 by providing for the the inability to reach conclusive i. Air Quality Rule reevaluation of actions that impact resolutions in a timely manner is a The BOEM has been re-examining the exploration, leasing, and development burden on oil and natural gas provisions of the air quality proposed of our OCS energy resources. This development on public lands. A rule published on April 5, 2016 (81 FR Secretarial Order enhances regulatory change may be necessary to 19718), which would provide the first opportunities for energy exploration, limit redundant protests that hinder substantive updates to the regulation leasing, and development on the OCS by orderly development. Alternatively, the since 1980. The proposed rule establishing regulatory certainty for OCS BLM is investigating the value in addressed air quality measurement, activities. In accordance with this creating regional leasing teams that evaluation, and control with respect to Secretarial Order, Interior is reviewing could build sufficient capacity to offer oil, gas, and sulphur operations on the potential regulatory changes to reduce parcels during the BLM’s quarterly lease OCS of the United States in the central burden on offshore energy production, sales. and western Gulf of Mexico and the area development, and use. In addition, on July 13, Secretary xii. Revise Energy-Related Collections of offshore the North Slope Borough in Alaska. Interior is currently reviewing Zinke offered 75.9 million acres offshore Information Under the Paperwork Texas, Louisiana, Mississippi, Alabama, Reduction Act recommendations on how to proceed, including promulgating final rules for and Florida for oil and gas exploration The BLM anticipates revising energy- certain necessary provisions and issuing and development. The region-wide lease related collections of information under a new proposed rule that may withdraw sale conducted on August 16, 2017, was the Paperwork Reduction Act (e.g., certain provisions and seek additional the first offshore sale under the OCS Oil Approval of Operations (1004–0213) input on others. and Gas Leasing Program for 2017–2022. and Application for Permit to Drill Under this program, 10 region-wide (1014–0025)) to reduce administrative ii. Financial Assurance for lease sales are scheduled for the Gulf, burden on energy development and use Decommissioning where resource potential and industry through simplification of forms and Notice to Lessees No. 2016–N01, for interest are high, and oil and gas associated instructions/guidance and which implementation has been infrastructure is well established. Two ceasing collection of information that is suspended, would make substantial Gulf lease sales will be held each year unnecessary or lacks practical utility. changes to BOEM’s requirements for and include all available blocks in the combined Western, Central, and Eastern B. Bureau of Ocean Energy companies to provide financial Gulf of Mexico Planning Areas. Management assurance to meet decommissioning obligations. The BOEM has been v. Seismic Permitting The BOEM is responsible for undertaking a thorough review of the managing development of the Nation’s NTL, including gathering stakeholder Currently BOEM is one of two Federal offshore energy and mineral resources input. agencies required to take separate through offshore leasing, resource regulatory actions in order to permit evaluation, review, and administration iii. Arctic Rule geological and geophysical surveying on of oil and gas exploration and On July 15, 2016, BOEM and the the OCS. These seismic surveys, which development plans, renewable energy BSEE promulgated a final rule, ‘‘Oil and are conducted by applicants, enable development, economic analysis, NEPA Gas and Sulfur Operations on the Outer BOEM to make informed business analysis, and environmental studies. Continental Shelf—Requirements for decisions regarding oil and gas reserves, The BOEM promotes energy security, Exploratory Drilling on the Arctic Outer engineering decisions regarding the environmental protection and economic Continental Shelf’’ (81 FR 46478). construction of renewable energy development through responsible, Interior is reviewing the requirements projects, and informed estimates science-informed management of for exploratory drilling conducted from regarding the composition and volume offshore conventional and renewable mobile drilling units within the Arctic of marine mineral resources. This energy and mineral resources. The OCS (Beaufort Sea and Chukchi Sea information is also used to ensure the BOEM carries out these responsibilities Planning Areas). Interior is considering proper use and conservation of OCS while ensuring the receipt of fair market full rescission or revision of this rule, energy resources and the receipt of fair value for U.S. taxpayers on OCS leases, including associated information market value for the leasing of public and balancing the energy demands and collection requirements. Review of this lands. mineral needs of the Nation with the rule is expected to allow greater The ongoing delay in reaching protection of the human, marine, and utilization of the Arctic drilling season. decisions on Federal authorization of coastal environments. seismic surveys is a burden that hinders Since the publication of EO13771 on iv. Oil and Gas Leasing on the Outer domestic energy development by January 30, 2017, BOEM has been Continental Shelf preventing industry from being able to reviewing all aspects of its programs to Secretary Zinke directed development better determine the size and location of identify regulations and guidance of a new 5-year OCS oil and gas leasing potential energy resources below the documents that potentially burden the program to spur safe and responsible seafloor. The BOEM experts believe that development or use of domestically energy development offshore. On July 3, these surveys can be authorized with produced energy resources beyond the 2017, BOEM published a request for appropriate mitigation measures degree necessary to protect the public information and comments on the consistent with the protection required interest or otherwise comply with the preparation of a new 5-year National by applicable Federal laws, primarily law. OCS Leasing Program for 2019–2024 (82 the Marine Mammal Protection Act
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(MMPA) and the Endangered Species first is the Well Control and Blowout i. Revise Well Control and BOP Rule Act (ESA). While BOEM is responsible Preventer (BOP) Rule (81 FR 25888); the (WCR) for ultimately issuing a permit to allow second is the Arctic Exploratory Drilling these activities to move forward, no Rule (the Arctic Rule) (81 FR 46478), The WCR was issued on April 29, seismic surveying can be done without which was issued jointly by BSEE and 2016, and consolidated new equipment MMPA authorization by the National BOEM. Both rules (as described below) and operational requirements for well Marine Fisheries Service (NMFS). For revised older regulations and added control, including drilling, completion, this reason, the issuance of certain some new requirements that potentially workover, and decommissioning seismic permits by BOEM has been held burden development of domestic operations. The rule also incorporated up in a years-long process awaiting offshore oil and gas production. The or updated references to numerous NMFS authorization. BOEM and NMFS BSEE continues to identify specific industry standards and established new are currently working on ways to issues in both final rules that, if revised requirements reflecting advances in streamline review, as directed in EO or eliminated through a future areas such as well design and control, 13795, Sec. 3(c). rulemaking process, could alleviate casing and cementing, real-time The Department believes that some those burdens without reducing the monitoring (RTM), subsea containment improvements can be made through safety or environmental protections of of leaks and discharges, and blowout simple program initiatives, such as the rules. The BSEE is beginning the preventer requirements. In addition, the NMFS assigning dedicated staff to the process of drafting timelines and final rule adopted several reforms permits or allowing BOEM to determine developing stakeholder engagement recommended by several bodies that MMPA compliance for the purposes of strategies for potential revision to both investigated the Deepwater Horizon BOEM-related activities in accordance sets of regulations. These rules fit into incident. with EO 13807. Finding a genuinely the category of ‘‘Other Actions that The BSEE is considering several effective solution may warrant statutory Potentially Burden Development or Use revisions to its regulations. Among changes as well as reorganizing of Energy.’’ The BSEE has also those considerations is a rulemaking to departmental responsibilities within the identified policies that should be re- revise the following aspects of the new Executive Branch in order to streamline examined. Those are: well control regulations, including but opportunities to increase efficiency. not limited to: • review decommissioning • vi. Revise Energy-Related Collections of infrastructure removal requirements and revising the requirements for Information Under the Paperwork timelines for infrastructure; sufficient accumulator capacity and Reduction Act • remotely-operated vehicle (ROV) clarify Civil Penalties Guidance; capability to both open and close reams The BOEM is reviewing four energy- and on subsea BOPs (i.e., to only require related information collections, two of • review current policies associated capability to close the rams); which are related to the Arctic Rule, and with taking enforcement actions against • revising the requirement to shut in two of which collect information that is contractors. no longer needed. platforms when a lift boat approaches The BSEE already completed within 500 feet; C. Bureau of Safety and Environmental publication of a final rule revising • extending the 14-day interval Enforcement requirements of 30 CFR 250.180 to between pressure testing of BOP The BSEE ensures the safe and extend the period of time before a lease systems to 21 days in some situations; expires due to cessation of operations responsible exploration, development, • clarifying that the requirement for from 180 days to 1 year, thus allowing and production of America’s offshore weekly testing of two BOP control operators greater flexibility to plan energy resources through regulatory stations means testing one station (not exploration activities.2 The BSEE also oversight and enforcement. The BSEE is both stations) per week; improved its civil penalty program focused on fostering secure and reliable • simplifying testing pressures for energy production for America’s future through the creation of a Civil Penalty Enforcement Specialist in each district verification of ram closure; and through a program of efficient • permitting, appropriate regulations, in the Gulf of Mexico Region to serve as revising or deleting the requirement compliance monitoring and a liaison with District and Headquarters to submit test results to BSEE District enforcement, technical assessments, throughout a civil penalty case, Managers within 72 hours. inspections, and incident investigations. providing clarity and consistency These changes are expected to strike As a steward of the Nation’s OCS oil, among civil penalty cases. the appropriate balance in order to gas, and mineral resources, the Bureau The BSEE is also reviewing the maintain important safety and protects Federal royalty interests by Production Safety Systems Rule (30 CFR environmental protections while also ensuring that oil and gas production part 250, subpart H), based on ensuring development may continue. methods maximize recovery from Department guidance received between The BSEE initiated review of potential underground reservoirs. April and May of 2017. If areas for regulatory changes to this rule in July The BSEE continues the efforts begun revision are identified, the BSEE would 2017. The interim step before issuing a earlier this calendar year to review and tier it behind the Well Control Rule proposed rule to revise existing seek stakeholder input on opportunities (WCR) and the Arctic Rule in terms of regulations is to seek input on potential to reduce burden on the regulated potential burden reduction. areas of reform from the stakeholders. community while maintaining Below are the specific details of The BSEE is in the process of necessary safety and environmental BSEE’s review to identify additional determining the most effective way to protections. Specifically, the BSEE is regulations and policies that potentially engage stakeholders to provide focusing its review on 2 final rules, burden development or use of energy. meaningful and constructive input on published in 2016, regarding safety and regulatory reform efforts related to well environmental protection for oil and gas 2 See, ‘‘Oil and Gas and Sulphur Operations in control. As a result of stakeholder exploration, development and the Outer Continental Shelf—Lease Continuation outreach, the above list of potential production activities on the OCS. The Through Operations,’’ 82 FR 26741 (June 9, 2017). reforms may be increased.
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ii. Revise Arctic Rule iii. Decommissioning Infrastructure INCs to determine which INCs are The Arctic Rule was published on Removal Requirements appropriate for civil penalty assessment, July 15, 2016 (81 FR 46478), and revised The BSEE will re-examine the NTL and to act as a liaison with the District existing regulations and added new 2010–G05, ‘‘Decommissioning Guidance and Headquarters (HQ) throughout a prescriptive and performance-based for Wells and Platforms,’’ to determine civil penalty case. This effort has greatly requirements for exploratory drilling whether additional flexibility should be assisted in proving clarity and conducted from mobile drilling units provided to better account for facility consistency to the development of civil and related operations on the OCS and well numbers and size, as well as penalty cases. within the Beaufort Sea and Chukchi timing consideration that can arise in vii. Energy-Related Information Sea Planning Areas (Arctic OCS). After the case of financial distress or Collections under the Paperwork conducting its review to eliminate bankruptcy of companies. Any changes Reduction Act burdens and increase economic to the NTL will not have an impact on opportunities, BSEE is considering a companies’ underlying The BSEE has approximately 25 several revisions to the rule, including decommissioning obligations, but could information collections associated with but not limited to: provide more flexibility to allow for our regulations and guidance that must • modifying requirement to capture cash-flow management and ultimately be renewed every 3 years on a rolling water-based muds and cuttings; increase assurance that basis. The renewal process involves an • eliminating the requirement for a decommissioning obligations can be analysis of whether each information cap and flow system and containment fulfilled without government expense. collection continues to be necessary and dome that are capable of being located if whether it requires modification. iv. Lease Continuation Through Through this process, BSEE at the well site within 7 days of loss of Operations well control; continuously reviews our forms and the • eliminating the reference to the This action was completed on June 9, information we collect and reduces the expected return of sea ice from the 2017, when final rule 1014–AA35, ‘‘Oil collection burden wherever appropriate. requirement to be able to drill a relief and Gas and Sulphur Operations in the Additionally, there may be further well within 45 days of loss of well Outer Continental Shelf-Lease burden reduction associated with control; and Continuation Through Operations,’’ was potential revisions to the Well Control • eliminating the reference to published in the Federal Register (82 and Arctic rules once final equivalent technology from the mudline FR 26741). Section 121 of the determinations have been made with cellar requirement. Consolidated Appropriations Act of respect to specific action on those The BOEM has also identified an 2017 mandated that BSEE revise the regulations. requirements of 30 CFR 250.180 relating opportunity to reduce burden on D. Office of Natural Resources Revenue operators. A joint rulemaking would to maintaining a lease beyond its likely be undertaken again. primary term through continuous The ONRR is responsible for ensuring Among the potential benefits of the operations. The final rule changed all of revenue from Federal and Indian items listed above is the possibility of the references to the period of time mineral leases is effectively, efficiently, allowing greater flexibility for operators before which a lease expires due to and accurately collected, accounted for, cessation of operations from ‘‘180 days’’ to continue drilling into hydrocarbon analyzed, audited, and disbursed to and ‘‘180th day’’ to a ‘‘year’’ and from zones later into the Arctic drilling recipients. The ONRR collects an ‘‘180-day period’’ to a ‘‘1-year period.’’ season. Current leasing strategies in the average of over $10 billion annual The rule has become effective and is Arctic constrain future exploratory revenue from onshore and offshore allowing operators greater flexibility to activities to which this rule would energy production, one of the Federal plan exploration activities. apply. government’s largest sources of non-tax Success will result in a reduction in v. Contractor Incidents of revenue. burdens associated with exploration of Noncompliance i. Royalty Policy Committee the Nation’s Arctic oil and gas reserves The BSEE currently has a policy that while also providing appropriate safety calls for issuing notices of In an effort to ensure the public and environmental protection tailored noncompliance (INCs) to contractors as continues to receive the full value of to this unique environment. well as operators in certain instances. natural resources produced on Federal Prior to proposing a rulemaking to The BSEE will examine whether this lands, Secretary Zinke signed a charter make the changes above, BSEE and policy is achieving the desired establishing a Royalty Policy Committee BOEM plan to undertake stakeholder deterrence value or whether an (RPC) to provide regular advice to the engagement activities. As a result of alternative compliance incentive should Secretary on the fair market value of and stakeholder engagement, the list of be considered and the policy revised. collection of revenues from Federal and potential areas for proposed reform may There are currently several ongoing Indian mineral and energy leases, change or grow. This process will court actions that could result in including renewable energy sources. enhance our ability to engage the public adjustments to this policy. The BSEE The RPC may also advise on the and stakeholders, as well as ensure our will consider all of this information potential impacts of proposed policies ability to engage in a robust consultation while examining the policy. and regulations related to revenue with tribes and Alaska Native Claims collection from such development, Settlement Act corporations. vi. Civil Penalties including whether a need exists for Stakeholder engagement will have the Since 2013, the BSEE civil penalty regulatory reform. The group consists of added benefit of allowing BSEE and program has continued to improve its 28 local, tribal, state, and other BOEM to receive input on how the processes and programs. For example, stakeholders and will serve in an agencies calculate the primary lease in 2016, each of the Districts in the Gulf advisory nature. The Secretary’s term in order to provide a more tailored of Mexico Region (GOMR) created the Counselor to the Secretary for Energy approach to the limited drilling position of Civil Penalty Enforcement Policy chairs the RPC. The first meeting windows in the Arctic. Specialist to assist with the review of all will be held on October 4, 2017.
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ii. 2017 Valuation Rule Mining Control and Reclamation Act Notices (TDNs) to the state regulatory On April 4, 2017, ONRR published a (SMCRA) regulatory program. authority under Inspection and In compiling the following list of proposed rule that would rescind the Enforcement (INE)-35. In addition, INE– actions for review, OSMRE considered 2017 Valuation Rule. The ONRR, after 24, issued on May 26, 1987, requires direct and indirect impacts to the coal considering public feedback, recognized OSMRE to issue a TDN to state industry, as well as impacts to the states that implementing the 2017 Valuation regulatory authorities upon receipt of a with primary responsibility for Rule would be contrary to the rule’s citizen’s complaint. regulating coal mining activities, Between 2011 and 2016, 882 TDNs stated purpose of offering greater pursuant to the SMCRA. were issued to state regulatory simplicity, certainty, clarity, and programs. On an annual basis, the Recommendations for Alleviating or consistency in product valuation. The majority (39 or 74 percent) of those Eliminating Burdensome Actions ONRR determined that the 2017 resulted from citizen’s complaints. In Valuation Rule unnecessarily burdened i. Disapproval of the Stream Protection addition, an evaluation of data during the development of Federal and Indian Rule 2013 found that the number of TDNs coal beyond what was necessary to The SPR was published on December issued when the state inspector does not protect the public interest or otherwise participate was determined to be 6.4 comply with the law. ONRR therefore 20, 2016, and became effective on January 19, 2017. In accordance with percent of the total oversight repealed the rule in its entirety and inspections, versus 1.5 percent when reinstated the valuation regulations in the Congressional Review Act, Congress passed, and the President signed, a the state inspector accompanied the effect prior that rule. (82 FR 36934, OSMRE inspector. State regulatory August 7, 2017). resolution of disapproval of the SPR on February 16, 2017, as Public Law 115– authorities, particularly in the E. Office of Surface Mining 5. No provisions of the SPR have been Appalachian Region, have expressed Reclamation and Enforcement enforced since passage of the resolution. concern that the number of hours required to prepare TDN responses can The OSMRE ensures, through a In addition, OSMRE will formally document the CRA nullification of the be significant. nationwide regulatory program, that In an effort to address these concerns, coal mining is conducted in a manner SPR by publishing in the Federal Register a document that replaces the a joint OSMRE and State/Tribal Work that protects communities and the Group assessed various topics, environment during mining, restores the SPR text with the regulations that were in place prior to January 19, 2017. This including the use of TDNs and land to beneficial use following mining, independent inspections. In a report and mitigates the effects of past mining will result in the removal of any amendments, deletions, or other issued on July 30, 2014, the Work Group by aggressively pursuing reclamation of made six specific recommendations for modifications associated with the abandoned mine lands. The OSMRE’s the TDN process and four nullified rule, and the reversion to the statutory role is to promote and assist its recommendations regarding the text of all regulations in effect partner states and tribes in establishing independent inspection process. immediately prior to the effective date a stable regulatory environment for coal Interstate Mining Compact Commission of the SPR. mining. The proposed level of (IMCC) member states have requested regulatory grant funding provides for The OSMRE estimates the elimination of this rule will save industry OSMRE revisit these recommendations, the efficient and effective operations of and others, in an effort to implement the programs at a level consistent with the approximately $82 million annually, and will reduce the amount of time recommendations. In addition, OSMRE anticipated obligations of State and will revisit and revise, as needed, the tribal regulatory programs to account for states and OSMRE are expending in the processing of permit applications and specific policy directives governing the the Nation’s demand for coal mine use of TDNs and independent permitting and production. monitoring performance during the life of the operation. inspections in cooperation with the On February 16, 2017, President IMCC to reduce the amount of time Trump signed a resolution under the Interior has identified the CRA states and OSMRE are expending to Congressional Review Act to annul the nullification and subsequent action by process TDNs. Stream Protection Rule (SPR) (81 FR OSMRE to conform the CFR to the The review will commence this 93066, December 20, 2016). This rule Congressional action as a deregulatory calendar year, following specific imposed substantial burdens on the coal action under EO 13771. timelines and benchmarks to be industry and threatened jobs in established jointly with IMCC. communities dependent on coal. As ii. Work with Interstate Mining Compact described below, OSMRE has drafted a Commission (IMCC) to Revisit and iii. Work with IMCC to Revise or Rescind Federal Register document to conform Revise Ten-Day Notices and OSMRE Memorandum and Directive the Code of Federal Regulations to the Independent Inspections—Directives INE–35—TDNs and Permit Defects legislation and return the regulations to INE–24, INE–35, REG–8 On November 15, 2010, the OSMRE their previous status and anticipates Under revisions to OSMRE Directive Director issued a memorandum publication on or about September 30, REG–8, which establishes policies, directing OSMRE staff to apply the TDN 2017. In the interim, OSMRE has procedures and responsibilities for process and Federal enforcement to ensured that the SPR is not being conducting oversight of state and tribal permitting issues under approved implemented in any way and that regulatory programs, OSMRE conducts regulatory programs. In support of this regulation is occurring under the pre- 10 percent of all routine oversight memorandum, on January 31, 2011, the existing regulatory system. inspections with 24 hours’ notice to the Director reissued Directive INE–35, The OSMRE is reviewing additional state regulatory authority. If the state regarding policy and procedures for the actions to reduce burdens on coal inspector is unavailable to accompany issuance of TDNs. This directive development, including, for example, the OSMRE inspector, OSMRE will requires the issuance of a TDN reviewing the state program amendment conduct the inspection alone. These and whenever a permit issued by the state process to reduce the time it takes to other oversight inspections sometimes regulatory authority (RA) contains a formally amend an approved Surface result in the issuance of Ten-Day ‘‘permit defect,’’ which the directive
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defines as meaning ‘‘a type of violation move forward in a timely manner with Chapter 11 reorganization, and either consisting of any procedural or needed program amendments. have or are expected to replace all self- substantive deficiency in a permit- Based upon the results of an internal bonds with other forms of financial related action taken by the RA control review (ICR) and work with the guarantees. (including permit issuance, permit state/tribal work group, OSMRE is In addition to the issuance of the revision, permit renewal, or transfer, developing new training guides and policy advisory on self-bonding, assignment, or sale of permit rights).’’ opportunities for states and revising OSMRE accepted a petition for The directive further states that OSMRE Directive STP–1 to improve the state rulemaking submitted March 3, 2016, by will not review pending permitting program amendment process. The WildEarth Guardians. The petition decisions and will not issue a TDN for OSMRE will also review the process requested that OSMRE revise its self- an alleged violation involving a possible with the Office of the Solicitor to bonding regulations to ensure that permit defect where the RA has not evaluate opportunities for process companies with a history of insolvency, taken the relevant permitting action improvement. In addition, the recent and their subsidiary companies, not be (e.g., permit issuance, permit revision, approval by OMB of the information allowed to self-bond coal mining permit renewal, or transfer, assignment, collection requirements of 30 CFR part operations. or sale of permit rights). 732 was conditioned upon OSMRE Limiting the use of self-bonds, as Since the issuance of this policy and developing new guidance and indicated in the policy advisory or associated directive, concerns have been supporting documents for states to use potentially through a rulemaking, could raised by some states and industry when preparing amendments to impact a company’s ability to continue stakeholders regarding the potential approved programs. The OSMRE mining. In addition, there will likely be impact on mining operations where the intends for these actions to reduce its an increased demand and potential RA has issued a permit, revision, or processing time for state program negative impact on the availability of renewal, and the operator has amendments. third party surety bonding. The revision of Directive STP–1 and On January 17, 2017, the GAO commenced activities based upon RA development of training guides is announced that it will conduct an audit approval. The OSMRE in cooperation anticipated to be completed this of financial assurances for reclaiming with the IMCC will revisit the policy calendar year. OSMRE will track coal mines (Job Code 101326) that will and directive and revise or rescind, as processing times once the revised focus on the role of OSMRE in appropriate to provide more certainty to directive and training have been implementing and overseeing the the industry in the state RA permitting implemented, and compare results to Surface Mining Control and process. previous years. The OMB approval of Reclamation Act’s requirements related The review will commence this new guidance for Part 732 is required by to financial assurances. calendar year; specific timelines and July 31, 2020. In view of the current status of the benchmarks will be established jointly self-bonding bankruptcies and recent v. Revise or Rescind OSMRE Policy with IMCC. executive orders concerning Advisory and Proposed Rulemaking: rulemakings, OSMRE will reconsider iv. Revise Processing State Program Self-Bonding Amendments—Directive STP–1 the scope of the policy advisory and On August 5, 2016, the OSMRE revise or rescind, as appropriate. In Directive STP–1, issued in October Director issued a policy advisory on addition, OSMRE will revisit the need 2008, establishes policy and procedures self-bonding. The advisory was in direct for and scope of any potential for review and processing of response to three of the largest coal rulemaking in response to the amendments to state regulatory mine operators in the nation filing for previously accepted petition. programs. Most changes in state law or Chapter 11 protection under the U.S. Furthermore, OSMRE will carefully regulations that impact an approved Bankruptcy Code between 2015 and consider the report and SMCRA regulatory program require 2016. Those companies held recommendations of the pending GAO submission of a formal program approximately $2.5 billion of unsecured audit of financial assurances currently amendment to OSMRE for approval. or non-collateralized self-bonds that underway. The OSMRE will solicit Such changes to primacy programs various states with federally-approved public input prior to finalizing any cannot be implemented until a final SMCRA regulatory programs previously decision on the need for further amendment is approved by OSMRE. In accepted to guarantee reclamation of rulemaking. addition, written concurrence must be land disturbed by coal mining. The The OSMRE will continue to monitor received from the Administrator of the advisory stated that ‘‘the bankruptcy the status of self-bonding issues in state Environmental Protection Agency with filings confirm the existence of programs in cooperation with the IMCC respect to those aspects of a state/tribal significant issues about the future and other stakeholders (sureties, program amendment which relates to air financial abilities of coal companies and industry, and environmental groups). or water quality standards promulgated how they will meet future reclamation under the authority of the Clean Air Act obligations.’’ While recognizing the vi. Revise or Rescind OSMRE or the Clean Water Act prior to OSMRE action of certain state programs to Enforcement Memorandum— approval. In accordance with 30 CFR address self-bonding issues, the Relationship between the Clean Water 732.17(h)(13), OSMRE must complete a advisory went on to say that ‘‘each Act (CWA) and SMCRA final action on program amendments regulatory authority should exercise its On July 27, 2016, the OSMRE Director within 7 months of receipt. Often, due discretion and not accept new or issued a policy memo to staff providing to the complexities of the process and additional self-bonds for any permit direction on the enforcement of the other issues, including influences until coal production and consumption existing regulations related to violations outside of OSMRE, it is difficult for market conditions reach equilibrium, of the CWA caused by SMCRA- OSMRE to meet the required processing events which are not likely to occur permitted operations and related issues, times. until at least 2021.’’ Since the issuance such as responses to self-reported The result is that state regulatory of this advisory, all three companies of violations of National Pollutant authorities are occasionally unable to concern have completed their plans for Discharge Elimination System (NPDES)
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limits and OSMRE responses to Notices reclamation efforts on sites with coal F. U.S. Fish and Wildlife Service of Intent (NOI) to sue alleging CWA refuse reprocessing activities. Coal The FWS is reviewing its final rule, violations at SMCRA-permitted refuse sites located within the ‘‘Management of Non-Federal Oil and operations. The policy memo Anthracite Coal Region are unable or Gas Rights,’’ 81 FR 79948 (Nov. 14, specifically required an NOI to be have ceased the removal of coal refuse 2016) to determine whether revision processed as a citizen complaint, which to be used as waste fuel at co-generation would be appropriate to reduce burden requires OSMRE to issue a TDN to the facilities. This is partly or totally due to on energy. state RA upon receipt of the NOI. In the assessment of reclamation fees on Additionally, below is a list of addition, the memo stated that a coal refuse used as waste fuel. In burdens and opportunities to fulfill the violation of water quality standards is addition, PADEP recommended that intent of the Executive Order: also a violation of SMCRA regulations. OSMRE consider waste derived from State regulatory authorities, as well as filter presses at existing coal preparation i. Streamline Rights-of-way (ROW) for industry, have raised issues with this plants to be a ‘‘no value’’ 4 product, pipelines and electricity transmission guidance document expressing concern which would encourage its use as a The approval process for new ROW with overlap and potential conflicts waste fuel rather than requiring it to be access can be overly restrictive and between section 702(a)(3) 3 of SMCRA disposed in a coal refuse pile. excessively lengthy. The National and the CWA. In addition, state RAs The OSMRE will revisit the 1994 Wildlife Refuge System Administration have raised concerns about new TDNs Uram Memo, with the goal of providing Act, as amended, requires all uses, and related enforcement actions that have been issued in response to this an incentive for use of coal refuse as a including rights-of-way, of National policy guidance. The relationship coal waste fuel. In addition, OSMRE Wildlife Refuges to be compatible with between the CWA and SMCRA and the will revisit the remining incentives the mission of the System. The FWS role of the state RAs in ensuring provided by the 2006 amendments to will work with stakeholders in a more compliance in accordance with their SMCRA at section 415, some of which timely fashion to determine if proposed approved SMCRA regulatory programs apply specifically to removal or ROW uses are compatible. Additionally, have been longstanding issues. reprocessing of abandoned coal mine FWS will revise its ROW regulation to Resolution will bring certainty to the waste. Additional incentives pursuant streamline the current ROW granting state regulatory programs as well as for to Section 415 will require process to significantly decrease the the industry. promulgation of rules, and, therefore, time to obtain ROW approval from the The OSMRE will revisit the policy input from the public will be solicited. current 3–12 month time frame. issues and concerns in cooperation with Providing additional incentives to ii. Review Incidental Take Regulations the IMCC and will revise or rescind the industry to promote remining of coal for oil and gas activities in the Southern memorandum, as appropriate. Review of refuse and other abandoned mine sites Beaufort Sea and Chukchi Sea, under the policy with IMCC member states will provide for additional reclamation the Marine Mammal Protection Act will commence this calendar year; the of abandoned mines that would not (MMPA) revised or rescinded policy should be otherwise be accomplished through the complete by the end of this calendar Abandoned Mine Lands (AML) The MMPA prohibits take (i.e., harass, year. The OSMRE will consider seeking program. Specific benchmarks for hunt, capture, or kill) of marine public input prior to finalizing the measuring success, such as acres of mammals (16 U.S.C. 1361 et seq.) unless policy. additional reclamation performed, will authorized by the Secretary. Existing measures in the MMPA incidental take vii. Revise Policy on Reclamation Fee for be developed consistent with the implementation of the incentives. regulations require: 1) maintaining a Coal Mine Waste (Uram Memo) and minimum spacing of 15 miles between Propose Rule for Additional Incentives viii. Energy-Related Information all active seismic source vessels and/or On July 22, 1994, then-Director Robert Collections under the Paperwork drill rigs during exploration activities in Uram issued a memorandum outlining Reduction Act the Chukchi Sea; 2) no more than two the conditions under which OSMRE simultaneous seismic operations and The OSMRE reviewed the current would waive the assessment of three offshore exploratory drilling industry costs associated with the reclamation fees on the removal of operations authorized in the Chukchi Paperwork Reduction Act and did not refuse or coal waste material for use as Sea region at any time; 3) time find any information collections that a waste fuel in a cogeneration facility. restrictions for transit through the ‘‘potentially burden 5 the development Recently, the Pennsylvania regulatory Chukchi Sea; 4) time and vessel or utilization of domestically produced authority (PADEP) requested that restrictions in the Hanna Shoal Walrus energy resources’’ in accordance OSMRE update this policy as outlined Use Area; 5) location of polar bear dens EO13783. It should be noted that there below to incentivize reclamation efforts and 1-mile buffer; 6) maximum distance will be no industry costs associated on sites with coal refuse reprocessing around Pacific walruses and polar bears with information collection based on activities. on ice and groups of Pacific walruses in The PADEP believes that the the Stream Protection Rule, due to the water; 7) sound producing mitigation reclamation fees deter operators from Congressional Review Act nullification zones & shut-down/ramp up of that final rule. procedures; 8) marine mammal 3 Nothing in this Act shall be construed as observers and monitoring requirements; superseding, amending, modifying, or repealing the 4 No value determinations are based upon the and 9) excessive reporting requirements. Mining and Minerals Policy Act of 1970 (30 U.S.C. criteria established in the 1994 Uram 21a), the National Environmental Policy Act of 1969 Memorandum. The FWS has the opportunity to (42 U.S.C. 4321–47), or any of the following Acts 5 Burden ‘‘means to unnecessarily obstruct, delay, review the Chukchi Sea incidental take or with any rule or regulation promulgated curtail, or otherwise impose significant costs on the regulation which expires in 2018, and thereunder, including, but not limited to—(3) The siting, permitting, production, utilization, the regulation for the southern Beaufort Federal Water Pollution Control Act (79 Stat. 903), transmission, or delivery of energy resources’’ as amended (33 U.S.C. 1151–1175), the State laws (Presidential Executive Order 13783, Promoting Sea expires in 2021. They may either be enacted pursuant thereto, or other Federal laws Energy Independence and Economic Growth, March allowed to expire or be revised and relating to preservation of water quality. 28, 2017). reissued.
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iii. Modernize Guidance and regulations Three circuits—the fifth, eighth, and The BOR is committed to facilitating governing interagency consultation ninth—have held that it does not, the development of non-Federal pursuant to Section 7(a)(2) of the limiting taking liability to deliberate hydropower at our existing Federal Endangered Species Act acts done directly and intentionally to assets. Acting on this commitment, BOR Section 7(a)(2) of the Endangered migratory birds. Two circuits—the has undertaken a number of activities, Species Act requires Federal agencies, second and tenth—have held that it including: in consultation with the Secretary of the does. On January 10, 2017, the Office of i. Completion of two publically available Interior or the Secretary of Commerce the Solicitor issued an opinion resource assessments. (delegated to the Fish and Wildlife regarding the issue, which was subsequently suspended pending Assessments identify technical Service and the National Marine hydropower potential at existing BOR Fisheries Service, respectively), to further review of the opinion and the underlying regulations and decisions. facilities, irrespective of financial ensure that any action authorized, viability. funded or carried out by the agency is This review is currently ongoing, and not likely to jeopardize the continued may serve as the basis for the ii. Collaboration with stakeholder existence of any endangered or development of new internal guidance groups to improve the LOPP process and threatened species or result in the or regulations that provide clarity to this LOPP Directive and Standard (D&S) destruction or adverse modification of longstanding issue. policy guidance document. designated critical habitat. However, the vi. Evaluate the Merits of a General A BOR LOPP is a contractual right time and expense associated with Permit for Incidental Take Under the given to a non-Federal entity to use a satisfying the interagency consultation Bald and Golden Eagle Protection Act BOR asset (e.g. dam or conduit) for requirements are unnecessarily electric power generation consistent burdensome. The FWS intends to evaluate the with BOR project purposes. The FWS has discretion to create merits of a general permit for incidental The BOR has conducted LOPP efficiencies and streamlining in the take under the Bald and Golden Eagle outreach with stakeholder groups and consultation process through targeted Protection Action Act (BGEPA). When hydropower industry associations; and revision to regulations and/or guidance the bald eagle was delisted under the made resources and staff available via a and is reviewing opportunities for ESA, FWS issued a rule establishing a LOPP website: https://www.usbr.gov/ further process improvements. permit program for incidental take power/LOPP/index.html. The BOR has under BGEPA. On December 16, 2016, iv. Build Upon the Efforts of the Western also partnered with sister agencies FWS adopted a final rule intended to (United States Army Corps of Engineers Governors’ Association and Others to address some of industry’s concerns Improve the Application of the and the Department of Energy) under regarding the BGEPA incidental take the Memorandum of Understanding Endangered Species Act, Reduce permit process (81 FR 91494). One Unnecessary Burdens on the Energy (MOU) for Hydropower to, in part, measure strongly supported by industry, encourage and streamline non-Federal Industry, and Facilitate Conservation a general permit for activities that Stewardship development on Federal infrastructure. constitute a low risk of taking eagles, Through these activities, BOR has A number of groups, most was not considered as part of this made resources available to developers prominently the Western Governors’ rulemaking process, though FWS did and peeled back the barriers that may Association, have worked to evaluate accept comments on the subject for burden non-Federal hydropower and develop recommendations to consideration in a future rulemaking. development—while continuing to improve the application of the ESA. For The FWS is reviewing these comments protect the Federal assets that our example, the Western Governors’ to determine whether additional customers, operating partners, and Association developed the Western regulatory changes would be stakeholders have depended on for over Governors’ Species Conservation and appropriate to reduce the burden on a century. The response BOR has Endangered Species Act Initiative industry. received from these groups (including (Initiative), which conducts broad-based G. Bureau of Reclamation the development community) in this stakeholder discussions focused on effort has been overwhelmingly issues such as identifying means of The BOR is the second largest positive. LOPP projects provide a source incentivizing voluntary conservation, producer of hydroelectric power in the of reliable, domestic, and sustainable elevating the role of states in species United States, operating 53 generation—that supports rural conservation, and improving the hydroelectric power facilities, economies and the underlying Federal efficacy of the ESA. Interior intends to comprising 14,730 megawatts of water resource project. build on these efforts to improve the capacity. Each year, BOR generates over application of the ESA in a manner that 40 million megawatt-hours of electricity H. Bureau of Indian Affairs ensures conservation stewardship, (the equivalent demand of The BIA provides services to nearly 2 while reducing unneeded burdens on approximately 3.5 million US homes),6 million American Indians and Alaska the public, including the energy producing over one billion dollars in Natives in 567 federally recognized industry. Federal revenue. In addition to our tribes in the 48 contiguous States and authorities to develop, operate, and Alaska. The BIA’s natural resource v. Re-Evaluate Whether the MBTA maintain Federal hydropower facilities, programs assist tribes in the Imposes Incidental Take Liability and BOR is also authorized to permit the use management, development, and Clarify Regulatory Authorities. of our non-powered assets to non- protection of Indian trust land and Federal Courts of Appeals have split Federal entities for the purposes of natural resources on 56 million surface on whether the Migratory Bird Treaty hydropower development via a lease of acres and 59 million subsurface mineral Act (MBTA) imposes criminal liability power privilege (LOPP). estates. These programs enable tribal on companies and individuals for the trust landowners to optimize inadvertent death of migratory birds 6 See, https://www.eia.gov/tools/faqs/faq.php?id= sustainable stewardship and use of resulting from industrial activities. 97&t=3 resources, providing benefits such as
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revenue, jobs and the protection of guidance finalized and available on its BLM cultural, spiritual, and traditional website by October 2017. i. Review and Revise Mitigation Manual resources. Income from energy The BIA anticipates that the benefits Section (MS–1794) and Handbook (H– production is the largest source of of this action will be to promote the use 1794–1) Related to Mitigation, Which revenue generated from trust lands, with of TERAs, which will both save tribes Provide Direction on the Use of royalty income of $534 million in 2016. the time and resources necessary to seek Mitigation, Including Compensatory Indian Energy Actions and obtain Interior approval of each Mitigation, To Support the BLM’s Multiple-Use and Sustained-Yield i. Clarify ‘‘Inherently Federal Functions transaction related to energy Mandates. for Tribal Energy Resource Agreements development on Indian land, and will (TERAs) help ease Interior’s workload by The Mitigation Manual Section and eliminating the need for Departmental Handbook provide direction on the use Tribal Energy Resource Agreements review of each individual transaction. of mitigation, including compensatory (TERAs) are authorized under Title V of The reduction in burden will be mitigation, to support BLM’s multiple the Energy Policy Act of 2005. A TERA use and sustained yield mandates. The is a means by which a tribe could be measured by the number of tribes that choose to obtain TERAs. Once each tribe BLM is reviewing whether the 2016 authorized to review, approve, and Manual and Handbook replaced several obtains a TERA, Interior will work with manage business agreements, leases, IMs (IM Numbers 2005–069, 2008–204, the tribe to estimate savings in terms of and rights-of-way pertaining to energy and 2013–142) issued by BLM for the development on Indian trust lands, time and resources. same purpose. absent approval of each individual I. Integrated Activity Plan for Oil & Gas The BLM is considering revisions to transaction by the Secretary. Interior the Manual and Handbook to provide promulgated TERA regulations in 2008 in the National Petroleum Reserve— Alaska greater predictability (internally and at 25 CFR part 224. The TERAs offer the externally), ease conflicts, and may opportunity to promote development of Noting that the National Petroleum reduce permitting/authorizations times. domestically produced energy resources Reserve—Alaska (NPR–A) is the largest Measuring success would be largely on Indian land; however, 12 years after block of federally managed land in the quantitative. The BLM would continue the passage of the Act and 9 years after United States and offers economically to track impacts from land use the issuance of TERA regulations, not recoverable oil and natural gas, the authorizations and would also track the one tribe has sought Interior’s approval Secretary issued an order focusing on type and amount of compensatory for a TERA. One theory asserted by at management of this area in a manner mitigation implemented and its least one tribe as to the failure of this effectiveness, preferably in a centralized legislation is the Act does not address that appropriately balances promoting development and protecting surface database. precisely how much Federal oversight The BLM is drafting an IM that would disappear for tribes operating resources. See Secretarial Order 3352, provides interim direction regarding under TERAs. Specifically, Interior had ‘‘National Petroleum Reserve—Alaska’’ new and ongoing mitigation practices not defined the term ‘‘inherently (May 31, 2017). Currently, 11 million while the Manual and Handbook are Federal functions’’ that Interior will acres (or 48 percent) of the total 22.8 being reviewed and revised. Use of the retain following approval of a TERA. million acres in the NPR–A are closed existing Manual and Handbook would This term appears in Interior’s to leasing under the current Integrated continue, as modified and limited by regulations at 25 CFR 224.52(c) and Activity Plan (IAP). The Secretarial this IM, until they are superseded. 224.53(e)(2), but not in the Act. Without Order requires review and revision of some assurance as to the benefits (in the IAP for management of the area and, ii. Review of Manual 6220—National Monuments, National Conservation terms of less Federal oversight) a tribe within the existing plan, maximizing Areas, and Similar Designations (07/13/ would receive through clarification of the tracts offered during the next lease 2012) To Assure That It Conforms to ‘‘inherently Federal functions,’’ tribes sale. have no incentive to undergo the BLM’s Revised Mitigation Guidance. intensive process of applying for a J. Mitigation Manual 6220 provides guidance for managing BLM National Conservation TERA. Clarification of this phrase Implemented properly, mitigation can would also address Recommendation 5 Lands designated by Congress or the be a beneficial tool for advancing the of GAO–15–502, Indian Energy President as National Monuments, Administration’s goals of American Development: Poor Management by BIA National Conservation Areas, and Has Hindered Energy Development on energy independence and security, similar designations (NM/NCA) in order Indian Lands (June 2015). The while ensuring public resources are to comply with the designating Acts of recommendation directed Interior to managed for the benefit and enjoyment Congress and Presidential ‘‘provide additional energy of the public. Proclamations, FLPMA, and the development-specific guidance on Interior seeks to establish consistent, Omnibus Public Land Management Act provisions of TERA regulations that effective and transparent mitigation of 2009 (16 U.S.C. 7202). Manual 6220 tribes have identified to Interior as principles and standards across all its requires that when processing a new unclear.’’ Agencies. Interior and its bureaus and ROW application, BLM will determine, The BIA has been working closely offices intends to develop consistent to the greatest extent possible, through with the Office of the Solicitor to terminology, reduce redundancies, and the NEPA process, the consistency of develop guidance on how Interior will simplify frameworks so that the Federal the ROW with the Monument or NCA’s interpret the term ‘‘inherently Federal mitigation programs and stepped down objects and values; consider routing or functions.’’ It is expected that by programs are more predictable and siting the ROW outside of the providing this certainty as to the scope consistent. Some mitigation is Monument or NCA; and consider of Federal oversight, tribes will better be mitigation of the impacts from the ROW. facilitated by goodwill and some is able to justify the process of applying Land use plans must identify through our regulatory paradigm. for a TERA. The BIA expects to have the management actions, allowable uses,
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restrictions, management actions new leases, licenses, and permits under may reduce permitting/authorizations regarding any valid existing rights, and mineral leasing laws be made, but time. mitigation measures to ensure that the requires that consideration be given to Success will be measured in terms of objects and values are protected. The applying conditions necessary to protect complying with the NTSA and manual requires that a land use plan for the values of the river corridor. For wild identifying and allowing compatible a Monument or NCA should consider river segments, the Manual requires that multiple uses. closing the area to mineral leasing, new contracts for the disposal of FWS mineral material sales, and vegetative saleable mineral material, or the sales, subject to valid existing rights, extension or renewal of existing iv. Compensatory Mitigation for Impacts where that component’s designating contracts, should be avoided to the to Migratory Bird Habitat authority does not already do so. greatest extent possible to protect river The FWS has the authority to A review of Manual 6220 to identify values. recommend, but not require, mitigation where clarity could be provided for Manual 6400 will be reviewed mitigation, notification standards, and for impacts to migratory bird habitat following the proposed revisions to under several Federal authorities. compatible uses, may potentially reduce BLM Mitigation Manual Section and or eliminate burdens. The BLM will Pursuant to a Memoranda of Handbook to ensure that it conforms to Understanding with the Federal Energy review Manual 6220 following the BLM revised mitigation guidance. proposed revisions to BLM Mitigation Regulatory Commission (FERC), Although the requirements for minerals implementing EO13186 (January 10, Manual Section (MS–1794) and and mineral withdrawals are legally Handbook (H–1794–1) to ensure that 2001), FWS evaluates the impacts of mandated under the mining and mineral FERC-licensed interstate pipelines to Manual 6220 conforms to the BLM’s leasing laws in sections 9(a) and 15(2) revised mitigation guidance. migratory bird habitat. of the WSRA, Manual 6400 will be The FWS is developing Service-wide Addressing any potential issues, along reviewed for opportunities to clarify with providing consistency with BLM guidance to ensure the bureau is discretionary decision-space. consistent, fair and objective, Mitigation Manual is expected to Ensuring consistency with the BLM provide greater predictability (internally appropriately characterizes the Mitigation Manual will foster greater voluntary nature of compensatory and externally), reduce conflicts, and predictability (internally and may reduce permitting/authorizations mitigation for impacts to migratory bird externally), reduce conflicts, and may habitat, and demonstrates a reasonable times. reduce permitting/authorizations times. Success will be measured in BLM nexus between anticipated impacts and Success will be measured in terms of meeting legal obligations under the recommended mitigation. The FWS complying with the WSRA and designating Act or Proclamation for anticipates it will take 3 months to identifying and allowing compatible each unit and the allowance of finalize the guidance. multiple uses. compatible multiple uses, consistent Guidance will result in timely and with applicable provisions in the • BLM Manual 6280—Management of practicable licensing decisions, while designating Act or Proclamation. National Scenic and Historic Trails and providing for the conservation of Trails under Study or Recommended as migratory Birds of Conservation iii. Other Reviews of BLM Manual Concern. Provisions Suitable for Congressional Designation (09/14/2012) Success will be measured by timely Secretarial Order 3349 also revoked a issuance of licenses that contain prior order regarding mitigation and Manual 6280 provides guidance for appropriate recommendations that do directed bureaus to examine all existing managing trails under study, trails not impose burdensome costs to policies and other documents related to recommended as suitable, and developers. mitigation and climate change. (See congressionally designated National The FWS Regional and Field Offices Secretarial Order 3330 ‘‘Improving Scenic and Historic Trails to fulfill the will provide informal guidance through Mitigation Policies and Practices of the requirements of the National Trails email and regularly scheduled Department of the Interior.’’) Actions System Act (NTSA) and the Federal conference calls to educate and remind Interior is taking to implement this Land Policy and Management Act. staff of policy. direction include: Manual 6280 identifies mitigation as one way to address substantial v. Mitigation Actions—Regulations and • BLM Manual 6400—Wild and Scenic interference with the natural and Policy Governing Candidate Rivers, Policy and Program Direction purposes for which a National Trail is Conservation Agreements with for Identification, Evaluation, Planning, designated. Assurances (CCAAs) and Management (07/13/2012) Manual 6280 will be reviewed The CCAAs are developed to Manual 6400 provides guidance for following the proposed revisions to the encourage voluntary conservation managing eligible and suitable wild and BLM Mitigation Manual Section and efforts to benefit species that are scenic rivers and designated wild and Handbook to ensure it conforms to the candidates for listing by providing the scenic rivers in order to fulfill BLM revised mitigation guidance. regulatory assurance that take associated requirements found in the Wild and Although many of the requirements are with implementing an approved Scenic Rivers Act (WSRA). Subject to legally mandated under the National candidate conservation agreement will valid existing rights, the Manual states Trails System Act, Manual 6280 will be be permitted under section 10(a)(1)(A) that minerals in any Federal lands that reviewed for opportunities to clarify any for the Endangered Species Act if the constitute the bed or bank or are discretionary decision-space to reduce species is ultimately listed, and that no situated within 1⁄4 mile of the bank of or eliminate burdens. additional mitigation requirements will any river listed under section 5(a) are Addressing any potential issues, along be imposed. withdrawn from all forms of with providing consistency with the Recent revisions to the CCAA appropriation under the mining laws, BLM Mitigation Manual is expected to regulations and policy and the adoption for the time periods specified in section provide greater predictability (internally of ‘‘net conservation benefit’’ as an 7(b) of the WSRA. The Manual allows and externally), reduce conflicts, and issuance standard has been perceived by
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some to impose an unnecessary, Success will be measured by threatened, and designated and ambiguous, and burdensome standard incorporation of recommendations proposed critical habitat under the ESA. that will discourage voluntary without delays to the permitting or Within 6 months of completing conservation. There are also concerns licensing process. revisions to the ESA Compensatory with the preamble language that The FWS Headquarters will provide Mitigation Policy (CMP) (or deciding suggested that CCAAs may not be FWS Regional and Field Offices revisions to the CMP are not necessary), appropriate vehicles for permitting take informal guidance through email and FWS will revise the interim of listed species resulting from oil and regularly scheduled conference calls to implementation guidance (to be gas development activities. remind staff of the policy review. consistent with the revised CMP) and The FWS will solicit public review make it available for public review and vii. FWS ESA Compensatory Mitigation and comment on the need and basis for comment in the Federal Register for 60 Policy a revision of the CCAA regulation and days. Within 6 months of close of the associated policy for the purpose of In 2016, FWS finalized its ESA comment period, FWS will publish the evaluating whether it should maintain Compensatory Mitigation Policy (CMP), final implementation guidance in the or revise the current regulation and which steps down and implements the Federal Register (Note: we anticipate policy or reinstate the former ones. The 2016 revised the FWS Mitigation Policy that the implementation guidance may FWS anticipates that it will take 3 (including the mitigation planning goal). need to be reviewed under the months to prepare the Federal Register The CMP was established to improve Paperwork Reduction Act, which may Notice soliciting public review and consistency and effectiveness in the use affect the timeline). comments. The FWS will then publish of compensatory mitigation. Its primary The anticipated benefits will be the Federal Register Notice with a 60- intent is to provide FWS staff with timely and practicable mitigation day comment period. Based upon direction and guidance in the planning recommendations by FWS staff to comments received, FWS will decide and implementation of compensatory energy developers (and others) that whether and how to revise the mitigation. promote conservation of species and regulation and policy. Some stakeholders believe the their habitats. The anticipated benefits will be mitigation planning goal exceeds Success will be measured by ensuring the CCAA standard is clear statutory authority. incorporation of recommendations and encourages stakeholder The FWS will solicit public review without delays to the permitting or participation in voluntary conservation and comment for the purpose of licensing process. of candidate and other at-risk species. evaluating whether it should modify the The FWS Headquarters will issue a Success will be measured by FWS policy. Additional legal review will be memorandum to Regional and Field providing timely assistance to undertaken after comments are staff reiterating the limited applicability developers if they seek a CCAA. reviewed. The FWS anticipates that it of the CMP’s mitigation planning goal The FWS Headquarters will provide will take three months to prepare the and that decisions related to Regional and Field Offices with Federal Register Notice soliciting public compensatory mitigation must comply informal guidance through email and review and comment on the policy. The with the ESA and its implementing regularly scheduled conference calls to FWS will then publish the Federal regulations. remind staff of the regulation and policy Register Notice with a 60-day comment K. Climate Change review. period. Based upon comments received, FWS will decide whether and how to Interior is reviewing bureau reports of vi. Mitigation Actions—FWS Mitigation revise the policy. the work conducted to identify Policy The anticipated benefits will be requirements relevant to climate that In 2016, FWS finalized revisions to its timely and practicable mitigation can potentially burden the development 1981 Mitigation Policy, which guides recommendations by FWS staff to or uses of domestically produced energy FWS recommendations on mitigating energy developers (and others) that resources. Most of the bureaus found no the adverse impacts of land and water promote conservation of species and existing requirements in place. A couple development on fish, wildlife, plants, their habitats. of bureaus have non-regulatory and their habitats. Success will be measured by documents (i.e., handbook, memo, Some stakeholders believe the revised incorporation of recommendations manual, guidance, etc.) that inwardly policy’s mitigation planning goal without delays to the permitting or focus on their units and workforce exceeds statutory authority. licensing process. management activities. Interior is The FWS will solicit public review The FWS Headquarters will provide reviewing these to better understand and comment for the purpose of FWS Regional and Field Offices their connection to other management, evaluating the policy. The FWS informal guidance through email and operations and guidance documents. anticipates that it will take 3 months to regularly scheduled conference calls to prepare the Federal Register Notice remind staff of the policy review. BLM soliciting public review and comment The BLM rescinded its Permanent viii. Interim Guidance on Implementing on the policy. The FWS will then Instruction Memorandum (PIM) 2017– the Final ESA Compensatory Mitigation publish the Federal Register Notice 003 (Jan. 12, 2017). with a 60-day comment period. Based Policy This Permanent IM transmitted the upon comments received, FWS will This document provides interim CEQ guidance on consideration of decide whether and how to revise the guidance for implementing the Service’s greenhouse gas (GHG) emissions and the policy. CMP. The guidance provides effects of climate change in NEPA The anticipated benefits will be operational detail on the establishment, reviews, and provided general timely and practicable mitigation use, and operation of compensatory guidelines for calculating reasonably recommendations by FWS staff to mitigation projects and programs as foreseeable direct and indirect GHG energy developers (and others) that tools for offsetting adverse impacts to emissions of proposed actions. promote conservation of species and endangered and threatened species, As the CEQ guidance was withdrawn their habitats. species proposed as endangered or pursuant to section 3 of EO13783, the
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BLM Permanent IM was rescinded. In the identified actions to reduce the tribal consultation requirements, the future, BLM will consider issuing burden on domestic energy, Interior has Interior will host a separate consultation new guidance to its offices on been, and will continue to, seek from with official representatives of tribal approaches for calculating reasonably outside entities through various means governments on matters that foreseeable direct and indirect GHG of public outreach including, but not substantially affect tribes, in accordance emissions of proposed and related limited to, working closely with affected with the Department’s policy on actions. stakeholders. In accordance with consultation with tribal governments. Any new IM would provide guidance Administrative Procedure Act on consideration of GHG emissions and requirements, the Department is seeking VI. Conclusion the effects of climate change in NEPA public input on each proposal to revise Interior is aggressively working to put reviews. The BLM is also developing a or rescind individual energy-related America on track to achieve the regulatory requirements. The unified Air Resources Toolkit that can President’s vision for energy dominance Department is also considering input it be used across all organizational levels and bring jobs back to communities receives as part of its regulatory reform to consistently calculate, as needed and across the country. Working with state, efforts through www.regulations.gov appropriate, relevant air emissions for a local and tribal communities, as well as when such input relates to energy- variety of BLM resource management other stakeholders, Secretary Zinke is functions. Once available, this toolkit related regulations. The Department’s outreach efforts instituting sweeping reforms to unleash will expedite analysis of reasonably America’s energy opportunities. foreseeable GHG emissions associated encompass state, local, and tribal with energy and mineral development. governments, as well as stakeholders VII. Attachments such as the Western Governors’ V. Outreach Summary Association, Interstate Mining Compact Secretarial Orders and Secretary’s To ensure that Interior is considering Commission, and natural resource and Memorandum the input of all viewpoints affected by outdoorsmen groups. To comply with BILLING CODE 4334–63–P
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THi SECR£1ARY Of THE .INTERtOR W/d~Hl1li~TQN
On,~27.2017,~~J. ~--H.J4~44.. wbich~y nullifiedt!te~-wn,.~ao. ·· · lhavo~-.y~.,_tWsmte;I.JldlbODt~ .....C>ftlm4M~s(BL¥} p_.._....t ...... ; ..._•·~uu..,..;,~_.~, , ..... ·.·, ...... ,7 .... ,..,..~.· ·~~--•~ ·... · .. ··· ..• .. ····•··· ··. tatwuse~_.a.ea~~·=fJSII!Ujclto.htlp~-.. ~~~-te:~·.ow-~.~10~ ~~~ as welltlte~Jio -t¥~ti'®J:pubtic~ . ... . Hmwver>'~·~-~~~~-,~-qenoy lant.r.~..-~acli-~infl~~~~-~ miews• ~~~~----.~.p.t~a~~~ ·~-~.-~mt01fl~-~-~ilw9~iaa~. l'he,.,~~~.u,._. ... ~ ... iut.~~-l'OuJbly ~of~~~ .. 'l11eislttle~-BL¥m..a ..johia_.~®J: pWJiCJ~nas -~~(If~ .. ~~~-~tt~c~ aDd ,> .... ·.. ···~~~~~~-.Y·Id year.~ ; .....· ·.·· ...... ~~ai14~,1Mfe.tu.S,O()O ~-~-... Witi-~Policy~-Al.~·Of~~ ...~·.~······ ~~.. ~.~~.·~.·~,--~-·~ . D.e~I1laW~~.~_,.ofour.-and.kl<;al~pfho~.isth$tthe • 'S.....i...... •.. ·. ·~ ...... ~-- .. ...,...:.:a.;,_ .. ~~...... 4,.. ~~·~~·~~,1 .....~ ~"':~~IIIQQ,~.aot.t"<~~·"""t.W. ~~~~~n.~~i.t·~--~~ ~~··~l} ...t1ate.~)~-·~·-~)-~~-looal need$•. PW~.~·.Ia~.~.t acti~) ...\ ' " -•.,.•··~~·~·-=~~Puams~ ' ' ,, ' ' ' ' ' ,'' '' / ' '' ' ~ ' ,' VerDate Sep<11>2014 17:12 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00061 Fmt 4700 Sfmt 4725 E:\FR\FM\01NOR1.SGM 01NOR1 sradovich on DSK3GMQ082PROD with RULES ER01NO17.010 50552 Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Rules and Regulations VerDate Sep<11>2014 17:12 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00062 Fmt 4700 Sfmt 4725 E:\FR\FM\01NOR1.SGM 01NOR1 sradovich on DSK3GMQ082PROD with RULES ER01NO17.011 Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Rules and Regulations 50553 THE SECRETARY OF THE INTERIOR WASHINGTON ORD£R NO. 3 3 4 :8 Subject: Concerning the Federal Coal Moratorium See. 1 Purpose. The Federal coal leasing program is of critical imponance to the economy of the United States, supplying approximately 40 percent ofthe coal produced in the Nation. · On January 15, 2016, Secretary's Order 3338, "DisQretionary Programmatic Enviro.nmental Impaet Statement to Modernize the Federal Coal Program... was sianed and placed. a moratorium on the coal leasing program with limited exceptions. Given the critical importa.m:e of the Federal coal leasing program to energy security. job creation. and proper cooservation stewardship, this Order directs efforts to enhance and improve the Federal coal leasing program. Sec. 2 Au.th:orities. This Order is issued under the authority of Section 2 ofRcorganization Plan No. 3 of 1950 (64 Stat. 1262), as amended. Other statutory authorities for this Order include but are not limited to the following statutes; a.. Mineral Leasing Act. 30 U.S.C. §1181 et seq. b. Mineral Leasing Act for AcqWred.Lands, 30 U.S. C.§ .351 et seq. c. FederalLandPolicyandManagement Act.43lJ.S.C.1701·17g5, d. Surface Mining Control and Reclamation Act, 30 U.S.C. §§ 1201-1328. Sec. 3 Background. Secretary•s Order3338 directs the Bureau of Land ~ent (BLM) to analyze and "consider potential leasing and management reforms to the current Federal coal program." Secretary's Order 3338 ordered the preparation of a discretionary Programmatic Environmental Impact Statement (PElS) to analyze potential reforms and ordered a ''pause on leasing; with limited exceptions" pending completion of the discretionacy Federal Coal Program PBIS; The PBIS is estimated to cost many millions of dollars and would be completed no sooner than 2019, even with robust timding; Sec. 4 Revoea&n of Secretary's Order 3338. Based upon the Department's review of Secretary~s Order 3338, the scoping report for the discretionary Federal Coal Program P.BIS issued in January 2017, and other information provided.by BLM,. I find that the public interest is not served by halting the Federal coal program for an extended time. nor is a PElS required to consider potential improvements to the program. Accordingly, consistent with the principles of responsible public stewardship entrusted to this office. I revoke Secretaey's Order 3338, "DisQretionacy Programmatic Environmental Impact Statement to Modernize the Federal Coal Program." VerDate Sep<11>2014 17:12 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00063 Fmt 4700 Sfmt 4725 E:\FR\FM\01NOR1.SGM 01NOR1 sradovich on DSK3GMQ082PROD with RULES ER01NO17.012 50554 Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Rules and Regulations 2 Sec. 5 Implementafiou. With the revocation ofSecretary's Order 3338, BLM is directed to process coal lease applications and modifications expeditiously in accordance with regulations and guidance existing before the issuanee of Secretary's Order 3338. All activities associated with the prepatatio'D ofthe Federal Coal.Prograrn PBIS shall cease. The Deputy Secre1ary. Assistant Secretaries. and beads ofl:mreaus and offices are hereby directed to make changes in their policy and guidance documents that are consistent with the revocatiott of Secretary's Order3338. Sec. 6. Effect of the Order. This Order is intended to improve the internal management of the Department. This Order and any resulting reports or xecommendations are not intended to, and do not, create. any right or benefit, SUbstantive orp~ enforceable at law or equity by a party against the United States. its departments. aaencies, inslmm.entalities or entities, its officers or employees. or an;r other person. To the extent~ is any inconSistency between the provisions ofthis Order and any Federal laws. or regulations, the laws or regulations will control. Sec. 7 Expiratiou Date. This Order is effective immediately. amended. superseded. or revoked. · Date: MAQ 2 9 7017 VerDate Sep<11>2014 17:12 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00064 Fmt 4700 Sfmt 4725 E:\FR\FM\01NOR1.SGM 01NOR1 sradovich on DSK3GMQ082PROD with RULES ER01NO17.013 Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Rules and Regulations 50555 THE SECRETARY OFTH E INTERIOR WASHINGTON ORDERNO. 3 3 49 Subject; American Energy Independence Sec. 1 Purpose. This Order implements the review of agency actions directed by an Executive Order signed by the President on March 28, 2017 and entitled "Promoting Energy Independence and Economic Growth" {March 28, 201 7 E. 0. ). It also directs a reexamination ofthe mitigation policies and practices across the Department ofthe Interior (Department) in order to better balance conservation strategies and policies with the equally legitimate need of creating jobs for hard-working American families. Sec. 2 Authorities. This Order is issued under the authority of Section 2 .of Reorganization Plan No. 3 of 1950 (64 Stat. 1262), as amended, and other applicable statutory authorities. Sec. 3 Backgroulld. Among other provisions, the March 28, 2017 E.O. directs the Department to review an existing regulations, orders, guidance documents, policies, and any other similar actions that potentially burden the development or utilization of domestically produced energy resources. A plan to carry out the review must be submitted to the Director of the Office of Management and Budget (OM B) and to certain other White House officials. within 45 days of the date of the March 28, 2017 RO. The objective of the review is to identifY agency actions that unnecessarily burden the development or utilization of the Nation's energy resources and support action to appropriately and lawfully suspend, revise, or rescind such agency actions as soon as practicable. The March 28, 2017 E. 0. also directs the Department to promptly review certain specific actions recently taken by the Department, in particular Secretary's Order 3338, "Discreti<:mary Programmatic Environmental Impact Statement to Modernize the Federal Coal Program," and four rules related to onshore oil and gas development. The March 28,2017 E.O. also rescinds certain Presidential Actions, reports, and final guidance related to climate change, including: a. E.O. 13653 ofNovember 6, 2013 (Preparing the United States for the Impacts ofClimateChange)~ b. Presidential Memorandum of June 25, 2013 (Power Sector Carbon Pollution Standards);and c. Presidential Memorandum ofSeptember 21, 2016 (Climate Change and National Security). 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That Memoran.dum directed the Secretary of the Interior, among other Cabinet officials, to undertake a number of actions to implement a landscape-seale mitigation poli"Y• including 8J>eeifie directions to the Bureau ofLand Mllflagement (BLM) and the Fish and Wildlife Serviee (FWS) to develop mitigation policies. that incotp«afed compensatory mitigati~ into planning and permitting processes. Secretary's Order 3330. "Improving Mitigation Policies and Practices .of the Department of the Interior," dated October 13, 2013, is directly related to the rescinded Presidential Memotandum ~ mitisati~. Secretary's Order 3330 dovetails with the subsequently is!IUed Presidential Memotllfldum by directing the develQPment and implementation ()fa landscape-scale mitigation policy fO!'the Department. As directed by the Order,. the Secretary received a report in April 2014 entitled, "A Strat~ fur Improving Mitigation Policies and Practices ofthe. Departtn~nt ofthe.Jnterior." The. Strategy set forth a.number 9f "deliverable$" by nearly evi:n'y office and bure~ within the Department to advance the stated ·goal of "lapdscapii:--scalemitigation." Given the 1::lose nexus between the. Tescinded Presidential Mernoraudum and Secretaey's Order 3330, a tl1orough reexamination is needed oftho policies .set out intluit Order. Set1!. 4 Policy. To begin implementing the Match 28. 2017E.o.,. I hereby order the. following: a. Revocttion of SeCretary's Order 3330. I hereby revo~ Secretary's Order 3330, "Improving Mitigation Policies and Practices ofthe Department ofthe fut;;~rior," dated October 31, 2013. As set fOrth below, all actions taken pursuantto Secretary's Order 3330 must be reviewed for possible .teconsideration. modification, or rescission as appropriate. b. Review of Department Actions. As set forth. ttl See. 5 below, each bureau and office shall review all existing regulations, orders, guidance documents, policies, in!ltrtJc1;iom, notices. implemonting actions, and My other similar actions (Department Actions) related to or arising from the Presidential Actions set forth above and, to the. extent deemed necessary and permitted by law, initiate an appropriate process to suspend, revise, orri\scind any such actions.• consistent with the policies set forth in the March28, 2017E.O. VerDate Sep<11>2014 17:12 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00066 Fmt 4700 Sfmt 4725 E:\FR\FM\01NOR1.SGM 01NOR1 sradovich on DSK3GMQ082PROD with RULES ER01NO17.015 Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Rules and Regulations 50557 3 Sec. 5 Implementation. The foUowing actions shall betaken pursuant to. this Q:rder: a. Mitigation Policy Review. (i) Within 14 (ii) Within 30 days: oftbe 4a,te ofthis Order, the Dep\lty Seomary shall inform the Assistant Secretaries whether to p.rooeed with reconside:ratio~modification. or rescission as appropriate and necessary of any Department Actions they have adopted or are. in the proc~s ofde'Yeloping ~lating to (l) the Presidential Metnonnd'-lm dated November 3~ 2015, "Mitigating lmpac~ on Na.t\ltal R.esourcell front Development and Encouraging Related Private Investment" and (2) Secretary's Order 3330. (iii) Within 90 daY$' of the date oftbi'&Order. each bureau and office required U) reconsider. modify, or r b • Climate Change Policy Review. (i) Within 14 days: of the (ii) Within30 daye;ofthe date ofthis.Ordet, the Deputy Secretary shall inforot the Assistant Secretaries whether to proceed with reconsideration, modifieatio~ or rescission as appropriate and necessary ofany Department Actions identified in the review requited by subs~ion (i)'above, VerDate Sep<11>2014 17:12 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00067 Fmt 4700 Sfmt 4725 E:\FR\FM\01NOR1.SGM 01NOR1 sradovich on DSK3GMQ082PROD with RULES ER01NO17.016 50558 Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Rules and Regulations 4 (iii) Within .90 days of the .date of this Qrder. each buroau a11d offiqe requin!d to rec~ider, .mof!uy, or .rescind any suchDepanmmt Action. shall submittothe Deputy Secretary. through their Assistant Secretary, a draft. revised or substitute Department Action,forreview~ c. Review ofOther D®anment Actions Impacting Energy Development. (i) Afl previously announced by the Department, SLM sh~l proceed expeditiously with proposms to rescind the final rule entitled, "Oil and Gas; Hydraulic Fracturing on Federal a11d Indian Lands/' 80 Fed Reg. 16128 (Mar. 26, 20 15). (ii) Within 21 days, the Director* BLM shall review the imal rule entitled, *'Waste Prevention. PrQduetion Subject to Royalties, and Resource Conservation." 81 Fed Reg. 83008 (January 17, 2017). and report to the Assistant Secretary~ Land and Minerals Management on whether the rule is tully consistent with the policy set forth'in Section 1 ofthe March 28, 2017 E.O. (iii) Within 21 days, the Director, National Park Service shall review the final rule entitled; "General Provisions and Non~FederalOil and Gas Rights.'' 81 Fed Reg. 17912 (Nov. 4,.2016). ud report to the .Assistant Sectetaty for Fish and Wildlife .. attdParks on whether the rule isfutly consistent with the :J?9licy set forth in Section 1 ofth;,; M$h 28, 2017 E.O. (iv) Within :n day!'l, the Director, FWS shall review the f'lllal rule entitled, "Management o:t'Non-Federal Oil and Gas Rights." 81 Fed, Reg. 79948 (Nov. 14, 20.16}1 and rep.ort to the Assi~ Secretary for Fish and Wildlife and Parks on whether the rule is fully consilltent with the policy set forth in Section 1 of the March 28, 2017E.O. (v) Within 21 days, each bureau and o:fttc~ h~d shall provide to the Deputy Secretary, through their Assistant Secretary, a report that identifies all existing Department Actions i~>Sued by their bureau or office that potentially burden (as that rerm is defined in the March 28, 2017 E.O,) the development or utilization of domestically produced mergy resources, with particular attention to oil, natttraJ gas, coa:l, and nuclear re.wutces. (vi:) Within 35 days, the Deputy Secretary shall provide to me a plan to complete the review otDepi:U'ttnent Actions contemplated by Section 2 of the March 28, 2011 E,o. The plan li11J$t. meet all objectives and time lines set.forth.in the March. 28, 2017 E.O. Sec. S Effect ofthe Order. This Order is intended to improve the internal· management of1he Depanment. This Order and any resulting reports or recommendations .. ~ not intended to, att4 do not, create .any right. 0 t bem}fit, stibstanfive or procedtlt'4l, enforceable at law or equity by a pa,tty against the United Statee., its departments, ~g~;~ncies, VerDate Sep<11>2014 17:12 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00068 Fmt 4700 Sfmt 4725 E:\FR\FM\01NOR1.SGM 01NOR1 sradovich on DSK3GMQ082PROD with RULES ER01NO17.017 Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Rules and Regulations 50559 5 instrumentalities or entities, its officers or employees, or any other person. To the extent there is any inconsistency between the provisions of this Order and any Federal Jaws or regulations, the laws or regulations will controL Sec. 6 Expiration Date. This Order is effective immediately. It will remain in effect until it is amended, superseded, or revoked. Date: MAR 29 2017 VerDate Sep<11>2014 17:12 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00069 Fmt 4700 Sfmt 4725 E:\FR\FM\01NOR1.SGM 01NOR1 sradovich on DSK3GMQ082PROD with RULES ER01NO17.018 50560 Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Rules and Regulations THE SECRETARY OF THE INTERIOR WASHINGTON ORDER NO. 3350 Subject: America-First Offshore Energy Strategy Sec. l Purpose. This Order further implements the President's Executive Order entitled: "Implementing. an America-First Offshore Energy Strategy'' (April28, 2017); enhances opportunities for energy exploration, leasing, and development on the Outer Continental Shelf (OCS); establishes regulatory certainty for OCS activities; and enhances conservation stewardship, thereby providing jobs, energy security, and revenue for the American people. Sec. 2 Authorities. This Order is issued under the authority of Section 2 of Reorganization Plan No.3 of 1950 (64 Stat. 1262), as amended, and other applicable authorities, including the Outer Continental Shelf Lands Act (OCSLA), 43 U.S.C. 133.1 Itt seq~ Sec. 3 Background. Safe and responsible development of our offshore natural resources is critic:al to the Nation's environment and economy. The Bureau of Ocean Energy Management (BOEM) is responsible for administering the leasing program far oil and gas resources on the OCS and developing a five-year schedule of lease sales designed to "best meet national energy needs" for the five-year period following the schedule's approval, as required in. Section 18 of th.e OCSLA, 43 U.S.C. 1334. The $OEM also permits seismic surveys on the OCS and, in conjunction with the Bw:eau of Safety and Environmental Enforcement (BSEE), regulates leasing, exploration, and development activities on the OCS. In January 2017 the 2017 ~ 2022 Outer Continental Shelf Oil and Gas Leasing Program was approved excluding lease sales in the Atlantic Ocean and the Beaufort and Chukchi Seas offshore Alaska. By excluding these areas from the leasing program, the Department has forgone considering areas that potentially contain tens ofbillions of barrels of oil and over 100 trillion cubic feet of gas by BOEM' s own estimates of l.llldisoovered technically recoverable oil and ga.~ resources. In addition. through a series of Presidential Memoranda issued by the previous Administration, huge swaths of the OCS were withdrawn from disposition by leasing along the Alaska and Atlantic coasts. In addition to existing restrictions on OCS leasing, concerns have been raised by stakeholders that certain final. or proposed rules, such as BSEE' s fmal rule on "Oil and Gas and Sulfur Operations in the Outer Continental She:lf-Blowout Preventer Systems and Well Controf' published at 81 Federal Register 25887 (April29, 2016), unnecessarily include prescriptive measures that are not needed to ensure safe and responsible development of our OCS resources. Accordingly, a reevaluation oftb.ese rules is appropriate and necessary. On April28, 2017, the President issued an Executive Order entitled: "Implementing an Ameri.ca-First Offshore Energy Strategy (Executive Order)," which reconfirmed thltt it is "the pofit,'Y of the United States to encourage energy exploration and production. including on the VerDate Sep<11>2014 17:12 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00070 Fmt 4700 Sfmt 4725 E:\FR\FM\01NOR1.SGM 01NOR1 sradovich on DSK3GMQ082PROD with RULES ER01NO17.019 Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Rules and Regulations 50561 Outer Continental Shelf, in order to maintain the Nation's position as a global energy leader and foster energy security and resilience for the benefit of the American people." The Executive Order eliminated the previous Administration's OCS leasing withdrawals and directed the Department to take a number of ru.,1ions designed to ensure robust and responsible exploration and development of our OCS resources. These directives include revising the five-year leasing program and reconsidering promulgation of enumerated final or proposedtu!es and guidance that impact OCS resource development. This Order is designed to implement the President's directives and take other actions to ensure that tesponsible OCS exploration and development is promoted and not unnecessarily delayed or inln"bited. Sec. 4 Direc:tive, ln furtherance of the President's Executive Order, and consistent with principles of rel>'PO:nsible public stewardship entrusted to the Department, with due consideration of the critical importance ofenergy security, job creation. and conservation stewardship, I hereby direct the following: a. The BQEM shall undertake the following actions: (1) Immediately initiate development of a new "Five:-Year Outer Continental Shelf Oil and Gas Leasing Program", with full consideration given to leasing the OCS off.~hore Alaska, Mid-Atlantic, South Atlantic, and the Gulf ofMeldco, in conformity with the provisions of OCSLA as directed by the President's Executive Order. (2) In cooperation with the National Marine Fisheries Service, undertake the following activities: (i) establish a plan to expedite consideration of Incidental Take Authorization requests, including Incidental Harassment Authorizations and Letters of Authorization, that may be needed for seismic survey permits and other OCS activities; and (ii) develop and implement a streamlined permitting approach for privately~ funded seismic data research and collection aimed at expeditiously determining the offshore energy resource potential of the United States. (3) Expedite consideration of appealed, new, or resubmitted seismic permitting applications for the Atlantic. (4} Promptly contpleteBOEM's previously announced review of Notice to Lessees (NTL) No. 2016~NCH "Notice to Lessees and Operators ofFederal Oil and Gas, and Sulfur Leases, and Holders ofPipeline Right-of-Way and Right-of-Use and Easement Grants in the Outer Continental Shelf" (September 12, 2016), and provide to the Assistant Secretary - Land and Minerals Management (ASLM), the Deputy Secretary, and Counselor to the Secretary for Energy Policy, a report describing the results of the review and options for revising or rescinding NTL No. 2016-NOl. The BOEM's previously announced extension of the implementation timelines for NTL No. 2016-NOl shall remain in effect pending completion ofthe review by the ASLM. Deputy Secretary. and the Counselor to the Secretary for Energy Policy. (5) . Immediately cease all activities to promulgate the "Offshore Air Quality Control, Reporting, and Compliance" Proposed Rule published at 81 Federal Register 19717 VerDate Sep<11>2014 17:12 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00071 Fmt 4700 Sfmt 4725 E:\FR\FM\01NOR1.SGM 01NOR1 sradovich on DSK3GMQ082PROD with RULES ER01NO17.020 50562 Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Rules and Regulations 3 (April 5, 20 l 6) and all other rules and guidance publishe4 pursuant thereto. Within 21 days of the issuance of this Order, the Director of BOEM shall provide to the ASLM, the Deputy Secretary, and Counselor to the Secretary for Energy Policy, a report explaining the eftects, if any, of not isslring a new rule addressing offshore air quality, and providing options for revising or withdrawing the proposed rule consistent with the policy set forth in section 2 of the Executive Order. (6) Within 21 days of the issuance of this Order, BOEM shall provide to the ASLM, the Deputy Secretary, and Counselor to the Secretary for Energy Policy, a report smnmarizing progress on the action items 1-5 above. b. The BSEE shall undertake the following actions; (1) Promptly review the final rule on "Oil and Gas and Sulfur Operations in the Outer Continental Shelf-Blowout Preventer Systems and Well Control" for consistency with the policy set forth in section 2 of the Executive Order, as well as all policies, rules, guidance~ instructions, notices, or othet implementing actions that have been adopted or are in the process of being developed relating thereto. (2) Within 21 days ofthe isb'UaD.Ce of this Order, provide to ASLM, Deputy Secretary.and Counselor to the Secretary for Energy Policy a report summarizing the review and providing recommendations oil whether to suspend, revise, or rescind the rule. c. .The BSEE and BOEM are also to undertake the following action; Promptly review the final rule entitled ''Oil and Gas and Sulfur Operations on the Outer CQntinental Shelf-Requirements for Exploratory Drilling on the Arctic Outer Continental Shelf," &1 Federal Register 46478 (JUly 15, 2016), for consistency ~ith the policy set forth in section 2 of the Executive Order and, within 21 days of the date ofthis Order, provide to ASLM, Deputy Secretary, and Counselor to the Secretary for Energy Policy a report summarizing the review and providing recommendations on whether to suspend. revise, or rescind the rule. d. Jhe Cgunselortq the Secretary for Energy PolicY, in cooperation with the Assistant Secretary for :Fish and Wildlife and Parks (ASF\VP) and ASLM, shall worlt with the Department of Commerce to review the National Marine Sanctuary and Monument designations as directed by the Executive Order. Sec. 5 CoUlllselor to the Seeretary for Energy Polley. To further promote the deliberate and active coordination of energy policy in the Department,l am, by separate Order, eb'tablishing within the Secretary's Immediate Office the position of Counselor to the Secretary for Energy Policy. The Deputy Secretary, ASLM, and ASFWP will coordinate with the Counselor to the Secretary for Energy Policy in implementing this Order. Sec. 6 Effeet of Order. This Order is intended to improve the internal management of the Department. This Order and any resulting reports or recommendations are not intended to, and do not create any right or benefit, substantive or procedural, enforceable at law or equity by a party against the United States, its departments, agencies, instrumentalities or entities, its VerDate Sep<11>2014 17:12 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00072 Fmt 4700 Sfmt 4725 E:\FR\FM\01NOR1.SGM 01NOR1 sradovich on DSK3GMQ082PROD with RULES ER01NO17.021 Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Rules and Regulations 50563 4 officers or employees, or any other person. To the extent there is any inconsistency between the provisions. of this Order and any Federal laws or regulations, the laws or regulations will control. Sec. 7 Expiration Date, This Order is effective immecliately. It will remain in effect until its provisions are implemented and completed, or until it is amended, superseded, or revoked. MAY 012tiJ7 Date: VerDate Sep<11>2014 17:12 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00073 Fmt 4700 Sfmt 4725 E:\FR\FM\01NOR1.SGM 01NOR1 sradovich on DSK3GMQ082PROD with RULES ER01NO17.022 50564 Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Rules and Regulations THE SECRETARY OF THE INTERIOR WASHINGTON ORDERNO. 3351 Subject: Stren.gthening the Department of the Interior's Energy Portfolio Sec. 1 Purpose. Tlris Order establishes the position of Counselor to the Secretary for Energy Policy to ensure deliberate and active coordination of energy policy in the Department. Sec. 2 Baekground. Energy is an essential part of Ameriean life and a staple of the world economy. Achieving Ameriean energy dominance begim withlWOgnizing that we have vast untapped domestic energy reserves. For too long, America bas been held back by burdensome regulations on our energy industry. The Department is co:tl::lmitted to an America-first energy strategy that lowers costs for hardworking Americans and maximi:7..es the use of American resources, :freeing us from dependence on foreign oil. Nine ofthe Department's 10 bureaus have significant energy programs and responsibili.ties. The Department's energy portfolio includes oil, gas, coal, hydroelectric, wind, solar, geothermal, and biomass. The Department recognizes that. the development of energy resources on public lands will increase domestic energy production, provide alternatives to overseas energy resources, create jobs, and enhance the energy security of the United States. Eliminating harmful regulations and unnecessary policies will :require a sustained, focused effort. Sec.. 3 Authority. This Order is issued under the authority of 43 U.S. C. 1451, Section 2 of Reorganization Plan No. 3 of1950 (64 Stat 1262), and other applicable statues. Sec. 4 Counselor to the Secretary for Energy Policy. a. There is established in the Immediate Office of the Secretary. the position of Counselor to the Secretary for Energy Policy (Counselor). b. The Counselor shall report directly to the Secretary, who retains all de-cision- making authority. c. The duties of the Counselor position shall include, but are oot limited to: (l) Advising the Secretary, Deputy Secretary, Assistant Secretaries, and Chief of Staff on all aspects of enetgy policy. (2) Developing and coordinating strategies, policies, and practices that promote responsible development ofall types of energy on public lands managed and administered by the Department VerDate Sep<11>2014 17:12 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00074 Fmt 4700 Sfmt 4725 E:\FR\FM\01NOR1.SGM 01NOR1 sradovich on DSK3GMQ082PROD with RULES ER01NO17.023 Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Rules and Regulations 50565 2 (3) Identifying regulatory burdens that unnecessarily encumber energy exploration development, production, transportation; and developing strategies to eliminate or minimize these burdens. (4) Promoting efficient and effective processing of energy-related authori:r..ations. permits, regulations, and agreements. This includes, b1.rt is not limited to, working with the Assistant Secretaries and ()tber Departtnent leadership in prioritizing the work ofbu:reaus/offices in developing and implementing enetgy policy and affaits; tracking progress ofbmeaus/offices; and resolving obstacles to energy exploration, development, production, and transportation concerns. d. As directed by the Secretary, the Counselor: (1) Represents the Secretary, the Deputy Secretary. and/or Chief of Staff on energy-related intra- and inter-agency meetings ofiligb.-level go-vernmental officials; (2) Chairs boards, councils, and committees concerned with research. development, exploration, and transpmtation of energy; and (3) Represents the Secretary, the Deputy Secretary, and/or Chief of Staff before energy-related internal and external stakeholder meetings and conferences. e. The Counselor undertakes such other actions as directed by and <>n behalf oftbe Set--retary that relate to energy policy and affairs, including but not limited to coordinating: ( 1) Policy and regulatory decisionmak:ing for domesti'C and international projects; (2) De-velopmentofbest management practices for energy projects on the public lands to ensure responsible development of energy; and (3) Reviews of cost recovery in processing energy applications and monitoring of authorizations under the provisions of Section 304 and Section 504 of the Federal Land Policy and Management Act f. The Counselor works with other Federal agencies and offices, and s:tate regulatory agencies and offices, to improve the cootdination of energy policy. Sec. 5 Implementation. a The Counselor and the Chief of Staff ate responsible for implementing this Ordet. b. Each Assistant Secretary and bureau!office head. including the Solicitor, shall designate a liaison to serve with the Counselor in accordance with this Order. VerDate Sep<11>2014 17:12 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00075 Fmt 4700 Sfmt 4725 E:\FR\FM\01NOR1.SGM 01NOR1 sradovich on DSK3GMQ082PROD with RULES ER01NO17.024 50566 Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Rules and Regulations 3 Sec, 6 Expiration Date. This Order is effective immediately. It will remain in effect until i:ts provisions are converted to the Departmental Manual or until amended, suspended, or revoked. whichever occurs first. The termination of this Order will not nullify implementation of the requirements and responsibilities affected herein. /------.. Date: MAY 0 1 20l7 VerDate Sep<11>2014 17:12 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00076 Fmt 4700 Sfmt 4725 E:\FR\FM\01NOR1.SGM 01NOR1 sradovich on DSK3GMQ082PROD with RULES ER01NO17.025 Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Rules and Regulations 50567 United States Department of the Interior Ol"Ft<:E OF TliE SF.( :RET.-\R\' . Wa.uungron, ll t: 202-l{l • ' ORDER NO. 3352 Subject: National Petroleum Reserve - Alaska Sec. I Purpose. This Order provides for clean and safe development of our Nation's vast energy resources, while at the same time avoiding regulatory burdens that unnecessarily encumber energy production. constrain economic growth, and prevent job creation. The prudent development of these natural resources in Alaska and beyond is essential to ensuring the Nation's geopolitical security. Sec. 2 Authorities. This Order is issued under the authority of section 2 of Reorganization Plan No. 3 of 1950 (64 Stat. 1262), as amended; the Federal Land Policy and Management Act, 43 U.S.C. 1701~1785; the Naval Petroleum Reserves Production Act of 1976, 42 U.S.C. 650 I ~507, as amended; and other applicable statutes. Sec. 3 Background. The National Petroleum Reserve -Alaska (NPR-A} is the largest block of federally managed land in the United States. In 2010, the U.S. Geological Slli"Vey estimated the NPR-A contained approximately 895 million barrels of economically recoverable oil and 52.8 rrillion cubic feet of natural gas. On February 21, 2013, the Secretary of the Interior signed a Record of Decision approving the Integrated Activity Plan for the NPR-A, which sets forth the Bureau of Land Management· s plan for future management of the area That plan made approximately II million of the NPR-A 's 22.8 million acres unavailable for leasing, potentially precluding development of up to 350 million barrels of oil and 45 rrillion cubic fed of natural gas. The 1.5 million·ac~ coastal plain of the 19 million-acre Arctic National Wildlife Refuge (ANWR) is the largest unexplored, potentially productive geologic onshore basin in the United States. The primary area of the coastal plain is the Section I002 Area of ANWR.. The Section 1002 Area was specifically set aside by Congress and the President in 1980 because of its potential for oil and natural gas development. Sec. 4 Policy and Diredlon. a. Within 21 days of the issuance of this Order. the Assistant Secretary- Land and Minerals Management shall submit to the Counselor to the Secretary for Energy Policy: (I) a schedule to effectuate the lawful review and development of a revised Integrated Activity Plan for the NPR~A that srrikes an appropriate statutory balance of promoting development while protecting surface resources; and (2) an evaluation. under the existing Integrated Activity Plan. on efficiently and effectively rnnimizing the tracts offered for sale during the next NPR·A lease sale. VerDate Sep<11>2014 17:12 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00077 Fmt 4700 Sfmt 4725 E:\FR\FM\01NOR1.SGM 01NOR1 sradovich on DSK3GMQ082PROD with RULES ER01NO17.026 50568 Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Rules and Regulations b. Within 21 days of the issuance of this Order, the Assistant Secre~- Land and M'merals Managetnent and the Assistant Secretary-Water a~~.d Science shall submit to the Counselor to the Secretary for Energy Policy a joint plm for updating current assessments of undiscovered. technically recovetable o!J and natural gas resources of Alaska's North Slope. f~sin& on Federal lands including tbe NPR-A md the Section 1002 Area. The joint plan shall include consideration of new geologielil and geophysical data that has become available since the last assessments. as well as potential for reprocessing existing geological md geophysical data. c. Within 31 days of the issuance of this Order, the Counselor to tbe Secretary for Energy Policy shall provide to me a plan to.complete the review of the Department's actions set forth above. Sec. S Effed of Order. This Order is intertded to improve the internal management of the Department. This Order and any resulting reports or recommendations axe not intended to. and do not. create any right or benefit. substantive or procedural, enforceable at law or equity by any party aaainst tbe United States. its departments, agencies, instntmentalities or entities, its officers or employees, or any other person. To the extent there is my inconsistency between the provisions of thiS Order and my Federal laws or regulations, the laws or regulations will conttQl. Sec. 6 Expiralioa Date. This Order is effective immediately. Jt wilt remain in effect until its provisions axe fully implemented, or untii it is amended. superseded, or revoked, whichever occurs (U'St. Date: VerDate Sep<11>2014 17:12 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00078 Fmt 4700 Sfmt 4725 E:\FR\FM\01NOR1.SGM 01NOR1 sradovich on DSK3GMQ082PROD with RULES ER01NO17.027 Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Rules and Regulations 50569 THE SECRETARY OF THE INTERIOR WASHINGTON ORDERNO. 3353 Subject: Greater Sage-Grouse Conservation and Cooperation with Western States sec. 1 Purpose. The purpo$eS a:fthe Order are to! (l) enhance cooperation between the Dept;utntent of the lnterior (I>epa.rUnent} and the States of Oregon. Washington. California, Nevada, Idaho, Utah. Montana, North Dakota, South Dalrota, Wyoming, and Colorado (the Eleven Western States) in the management and conservation ofthe Greater Sage..Qrouse (Sage-Grouse)and its habitat; (2) support a partnership with clearly defined objectives and roles for Federal and State entides resjl()llSt'ble for Sage-Grouse truUlagemertt and conservation in order to sustain healthy populations of the species; and (3) establi!ili a team to review the Federalland management agencies' Sage-Grouse plan amendments and revisions oomple1ed on or before September 2015. Sec. 2 A11tllorities. This Order is issued \Ulder the authority of section 2.ofReorganizatkm Plan No. 3 ofl950 (64 Stat. 1262}, as amended, and pursuant to the land management and programmatic authorities of the bureaus identified below in section 4b. Sec. 3 Baekground. The Department has broad responsibilities to manage Federal lands and resources fot the public's benefit, including, but not limited to. permitting authorized uses; n:mnaging habitat to support fish, wildlife, and other resources; protecting cultural resources; and providing recreational and educational opportunities on Federal lands and watera. The State agencle~~ responsible for fish and wildlife management possess broad powers for the protection and management of fish, wildlife, and plants within their borders. exeept where preempted by Federal law. State agencies are at the forefront ofefforts to maintain healthy fish and wildlife populations and to conserve at~risk species to ensure that protection under the Endangered Specie~! Act (HSA) is not required. The State-Federal ~~Grouse Task Force (SOTF) was established in 2011 as a forum for h.igb.level State and Federal representatives to meet .and evaluate poli~ies, programs, management actions. data sharing. and other. actions a:trecting conservation ofthe Sage--Grouse and the sagebrush ecosystem, as well as the health of the cmnmunities and economies of the American West. In September 2015, the Department and the United States Department of Agriculture (USDA) adopted amendments and revisions to 98 Bureau of Land Management (BLM) and U.S. Forest Service (USFS) land U8e plans across the .Eleven Western States addressing. in part. the Sage Grouse and its habittt (the 2(}15 Sage--Grouse Plans). The 2015 Sage..Qronse Plans govern management of 61 :millio11 acres of'Federallands. More than half of remaining Sage-Grouse habitat is on land managed by BLM and USFS. As the ~t moves forwanl in the management of Sage..:Qronse habitat, itis imperative that it does so in a manner that allows both VerDate Sep<11>2014 17:12 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00079 Fmt 4700 Sfmt 4725 E:\FR\FM\01NOR1.SGM 01NOR1 sradovich on DSK3GMQ082PROD with RULES ER01NO17.028 50570 Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Rules and Regulations wildlife and local economies to tlnive andlnoorporate the expertise of Federal employees in the field. local conditions •. and proven State and local approaches. In Q~tober 20U. in relitmce up()n the conservation contmittnents aodprogtess reflected in Federalltmd use pltm atr1endrnents tmd revisions and. other private, SWie. and, Federal conservation effarls,1he U.S. Fish and Wildlife ~ce (FWS) determined that the Sage-Grouse did not warrant listing under the ESA. In making that finding. FWS committed to work with State and Federal partners to conduct a Sage-Grouse status review 1n S yearn. Sec. 4 Po6ey. a. Cqo.peration with the Bleyen Westetn States oti Sage-OJ;puse Conservation ~- Consistent with gov~b\g.laws, regulatio~ and policies, tb:e ~ent will implement a multifaceted strategy .to enhanoo cooperation with the Eleven Western States primarily responsible for the management and conServation of Sage-Grouse. The strategy will include suppord:ng a pllrtllership that alluws the Department and the Eleven Westem States tp trudntain healthy populations of Sage-Grouse and bnprove collabonition and. integration of State and local concerns and approaches into sagebrush mtmagement and conservation on Federal lands. Accordingly, and subject to paragraph 4b, below, the BLM Director, working with other heads ofbureaus and offices within the Department. USPS, and affected States thto• the SO't'F,. shall develop: (i) memorandums of understanding and other agreements with states and otbet partners regarding implementation of the 2015 Sage-Grouse Plans; (ii) training for BLM sta:ffregal'ding implementation ofthe 2015 Sage-Grouse Plans. including direction to consider state and local illfotJnation.I!IS appropriate; and (iii) meml:lt8ndums of understanding and other agreements with States and other partners regardb\g mtegration ofmftmnation on Sage-Grouse populations into Federal land management decisionS. b. Department ofthe Interior Sage-Grouse Review Team. This Order establishes the Sage--Grouse Revi'CW Team (Team). The Team will be made up of lmd mana~s J:llld other professionals ftom b~tiS and ottices, including BLM. FWS, and the U.S. Geological Smvey(OSGS). The Team will close{ycoort:finatewith USDA and USPS. The. Team will engage with appropriate State agencies through the SGTF to coordinate its work. The Team is hereby directed to conduct: (i) a review ofthe plans and programs th$t States already have in place to ensure that the 2015 Sage-Grouse PltmS adequately complement state efforts to con!let'W the species; VerDate Sep<11>2014 17:12 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00080 Fmt 4700 Sfmt 4725 E:\FR\FM\01NOR1.SGM 01NOR1 sradovich on DSK3GMQ082PROD with RULES ER01NO17.029 Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Rules and Regulations 50571 3 (ii) a~ ~nation, through the framework established by the Integrated Rangeland Fire Management Strategy. ofissues associated with preventing and .fighting the proliferation ofinvasive grasses and wildland ~. which are leading t:hnmts to Sage-GrotJse habitat; (iii) an examination of the impact on individual States disproportionately affected by the large petcentage ofFederal lands within their borders. recognizing thatthose lands are importllnt to resoun;e use and dwelopmen~ and. to the conservation ofthe Sage-Grouse; (iv) areview ofthe 2015 Sage--Omuse Plans and associated polices, including sewn BLM Instrw:ition Mem.Ora1lda (IM) issued in September 2016. The.review will include (1) identification ofprovisions that mar n:q~ modification or rescission. as appropriate. in order to give appropriate weight to the value ofenergy and other development of public lands within BLM's overall multiple-use mission and to be consistent with the policy set :forth in Secretary's Order 3349, "American Energy Independence." implementing the Executive Order signed~ the President on March 28, 2017, "Promoting Energy Independence and Economic Growth''~ and (2) opportunities to conserw the .Sage-Grouse ttnd its habitat without inhibiting job creation and local economic growth; (v} as appropriate, the Team shoUld provide recommendations with regard to (1) captive breed'mg (2) owortunities to enhance State involvement; (3) effi<1acy oftarget popUia.ti.Qns on a State-by-State bas~ and {4) additiQnal steps that can be talc:en in the ne~Jttettn to maintain or improve: the current population levels and habitat conditions. Sec. 5. Implementation. a. Within 10 days ofthe signblg of this Order. the :Deputy S~ will designate individuals from within the Department to serve on the Team. b. The BLMI>b:ector will designate ttn individual to coordinate all activities by and within the Department With respect to implementation ofthis Otder. c. All bureaus and o6ices are directed to. immediately begin implementing section 4 ofthis Order by identifYing opportUnities for cooperative management agreements and collaborative partnerships with the Eleven Western States and~ outlining any specific steps to be undertaken. d. Within 60 day.s.ofthe date of this Order.. the Team shall prQvide a report to the Secretary summarizing the review set forth in section 4b ofthis Order and provide reconnnendations; tegardingadditional steps the Department shoUld take to address anyissues identified as a resUlt ofthat review. Sec. 6 Effect of Order. This Order is intended to improve the internal managementofthe Department. This Order and any resUlting reports or recommendations are not intended to and VerDate Sep<11>2014 17:12 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00081 Fmt 4700 Sfmt 4725 E:\FR\FM\01NOR1.SGM 01NOR1 sradovich on DSK3GMQ082PROD with RULES ER01NO17.030 50572 Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Rules and Regulations 4 do not ereate any right or benefit, substantive or proeec!uW. enfureeal)le ~law or equity by any party against the United States. its departments_. agencies. instrumentalities or entities, its officers or employees~ or any other person. To the extent there is any inconsistency between the ptQvisi9nS ofthis Order and any FedenU laws or replations, the laws or regulations: Will conf;ml. See. 7 Expiration Date. This Orderis effective :in:nnediatdy and will remain in effect until its provisions are accomplished. amended. superseded,.or revoked, whichever occurs first. Date: JUne 7, 2017 VerDate Sep<11>2014 17:12 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00082 Fmt 4700 Sfmt 4725 E:\FR\FM\01NOR1.SGM 01NOR1 sradovich on DSK3GMQ082PROD with RULES ER01NO17.031 Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Rules and Regulations 50573 THE SECRETARY OF THE INTERIOR WASHINGTON ORDERNO. 3354 Subject: Supporting and Improving the Federal Ollshore Oil and Gas Leasing Program and Federal Solid Mineral Leasing Program Sec. 1 PnrpQs~. this Order. is intended to: ensure that quarterly lease sales are consistently h~d and to identifY other ways the Department ofthe Interior (Department) may promOte the exploratioo and development of both Federal Onshore oil and gas resoul'Ces and Federal SC>lid mineral resouro.es. In administering 700 million acres of the Federal mineral resources, the Bureau of Land Matmgement(BLM) has a responsibility to make both Federal oil and gas resourceS. and Federal csolid mineral resources available for the benefit of citizens of the United States. Multiple quarterly Fed~al onshore oil and gas lease sales have been postp()ned o.r cancelled since 2009. The Mineral Leasing Act of 1920 requires that oil and gas lease sales "be held for each State where eligible lands are available at least quarterly and more frequently if' the Secretary of the Interior detennines sueh sales are necessary." 30 U.S.C. § 226. In issuing this Order, I am taking oo:rrective action as a responsible public steward to strengthen American enerQ security and create American job$, Sec, 2 Auth!lrities. This Order is issued under the authority ofsection 2. ofReorganization Plan No. 3 of 1950. 64 Stat. 1262. as amended. Other statutory authorities for this Otder include, but are not limited to, the following: (a) Mineral Leasing Act of1920, 30 U.S.C. §§ 181-287; (b) Mineral Leasing Act for Acquired Lands. 30 O.s.c. §§ 3Sl~3S9~ and (c) Federal Land Policy and Management Act, 43 U.S,C. i§ 1701-1785. See. 3 Direetiv-. Consistent with principles of responsible public Stewardship entrusted to this ofiice, with due consideration of the critical importance of American energy security. j()b ereatioo•. conservation stewardship, and the economies of affected states, the following acti()Ds shall be taken by BLM: (a) suppe>rt and improve the implementation ofthe oil and gas quarterly l~se sale provision found in the Mineral Leasing Act; (b) identify options to improve the Federal o~ oil and gas leasing program and the Federal solid mineral leasing program. tuJ well as identify additional steps to enhance exploration and development of Federal onshore oil and gas resources aud Federal solid mineral resources; and VerDate Sep<11>2014 17:12 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00083 Fmt 4700 Sfmt 4725 E:\FR\FM\01NOR1.SGM 01NOR1 sradovich on DSK3GMQ082PROD with RULES ER01NO17.032 50574 Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Rules and Regulations 2 (c) develop an effective strategy to address permitting appllimtio~ efficiently and effectively u well u develop clear and actillnable goals for reducing the permit processin@ tbne. Sec•. 4 Implementation.. (a) The Assista:t\t Secretary- Land and M'metals Management (ASLM) and the Direct<)r, BLM. shall tep!lrt to the Counselor to the Secretary for Energy Policy within 45 days ofthe date of this Order 011! (1) props made to $upport and itnpwve the quarterly lease sales in the F.ederal onsllom ()it and gas·IeuiJlgprognun and a 1imeline for doing so, ifnot already completed; (2) options identified to imprOve the Vedetal onshore oil and gas leU'ing program. and the Federal.soli.d millet'lll leasing program to enhance Federal onshore oil and gas and Federal solld mineral exploration and development as required by section 3 .above; and (3) a strategy to process the large number of ewently pending permitting applications and improve the permitting process. (As pi:U't o;fthis process, the ASLM and Director, BLM,. mall consult with the U.S. ~~ent ofAgriculture and U.S. Forest Setvice.) (h) In addition.. the other Assistant Secretaries and beads of burea;usloffices within the Department are hereby directed to; (1) identify any provisions in their exls.ting policy .and guidance documents that would lm:pede BLM's plans to carry out quarterly oit and S8.S lease :sales or its efforts to enhance exploration and development of Federal onshore oil and gas resources and Federal solid mineral resources; and · {2) provide to the Counselor to the Sooretary for Energy Policy within 45 days ofthe date of this Order a ;report on progre$11 made to eliminate the identUied policy or guidance impediments and a timeline for eliminating them, ifnot already C4)ll'lpleted. Sec. 5 'Effeet ot'the Order. This Order is intended to improve the internal management of the Dep~ent. this Order and llllY resulting ti}ports or recommendations are not intended to, and (lo not, create any right or benetl~ substantive or procedural, ~roeable tJ,t law or equity by a party against the United States, its depl;lttments. agencies, instrumentalities or entities,. its officers or employees or any other person. to the extent there is any inconsistency between the provisions oftbis Order and any Feder~ laws or regulati~ the laws or regulations \\lilt control. VerDate Sep<11>2014 17:12 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00084 Fmt 4700 Sfmt 4725 E:\FR\FM\01NOR1.SGM 01NOR1 sradovich on DSK3GMQ082PROD with RULES ER01NO17.033 Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Rules and Regulations 50575 [FR Doc. 2017–23702 Filed 10–31–17; 8:45 am] www.regulations.gov, type USCG–2017– comment period that ended October 6, BILLING CODE 4334–63–C 0552 in the ‘‘SEARCH’’ box and click 2017, we received five comments. ‘‘SEARCH.’’ Click on Open Docket Under 5 U.S.C. 553(d)(3), the Coast Folder on the line associated with this Guard finds that good cause exists for DEPARTMENT OF HOMELAND rule. making this rule effective less than 30 SECURITY FOR FURTHER INFORMATION CONTACT: If days after publication in the Federal you have questions on this rule, call or Register. Delaying the effective date of Coast Guard email Petty Officer Mara J. Brown, this rule would be impracticable Sector Miami Waterways Management because immediate action is needed to 33 CFR Part 100 Division, U.S. Coast Guard; telephone respond to the potential safety hazards [Docket Number USCG–2017–0552] (305) 535–4317, email Mara.J.Brown@ associated with this event which will uscg.mil. take place this year on November 17, RIN 1625–AA08 2017. SUPPLEMENTARY INFORMATION: III. Legal Authority and Need for Rule Special Local Regulation; Atlantic I. Table of Abbreviations Ocean, Ft. Lauderdale, FL The Coast Guard is issuing this rule CFR Code of Federal Regulations under authority in 33 U.S.C. 1233. The AGENCY: Coast Guard, DHS. DHS Department of Homeland Security Captain of the Port Miami (COTP) has ACTION: Final rule. FR Federal Register NPRM Notice of proposed rulemaking determined that that potential hazards SUMMARY: The Coast Guard is § Section associated with the high speeds of the establishing a recurring special local U.S.C. United States Code participants during the races would be a safety concern for anyone who would regulation for navigable waters of the II. Background Information and enter the race area. The purpose of this Atlantic Ocean in the vicinity of Fort Regulatory History Lauderdale, FL for the Fort Lauderdale rulemaking is to ensure the safety of Grand Prix of the Seas. The Fort On June 7, 2017, the company vessels and the navigable waters within Lauderdale Grand Prix of the Seas race Powerboat P1–USA, LLC notified the the established race area, marked with course is located east of South Beach Coast Guard that it will be conducting buoys. Park and North of the Port Everglades the Ft. Lauderdale Grand Prix of the Seas race annually. This event will IV. Discussion of Comments, Changes, inlet. Approximately 100 high-speed and the Rule personal watercraft will be participating occur yearly on one weekend (Friday, in the event. The special local Saturday, and Sunday) in November. As noted above, we received five regulation is needed to protect The race course will be located directly comments on our NPRM published personnel, vessels, and the marine east of South Beach Park in Ft. September 6, 2017. All comments were environment from potential hazards Lauderdale, FL. The special local in favor of this regulation. There are no during the race event. All vessels and regulation is intended to protect changes in the regulatory text of this persons in the regulated area must personnel, vessels, and the marine rule from the proposed rule in the follow the direction of Coast Guard environment. On September 6, 2017, the NPRM. personnel, law enforcement, and race Coast Guard published a notice of This rule establishes a special local officials. proposed rulemaking (NPRM) entitled, regulation for this event occuring ‘‘Special Local Regulation; Atlantic annually on one weekend (Friday, DATES: This rule is effective November Ocean, Ft. Lauderdale, FL’’ (82 FR Saturday, and Sunday) in November, 1, 2017. 42050). Therein we stated why we with the precise date of the event each ADDRESSES: To view documents issued the NPRM, and invited year to be published in a notice of mentioned in this preamble as being comments on our proposed regulatory enforcement in the Federal Register. available in the docket, go to http:// action related to this race During the The special local regulation covers all VerDate Sep<11>2014 17:12 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00085 Fmt 4700 Sfmt 4700 E:\FR\FM\01NOR1.SGM 01NOR1 sradovich on DSK3GMQ082PROD with RULES ER01NO17.034 50576 Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Rules and Regulations navigable waters within the established certifies under 5 U.S.C. 605(b) that this tribes, on the relationship between the race area, marked with buoys, rule will not have a significant Federal Government and Indian tribes, approximately one mile north of the economic impact on a substantial or on the distribution of power and Port Everglades inlet. The duration of number of small entities. responsibilities between the Federal the zone is intended to protect While some owners or operators of Government and Indian tribes. If you personnel, vessels, and the marine vessels intending to transit the safety believe this rule has implications for environment in the navigable waters zone may be small entities, for the federalism or Indian tribes, please during the Fort Lauderdale Grand Prix reasons stated in section V.A above, this contact the person listed in the FOR of the Seas race event. Only those rule will not have a significant FURTHER INFORMATION CONTACT section. vessels participating in the event may economic impact on any vessel owner enter, transit through, anchor in, or or operator. E. Unfunded Mandates Reform Act remain within the regulated area, and Under section 213(a) of the Small The Unfunded Mandates Reform Act all vessels and persons in the regulated Business Regulatory Enforcement of 1995 (2 U.S.C. 1531–1538) requires area must follow the direction of Coast Fairness Act of 1996 (Pub. L. 104–121), Federal agencies to assess the effects of Guard personnel, law enforcement, and we want to assist small entities in their discretionary regulatory actions. In race officials. understanding this rule. If the rule particular, the Act addresses actions would affect your small business, V. Regulatory Analyses that may result in the expenditure by a organization, or governmental State, local, or tribal government, in the We developed this rule after jurisdiction and you have questions aggregate, or by the private sector of considering numerous statutes and concerning its provisions or options for $100,000,000 (adjusted for inflation) or Executive orders related to rulemaking. compliance, please contact the person more in any one year. Though this rule Below we summarize our analyses listed in the FOR FURTHER INFORMATION will not result in such an expenditure, based on a number of these statutes and CONTACT section. we do discuss the effects of this rule Executive orders, and we discuss First Small businesses may send comments elsewhere in this preamble. Amendment rights of protestors. on the actions of Federal employees who enforce, or otherwise determine F. Environment A. Regulatory Planning and Review compliance with, Federal regulations to We have analyzed this rule under Executive Orders 12866 and 13563 the Small Business and Agriculture Department of Homeland Security direct agencies to assess the costs and Regulatory Enforcement Ombudsman Management Directive 023–01 and benefits of available regulatory and the Regional Small Business Commandant Instruction M16475.lD, alternatives and, if regulation is Regulatory Fairness Boards. The which guide the Coast Guard in necessary, to select regulatory Ombudsman evaluates these actions complying with the National approaches that maximize net benefits. annually and rates each agency’s Environmental Policy Act of 1969 (42 Executive Order 13771 directs agencies responsiveness to small business. If you U.S.C. 4321–4370f), and have to control regulatory costs through a wish to comment on actions by determined that this action is one of a budgeting process. This rule has not employees of the Coast Guard, call 1– category of actions that do not been designated a ‘‘significant 888–REG–FAIR (1–888–734–3247). The individually or cumulatively have a regulatory action,’’ under Executive Coast Guard will not retaliate against significant effect on the human Order 12866. Accordingly, this rule has small entities that question or complain environment. This rule involves a not been reviewed by the Office of about this rule or any policy or action special local regulation lasting three Management and Budget (OMB), and of the Coast Guard. days that will impact a small area in the pursuant to OMB guidance it is exempt vicinity of the Port Everglades Inlet. It from the requirements of Executive C. Collection of Information is categorically excluded from further Order 13771. This rule will not call for a new review under paragraph 34(h) of Figure This regulatory action determination collection of information under the 201 of the Commandant Instructions. A is based on the size, location, and time- Paperwork Reduction Act of 1995 (44 Record of Environmental Consideration of-year of the special local regulation. U.S.C. 3501–3520). Vessel traffic will be able to safely supporting this determination is transit around this regulated area, which D. Federalism and Indian Tribal available in the docket where indicated will impact a small designated area of Governments under ADDRESSES. the Atlantic Ocean in Fort Lauderdale, A rule has implications for federalism G. Protest Activities FL, directly adjacent to the shore, for under Executive Order 13132, The Coast Guard respects the First three days. Federalism, if it has a substantial direct effect on the States, on the relationship Amendment rights of protesters. B. Impact on Small Entities between the national government and Protesters are asked to contact the The Regulatory Flexibility Act of the States, or on the distribution of person listed in the FOR FURTHER 1980, 5 U.S.C. 601–612, as amended, power and responsibilities among the INFORMATION CONTACT section to requires Federal agencies to consider various levels of government. We have coordinate protest activities so that your the potential impact of regulations on analyzed this rule under that Order and message can be received without small entities during rulemaking. The have determined that it is consistent jeopardizing the safety or security of term ‘‘small entities’’ comprises small with the fundamental federalism people, places or vessels. businesses, not-for-profit organizations principles and preemption requirements List of Subjects in 33 CFR Part 100 that are independently owned and described in Executive Order 13132. operated and are not dominant in their Also, this rule does not have tribal Marine safety, Navigation (water), fields, and governmental jurisdictions implications under Executive Order Reporting and recordkeeping with populations of less than 50,000. 13175, Consultation and Coordination requirements, Waterways. The Coast Guard received no comments with Indian Tribal Governments, For the reasons discussed in the from the Small Business Administration because it does not have a substantial preamble, the Coast Guard amends 33 on this rulemaking. The Coast Guard direct effect on one or more Indian CFR part 100 as follows: VerDate Sep<11>2014 17:12 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00086 Fmt 4700 Sfmt 4700 E:\FR\FM\01NOR1.SGM 01NOR1 sradovich on DSK3GMQ082PROD with RULES Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Rules and Regulations 50577 PART 100—SAFETY OF LIFE ON in advance of an event of the requested a temporary deviation from NAVIGABLE WATERS enforcement of the regulations in this the current operating schedule to section to include publishing a Notice of facilitate application of an epoxy ■ 1. The authority citation for part 100 Enforcement in the Federal Register and overlay for the drawbridge’s entire continues to read as follows: through the local Notice to Mariners and bridge deck. The bridge has a vertical Authority: 33 U.S.C. 1233. Broadcast Notice to Mariners. clearance of 14 feet above mean high (d) Enforcement date. This section ■ 2. Add § 100.723 to read as follows: water in the closed position and will be enforced annually on a weekend unlimited feet above mean high water in § 100.723 Special Local Regulation; Fort (Friday, Saturday and Sunday) in the the open position. Lauderdale Grand Prix of the Seas; Fort month of November. Lauderdale, FL. The current operating schedule is set Dated: October 23, 2017. (a) Location. The following regulated out in 33 CFR 117.5. Under this J.H.D. Solomon, area is established as a special local temporary deviation, the bridge will be regulation. All navigable waters Captain, U.S. Coast Guard, Captain of the in the closed-to-navigation position Port Miami. contained within an imaginary line from 7 a.m. to 7 p.m.; on Monday, connecting the following points: [FR Doc. 2017–23708 Filed 10–31–17; 8:45 am] November 6, 2017, through Saturday, beginning at Point 1 in position 26°6′21″ BILLING CODE 9110–04–P November 11, 2017, and Monday, N., 080°5′51″ W.; thence west to Point November 13, 2017, through Friday, 2 in position 26°6′21″ N., 080°6′13″ W.; DEPARTMENT OF HOMELAND November 17, 2017. thence north to Point 3 in position SECURITY The AICW, Alligator River is used by 26°6′57″ N., 080°6′13″ W.; thence east to ° ′ ″ a variety of vessels including, small Point 4 in position 26 6 57 N., Coast Guard 080°5′52″ W., thence back to origin at commercial vessels, tug and barge traffic, and recreational vessels. The point 1. All coordinates are North 33 CFR Part 117 American Datum 1983. Coast Guard has carefully coordinated (b) Definition. The following [Docket No. USCG–2017–0967] the restrictions with waterway users in definitions apply to this section: publishing this temporary deviation. Drawbridge Operation Regulation; (1) The term ‘‘designated Vessels able to pass through the Atlantic Intracoastal Waterway, representative’’ means Coast Guard bridge in the closed-to-navigation Alligator River, Columbia, NC Patrol Commanders, including Coast position may do so at any time. The Guard coxswains, petty officers, and AGENCY: Coast Guard, DHS. bridge will open on signal during other officers operating Coast Guard ACTION: Notice of deviation from closure period, if at least 2 hours notice vessels, and Federal, State, and Local drawbridge regulation. is given. The bridge will be able to open officers designated by or assisting the for emergencies and there is no Captain of the Port Miami in the SUMMARY: The Coast Guard has issued a immediate alternative route for vessels enforcement of the regulated areas. temporary deviation from the operating unable to pass through the bridge in the (2) The term ‘‘Patrol Commander’’ schedule that governs the US 64/ closed position. The Coast Guard will means a commissioned, warrant, or Alligator River Bridge which carries US petty officer of the Coast Guard who has 64 over the Atlantic Intracoastal also inform the users of the waterway been designated by the respective Coast Waterway (AICW), Alligator River, mile through our Local Notice and Broadcast Guard Sector Commander to enforce 84.2, near Columbia, NC. The deviation Notices to Mariners of the change in these regulations. is necessary to facilitate bridge operating schedule for the bridge so (3) The term ‘‘spectators’’ means all maintenance. This deviation allows the vessel operators can arrange their persons and vessels not registered with bridge to remain in the closed-to- transits to minimize any impact caused the event sponsor as participants or navigation position. by the temporary deviation. official patrol vessels. DATES: The deviation is effective from 7 In accordance with 33 CFR 117.35(e), (c) Regulations. (1) All non- a.m. on November 6, 2017, through 7 the drawbridge must return to its regular participant persons and vessels are p.m. on November 17, 2017. operating schedule immediately at the prohibited from entering, transiting ADDRESSES: through, anchoring in, or remaining The docket for this end of the effective period of this within the regulated area unless deviation, USCG–2017–0967 is available temporary deviation. This deviation authorized by the Captain of the Port at http://www.regulations.gov. Type the from the operating regulations is Miami or a designated representative. docket number in the ‘‘SEARCH’’ box authorized under 33 CFR 117.35. and click ‘‘SEARCH’’. Click on Open (2) Persons and vessels desiring to Dated: October 27, 2017. Docket Folder on the line associated enter, transit through, anchor in, remain Hal R. Pitts, within or transit in excess of wake with this deviation. Bridge Program Manager, Fifth Coast Guard speed within any of the regulated area FOR FURTHER INFORMATION CONTACT: If District. may contact the Captain of the Port you have questions on this temporary Miami by telephone at (305) 535–8701, deviation, call or email Mr. Michael [FR Doc. 2017–23745 Filed 10–31–17; 8:45 am] or a designated representative via VHF– Thorogood, Bridge Administration BILLING CODE 9110–04–P FM radio on channel 16 to request Branch Fifth District, Coast Guard, authorization. If authorization is telephone 757–398–6557, email granted, all persons and vessels [email protected]. receiving such authorization must SUPPLEMENTARY INFORMATION: The North comply with the instructions of the Carolina Department of Transportation, Captain of the Port Miami or a owner and operator of the US 64/ designated representative. Alligator River Bridge that carries US 64 (3) The Coast Guard will use all over the AICW, Alligator River, mile appropriate means to notify the public 84.2, at near Columbia, NC, has VerDate Sep<11>2014 17:12 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00087 Fmt 4700 Sfmt 9990 E:\FR\FM\01NOR1.SGM 01NOR1 sradovich on DSK3GMQ082PROD with RULES 50578 Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Rules and Regulations DEPARTMENT OF HOMELAND authorizes an agency to issue a rule Illinois River in Beardstown, IL. The SECURITY without prior notice and opportunity to safety zone is intended to ensure the comment when the agency for good safety of life and vessels on these Coast Guard cause finds that those procedures are navigable waters during overhead power ‘‘impracticable, unnecessary, or contrary line work. No vessel or person will be 33 CFR Part 165 to the public interest.’’ Under 5 U.S.C. permitted to enter the safety zone 553(b)(B), the Coast Guard finds that without obtaining permission from the [Docket Number USCG–2017–0932] good cause exists for not publishing a COTP or a designated representative. RIN 1625–AA00 Notice of Proposed Rulemaking (NPRM) Exact times of the closures and any with respect to this rule because it is changes to the planned schedule will be Safety Zone; Illinois River, impracticable. communicated to mariners using Beardstown, IL The contractor for Ameren Electric Broadcast and Local Notice to Mariners. Company, The L.E. Meyers Co., notified AGENCY: Coast Guard, DHS. the Coast Guard on September 25, 2017 V. Regulatory Analyses ACTION: Temporary final rule. that the work would begin November 1, We developed this rule after 2017 at 6 a.m. between Illinois River considering numerous statutes and SUMMARY: The Coast Guard is mile marker (MM) 83.0 and MM 87.0, Executive Orders related to rulemaking. establishing a temporary safety zone for which will cause safety concerns to Below we summarize our analyses all navigable waters on the Illinois River vessels and obstruct the navigational based on a number of these statutes and between mile marker (MM) 83.0 and channel. The contractor will be using Executive Orders, and we discuss First MM 87.0. This action is necessary to helicopters in the placement of steel Amendment rights of protestors. provide for the safety of life and structures to support new power lines A. Regulatory Planning and Review property on all navigable waters near and to stretch the new power lines Beardstown, IL while construction work across the river. Due to the risks Executive Orders 12866 and 13563 is completed on new power lines associated with power line work direct agencies to assess the costs and extending across the river. During the crossing the navigational channel, a benefits of available regulatory period of enforcement, entry into the safety zone is needed. We must alternatives and, if regulation is safety zone is prohibited unless establish this temporary safety zone by necessary, to select regulatory specifically authorized by the Captain of November 1, 2017 and lack sufficient approaches that maximize net benefits. the Port Sector Upper Mississippi River time to provide a reasonable comment Executive Order 13771 directs agencies (COTP) or a designated representative. period and then consider those to control regulatory costs through a DATES: This rule is effective from 6 a.m. comments before issuing the rule. budgeting process. This rule has not on November 1, 2017, through 6 p.m. on We are issuing this rule, and under 5 been designated a ‘‘significant December 15, 2017. U.S.C. 553(d)(3), the Coast Guard finds regulatory action,’’ under Executive ADDRESSES: To view documents that good cause exists for making it Order 12866. Accordingly, this rule has mentioned in this preamble as being effective less than 30 days after not been reviewed by the Office of available in the docket, go to http:// publication in the Federal Register. Management and Budget (OMB), and www.regulations.gov, type USCG–2017– Delaying the effective date of the rule is pursuant to OMB guidance it is exempt 0932 in the ‘‘SEARCH’’ box and click contrary to the public interest because from the requirements of Executive ‘‘SEARCH.’’ Click on Open Docket immediate action is necessary to Order 13771. Folder on the line associated with this prevent possible loss of life and This regulatory action determination rule. property from the hazards associated is based on the size, location, duration, with the overhead power line work. and time-of-year of the safety zone. This FOR FURTHER INFORMATION CONTACT: If temporary final rule establishes a you have questions on this rule, call or III. Legal Authority and Need for Rule temporary safety zone impacting a four email Lieutenant Commander Sean The Coast Guard is issuing this rule mile area on the Illinois River for a Peterson, Chief of Prevention, Sector under authority in 33 U.S.C. 1231. The limited time period of twelve hours on Upper Mississippi River, U.S. Coast Captain of the Port Sector Upper forty-five separate days. Additionally, Guard; telephone 314–269–2332, email Mississippi River (COTP) has from November 1, 2017 to November 11, [email protected]. determined that potential hazards 2017 the safety zone will be enforced for SUPPLEMENTARY INFORMATION: associated with overhead power line only five days while steel structures are I. Table of Abbreviations construction presents a safety concern being flown over the river and put in for all navigable waters of the Illinois place to support the new power lines. CFR Code of Federal Regulations River between MM 83.0 and MM 87.0. During the dates from November 12, COTP Captain of the Port Sector Upper The purpose of this rule is to ensure 2017 to December 15, 2017 new power Mississippi River lines will be stretched across the river. DHS Department of Homeland Security safety of life on the navigable waters in FR Federal Register the temporary safety zone before, During the enforcement period, vessels NPRM Notice of proposed rulemaking during, and after the overhead power are prohibited from entering into or § Section line work. remaining within the safety zone unless U.S.C. United States Code specifically authorized by the COTP or IV. Discussion of the Rule other designated representative. The II. Background Information and This rule establishes a safety zone contractor performing the work will Regulatory History each day from 6 a.m. to 6 p.m. communicate to the COTP when work is The Coast Guard is issuing this beginning on November 1, 2017 and not being performed and allow for temporary rule without prior notice and ending on December 15, 2017, or until affected vessel traffic to pass through opportunity to comment pursuant to conditions allow for safe navigation, the area. authority under section 4(a) of the whichever occurs earlier. The safety Additionally, notice of the safety zone Administrative Procedure Act (APA) (5 zone will cover all navigable waters or any changes in the planned schedule U.S.C. 553(b)). This provision between MM 83.0 and MM 87.0 on the will be made via Broadcast and Local VerDate Sep<11>2014 17:12 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00088 Fmt 4700 Sfmt 4700 E:\FR\FM\01NOR1.SGM 01NOR1 sradovich on DSK3GMQ082PROD with RULES Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Rules and Regulations 50579 Notice to Mariners. Entry into this safety D. Federalism and Indian Tribal Figure 2–1 of the Commandant zone may be requested from the COTP Governments Instruction. A Record of Environmental or other designated representative and A rule has implications for federalism Consideration supporting this will be considered on a case-by-case under Executive Order 13132, determination is available in the docket basis. Federalism, if it has a substantial direct where indicated under ADDRESSES. B. Impact on Small Entities effect on the States, on the relationship G. Protest Activities between the national government and The Coast Guard respects the First The Regulatory Flexibility Act of the States, or on the distribution of Amendment rights of protesters. 1980, 5 U.S.C. 601–612, as amended, power and responsibilities among the Protesters are asked to contact the various levels of government. We have requires Federal agencies to consider person listed in the FOR FURTHER analyzed this rule under that Order and the potential impact of regulations on INFORMATION CONTACT section to small entities during rulemaking. The have determined that it is consistent coordinate protest activities so that your term ‘‘small entities’’ comprises small with the fundamental federalism message can be received without businesses, not-for-profit organizations principles and preemption requirements jeopardizing the safety or security of that are independently owned and described in Executive Order 13132. people, places or vessels. operated and are not dominant in their Also, this rule does not have tribal fields, and governmental jurisdictions implications under Executive Order List of Subjects in 33 CFR Part 165 with populations of less than 50,000. 13175, Consultation and Coordination Harbors, Marine safety, Navigation The Coast Guard certifies under 5 U.S.C. with Indian Tribal Governments, (water), Reporting and recordkeeping 605(b) that this rule will not have a because it does not have a substantial requirements, Security measures, and significant economic impact on a direct effect on one or more Indian Waterways. substantial number of small entities. tribes, on the relationship between the For the reasons discussed in the Federal Government and Indian tribes, While some owners or operators of preamble, the Coast Guard amends 33 or on the distribution of power and CFR part 165 as follows: vessels intending to transit the safety responsibilities between the Federal zone may be small entities, for the Government and Indian tribes. If you PART 165—REGULATED NAVIGATION reasons stated in section V.A. above, believe this rule has implications for AREAS AND LIMITED ACCESS AREAS this rule will not have a significant federalism or Indian tribes, please economic impact on any vessel owner contact the person listed in the FOR ■ 1. The authority citation for part 165 or operator. FURTHER INFORMATION CONTACT section continues to read as follows: Under section 213(a) of the Small above. Authority: 33 U.S.C. 1231; 50 U.S.C. 191; Business Regulatory Enforcement E. Unfunded Mandates Reform Act 33 CFR 1.05–1, 6.04–1, 6.04–6, and 160.5; Fairness Act of 1996 (Pub. L. 104–121), Department of Homeland Security Delegation we want to assist small entities in The Unfunded Mandates Reform Act No. 0170.1. of 1995 (2 U.S.C. 1531–1538) requires understanding these rules. If the rule ■ 2. Add § 165.T08–0932 to read as Federal agencies to assess the effects of would affect your small business, follows: their discretionary regulatory actions. In organization, or governmental particular, the Act addresses actions § 165.08–0932 Safety Zone; Illinois River, jurisdiction and you have questions that may result in the expenditure by a Beardstown, IL. concerning its provisions or options for State, local, or tribal government, in the (a) Location. The following area is a compliance, please contact the person aggregate, or by the private sector of safety zone: All navigable waters of the listed in the FOR FURTHER INFORMATION $100,000,000 (adjusted for inflation) or Illinois River between mile marker CONTACT section. more in any one year. Though this rule (MM) 83.0 and MM 87.0, Beardstown, Small businesses may send comments will not result in such an expenditure, IL. on the actions of Federal employees we do discuss the effects of this rule (b) Definitions. As used in this who enforce, or otherwise determine elsewhere in this preamble. section, designated representative means a Coast Guard Patrol compliance with, Federal regulations to F. Environment the Small Business and Agriculture Commander, including a Coast Guard Regulatory Enforcement Ombudsman We have analyzed this rule under coxswain, petty officer, or other officer and the Regional Small Business Department of Homeland Security operating a Coast Guard vessel and a Regulatory Fairness Boards. The Management Directive 023–01 and Federal, State, and local officer Ombudsman evaluates these actions Commandant Instruction M16475.lD, designated by or assisting the Captain of annually and rates each agency’s which guide the Coast Guard in the Port Sector Upper Mississippi River responsiveness to small business. If you complying with the National (COTP) in the enforcement of the safety wish to comment on actions by Environmental Policy Act of 1969 (42 zone. U.S.C. 4321–4370f), and have employees of the Coast Guard, call 1– (c) Regulations. (1) Under the general determined that this action is one of a 888–REG–FAIR (1–888–734–3247). The safety zone regulations in § 165.23 of category of actions that do not this part, you may not enter the safety Coast Guard will not retaliate against individually or cumulatively have a zone described in paragraph (a) of this small entities that question or complain significant effect on the human section unless authorized by the COTP about this rule or any policy or action environment. This rule involves a or a designated representative. of the Coast Guard. temporary safety zone lasting twelve (2) To seek permission to enter, C. Collection of Information hours on thirty-nine separate days that contact the COTP or a designated will prohibit entry from MM 83.0 to MM representative via VHF–FM channel 16, This rule will not call for a new 87.0 on the Illinois River from or through Coast Guard Sector Upper collection of information under the November 1, 2017 to December 15, Mississippi River by telephone at 314– Paperwork Reduction Act of 1995 (44 2017. It is categorically excluded from 269–2332. Those in the safety zone must U.S.C. 3501–3520). further review under paragraph 34(g) of comply with all lawful orders or VerDate Sep<11>2014 17:12 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00089 Fmt 4700 Sfmt 4700 E:\FR\FM\01NOR1.SGM 01NOR1 sradovich on DSK3GMQ082PROD with RULES 50580 Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Rules and Regulations directions given to them by the COTP or resources, with particular attention to review, the Forest Service recommends a designated representative. oil, natural gas, coal, and nuclear energy revising or rescinding parts of 15 agency (d) Effective period. This rule will be resources. E.O. 13783 also requires actions to alleviate or eliminate undue effective from 6 a.m. on November 1, Federal agencies to make burdens on the prudent development or 2017 through 6 p.m. on December 15, recommendations that could alleviate or use of domestic energy sources. 2017. It will be enforced daily from 6 eliminate aspects of their actions that Consistent with E.O. 13783, it is in the a.m. through 6 p.m. unduly burden domestic energy national interest to promote the clean (e) Informational broadcasts. The production. and safe development of America’s vast COTP or a designated representative DATES: November 1, 2017. energy resources. Adopting these will inform the public through ADDRESSES: The report is available on recommendations would result in the broadcast notices to mariners of the the Forest Service’s Web site at https:// revision of parts of three regulations, enforcement period for the safety zone www.fs.fed.us/managing-land/energy. five policies, four agreements with other as well as any changes in the dates and agencies, one programmatic analysis, FOR FURTHER INFORMATION CONTACT: times of enforcement. and one order and rescinding part of Sherri Thompson at 303–275–5147 or one policy. The Forest Service’s Dated: October 27, 2017. by mail at 1617 Cole Boulevard, Scott A. Stoermer, Building 7, Lakewood, CO 80401. recommendations are principally Captain, U.S. Coast Guard, Captain of the Individuals who use associated with streamlining agency Port Sector Upper Mississippi River. telecommunication devices for the deaf procedures or clarifying agency policy [FR Doc. 2017–23820 Filed 10–31–17; 8:45 am] (TDD) may call the Federal Information to facilitate more efficient processing of energy proposals by the agency alone or BILLING CODE 9110–04–P Relay Service (FIRS) at 1–800–877–8339 between 8 a.m. and 8 p.m., Eastern in coordination with its partners. Standard Time, Monday through Friday. Dated: October 25, 2017. DEPARTMENT OF AGRICULTURE SUPPLEMENTARY INFORMATION: The Jeanne M. Higgins, purpose of E.O. 13783 is to eliminate Acting Associate Deputy Chief, National Forest Service unnecessary Federal procedures that Forest System. obstruct, delay, curtail, or otherwise [FR Doc. 2017–23805 Filed 10–31–17; 8:45 am] 36 CFR Chapter II impose significant costs on the siting, BILLING CODE 3411–15–P permitting, production, utilization, Report Prepared Pursuant to Executive transmission, or delivery of energy Order 13783—Promoting Energy resources. On National Forest System Independence and Economic Growth ENVIRONMENTAL PROTECTION lands, the USDA and the Forest Service AGENCY AGENCY: Forest Service, USDA. play an important role in assuring that ACTION: Notification of final report. activities associated with Federal and 40 CFR Parts 52 and 97 private energy mineral resources, SUMMARY: The U.S. Department of renewable energy projects, and energy- [EPA–R06–OAR–2016–0611; FRL–9969–07– Agriculture’s Forest Service (Forest related transmission and distribution Region 6] Service) has prepared its final report facilities are conducted in a manner that pursuant to Section 2 of Executive minimizes adverse effects on Federal Promulgation of Air Quality Order 13783—Promoting Energy surface resources while avoiding Implementation Plans; State of Texas; Independence and Economic Growth regulatory burdens that unnecessarily Regional Haze and Interstate Visibility (E.O. 13783). Section 2 of E.O. 13783 encumber energy production, constrain Transport Federal Implementation Plan mandates an immediate review of all economic growth, and prevent job Correction Federal agency actions that potentially creation. unduly burden the safe, efficient Pursuant to Section 2 of E.O. 13783, In rule document 2017–21947, development of domestic energy the Forest Service reviewed more than appearing on pages 48324–48380 in the resources, and requires heads of Federal 70 agency actions, including issue of Tuesday, October 17, 2017, agencies to review all existing regulations, policies, guidance, orders, make the following correction: regulations, orders, guidance agreements with partner agencies, and On page 48370, in the first column, in documents, policies, and any other programmatic analyses at the the sixteenth line from the top, similar agency actions (collectively, Washington Office and field levels of ‘‘97.404(b)(1)’’, should read agency actions) that potentially unduly the agency to assess whether they ‘‘97.904(b)(1)’’. burden the development or use of unduly burden clean and safe domestic [FR Doc. C1–2017–21947 Filed 10–31–17; 8:45 am] domestically produced energy energy development. As a result of that BILLING CODE 1300–00–D VerDate Sep<11>2014 17:12 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00090 Fmt 4700 Sfmt 9990 E:\FR\FM\01NOR1.SGM 01NOR1 sradovich on DSK3GMQ082PROD with RULES 50581 Proposed Rules Federal Register Vol. 82, No. 210 Wednesday, November 1, 2017 This section of the FEDERAL REGISTER Avenue SE., Washington, DC, between 9 777–8 and 777–9 airplanes. These contains notices to the public of the proposed a.m. and 5 p.m., Monday through airplanes are constructed with new issuance of rules and regulations. The Friday, except Federal holidays. carbon-fiber-reinforced plastic (CFRP) purpose of these notices is to give interested • Fax: Fax comments to Docket wings with folding wingtips. persons an opportunity to participate in the Operations at 202–493–2251. The Model 777–9 airplane, a rule making prior to the adoption of the final Privacy: The FAA will post all rules. derivative of the Model 777–300ER comments it receives, without change, airplane currently approved under TC to http://www.regulations.gov/, No. T00001SE, is a stretched-fuselage, DEPARTMENT OF TRANSPORTATION including any personal information the large, twin-engine airplane with seating commenter provides. Using the search for 408 passengers and a maximum Federal Aviation Administration function of the docket Web site, anyone takeoff weight of 775,000 pounds. can find and read the electronic form of The Model 777–8 airplane, a 14 CFR Part 25 all comments received into any FAA shortened-body derivative of the Model docket, including the name of the [Docket No. FAA–2017–0636; Notice No. 25– 777–9 airplane, is a large, twin-engine 17–02–SC] individual sending the comment (or airplane with seating for 359 passengers signing the comment for an association, and a maximum takeoff weight of Special Conditions: The Boeing business, labor union, etc.). DOT’s 775,000 pounds. complete Privacy Act Statement can be Company Model 777–8 and 777–9 Type Certification Basis Airplanes; Folding Wingtips found in the Federal Register published on April 11, 2000 (65 FR 19477–19478). Under the provisions of title 14, Code AGENCY: Federal Aviation Docket: Background documents or of Federal Regulations (14 CFR) 21.101, Administration (FAA), DOT. comments received may be read at Boeing must show that the Model 777– ACTION: Notice of proposed special http://www.regulations.gov/ at any time. 8 and 777–9 airplanes meet the conditions. Follow the online instructions for applicable provisions of the regulations accessing the docket or go to Docket listed in TC No. T00001SE, or the SUMMARY: This action proposes special Operations in Room W12–140 of the applicable regulations in effect on the conditions for Boeing Model 777–8 and West Building Ground Floor at 1200 date of application for the change, 777–9 airplanes. These airplanes will New Jersey Avenue SE., Washington, except for earlier amendments as agreed have a novel or unusual design feature DC, between 9 a.m. and 5 p.m., Monday upon by the FAA. when compared to the state of through Friday, except Federal holidays. If the Administrator finds that the technology envisioned in the FOR FURTHER INFORMATION CONTACT: Ian applicable airworthiness regulations airworthiness standards for transport- Won, FAA, Airframe and Cabin Safety (i.e., 14 CFR part 25) do not contain category airplanes. This design feature Section, AIR–675, Policy and adequate or appropriate safety standards is folding wingtips. The applicable Innovation Division, Transport for the Model 777–8 and 777–9 airworthiness regulations do not contain Standards Branch, Aircraft Certification airplanes because of a novel or unusual adequate or appropriate safety standards Service, 1601 Lind Avenue SW., design feature, special conditions are for this design feature. These proposed Renton, Washington 98057–3356; prescribed under the provisions of special conditions contain the telephone 425–227–2145; facsimile § 21.16. additional safety standards that the 425–227–1360. Special conditions are initially Administrator considers necessary to SUPPLEMENTARY INFORMATION: applicable to the model for which they establish a level of safety equivalent to are issued. Should the type certificate that established by the existing Comments Invited for that model be amended later to airworthiness standards. We invite interested people to take include any other model that DATES: Send your comments on or part in this rulemaking by sending incorporates the same novel or unusual before December 18, 2017. written comments, data, or views. The design feature, or should any other ADDRESSES: Send comments identified most helpful comments reference a model already included on the same by docket number FAA–2017–0636 specific portion of the special type certificate be modified to using any of the following methods: conditions, explain the reason for any incorporate the same novel or unusual • Federal eRegulations Portal: Go to recommended change, and include design feature, these special conditions http://www.regulations.gov/ and follow supporting data. would also apply to the other model the online instructions for sending your We will consider all comments we under § 21.101. comments electronically. receive by the closing date for In addition to the applicable • Mail: Send comments to Docket comments. We may change these special airworthiness regulations and special Operations, M–30, U.S. Department of conditions based on the comments we conditions, the Model 777–8 and 777– Transportation (DOT), 1200 New Jersey receive. 9 airplanes must comply with the fuel- Avenue SE., Room W12–140, West vent and exhaust-emission requirements Building Ground Floor, Washington, DC Background of 14 CFR part 34, and the noise- 20590–0001. On April 19, 2017 (for the Model 777– certification requirements of 14 CFR • Hand Delivery or Courier: Take 8 airplane), and May 12, 2015 (for the part 36. comments to Docket Operations in 777–9 airplane), Boeing applied for an The FAA issues special conditions, as Room W12–140 of the West Building amendment to Type Certificate (TC) No. defined in 14 CFR 11.19, in accordance Ground Floor at 1200 New Jersey T00001SE to include the new Model with § 11.38, and they become part of VerDate Sep<11>2014 17:05 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00001 Fmt 4702 Sfmt 4702 E:\FR\FM\01NOP1.SGM 01NOP1 sradovich on DSK3GMQ082PROD with PROPOSALS 50582 Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Proposed Rules the type certification basis under operations to protect ground personnel Administrator, the following special § 21.101. against bodily injury. conditions are issued as part of the type Factors to be considered when certification basis for Boeing Model Novel or Unusual Design Features showing compliance to these proposed 777–8 and 777–9 airplanes. The Model 777–8 and 777–9 airplanes special conditions include, but are not Note: The term ‘‘latch’’ refers to the will incorporate the following novel or limited to: • mechanism that allows the wingtip to carry unusual design features: CFRP wings With wingtips in the folded flight loads in the down (flight-deployed) with folding wingtips. position, the conventional airplane- position. The term ‘‘lock’’ refers to the Boeing proposes to incorporate this wingtip-position lights may have mechanism that prevents disconnection of on-ground wingtip-fold capability to reduced visibility due to the upward the latch when the wing tip is down. reduce the wingspan from 235 to 212 position of the wingtips, possibly feet when folded. These folding impacting ground-operation safety. 1. More than one means must be wingtips, when extended into the flight- Light placement may require special available to alert the flightcrew that the deployed position, provide improved consideration to retain the current wingtips are not properly positioned aerodynamic performance and ground-operation safety, and mitigate and secured prior to takeoff. Each of efficiency, and comply with Code E 1 any adverse impact this light position these means must be unique in their gate compatibility when folded during may have on pilot visibility during wingtip-monitoring function. When ground operations. night-lighting conditions. meeting this condition, the applicant • Due to upward wingtip positioning must add a function to the takeoff Discussion on the ground, significant loads may be warning system, as required by Boeing proposes adding folding imposed by wind gusts combined with § 25.703(a)(1) and (2), to warn of an wingtips to their Model 777–8 and 777– taxi speed during the transition from the unlocked or improperly positioned 9 airplane wings to improve unfolded to the folded position. wingtip, including indication to the aerodynamic performance and • The FAA issued Policy Statement flightcrew when a wingtip is in the efficiency when the wingtips are No. PS–ANM–25–12, ‘‘Certification of folded position during taxi. extended into the flight-deployed Structural Elements in Flight Control 2. In addition to a takeoff warning in position, while maintaining Code E gate Systems,’’ to address structural elements accordance with § 25.703, a means must compatibility when folded during in systems that act as both structure and be provided to prevent airplane takeoff ground operations. This wing-folding as part of a system. This policy provides if a wingtip is not properly positioned feature will be operable on the ground additional guidance on the appropriate and secured for flight. application of the fatigue and damage- only. Boeing has no plan to carry fuel 3. The applicant must consider the tolerance requirements of § 25.571, and in the folding sections of the wings. effects of folding-wingtip freeplay when the system-safety requirements of Boeing has determined that a evaluating compliance to the design §§ 25.671 and 25.1309. catastrophic event could occur if the load requirements of 14 CFR subpart C, 777–8 and 777–9 airplane wingtips are These proposed special conditions contain the additional safety standards and the aeroelastic stability (including not properly positioned and secured for flutter, divergence, control reversal, and takeoff and during flight. In service, that the Administrator considers necessary to establish a level of safety any undue loss of stability and control numerous takeoff operations with as a result of structural deformation) improper airplane configurations have equivalent to that established by the existing airworthiness standards. requirements of § 25.629. Thus, the occurred due to failures of the takeoff effects of normal wear, and other long- warning systems, or inadvertent crew Applicability term durability conditions (such as actions. For these proposed special As discussed above, these special corrosion) of the folding-wingtip conditions, a parallel is drawn between conditions are applicable to Boeing operating mechanism on freeplay, and taking off with gust locks engaged and Model 777–8 and 777–9 airplanes. its impact on loads and aeroelastic taking off with the wingtips folded, as Should Boeing apply at a later date for stability, must be considered. Where either condition could result in a a change to the type certificate to freeplay limitations are required to catastrophic event. Consequently, the include another model incorporating the ensure aeroelastic stability, acceptable FAA has determined that the level of same novel or unusual design feature, freeplay limits and freeplay check safety in protecting a misconfigured these special conditions would apply to procedures must be established. If airplane from takeoff with wingtips that model as well. lubrication is required to control folded should be the same as taking off excessive wear, lubrication intervals with the gust locks engaged. Therefore, Conclusion must be established. These procedures condition 2 of these proposed special This action affects only a certain and limitations must be documented in conditions has the same intent as novel or unusual design feature on one accordance with § 25.1529. The § 25.679(a)(2). Per § 25.1309, the model series of airplanes. It is not a rule freeplay-check and mechanism- applicant must show that such an event of general applicability. lubrication intervals, if required, must is extremely improbable, must not result be documented as a certification List of Subjects in 14 CFR Part 25 from a single failure, and that maintenance requirement (CMR). appropriate alerting must be provided Aircraft, Aviation safety, Reporting Guidance for CMRs can be found in for the crew to manage unsafe system- and recordkeeping requirements. Advisory Circular 25–19A, operating conditions. In addition, the The authority citation for these ‘‘Certification Maintenance applicant must ensure that the wingtips special conditions is as follows: Requirements.’’ The effects of freeplay are properly secured during ground Authority: 49 U.S.C. 106(g), 40113, 44701, on wing-joint torsional and bending 44702, 44704. stiffness, as well as wing frequencies, 1 A Code E gate is designed to accommodate must be evaluated when showing aircraft wingspans between 170.6 ft. (52m) and The Proposed Special Conditions 213.3 ft. (65m), and outer main-gear wheel spans compliance to loads and aeroelastic between 29.5 ft. (9m) and 45.9 ft. (14m). Boeing 777 Accordingly, pursuant to the stability requirements. Also, the effects airplanes are in this gate-code category. authority delegated to me by the of freeplay on fatigue and damage VerDate Sep<11>2014 17:05 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00002 Fmt 4702 Sfmt 4702 E:\FR\FM\01NOP1.SGM 01NOP1 sradovich on DSK3GMQ082PROD with PROPOSALS Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Proposed Rules 50583 tolerance must be considered when 9. The applicant must include design certification of new rotorcraft designs. showing compliance with § 25.571. features that ensure the wingtips are The proposed changes would reduce or 4. The folding wingtips and their properly secured during ground eliminate the need for certain special operating mechanism must be designed operations, to protect ground personnel conditions currently required to obtain for 65 knot, horizontal, ground-gust from bodily injury as well as to prevent certification of modern rotorcraft. The conditions in any direction as specified damage to the airframe, ground proposed changes would also in § 25.415(a). Relevant design structure, and ground support incorporate the requirements of conditions must be defined using equipment. equivalent level of safety findings that combinations of steady wind and taxi 10. The wingtips must have means to the FAA has imposed as conditions for speeds determined by rational analysis safeguard against unlocking from the approving certain design features. utilizing airport wind data. The folding extended, flight-deployed position in DATES: Send comments on or before wingtip is not a control surface as flight, as a result of failures, including January 30, 2018. specified in § 25.415(b)(c). Therefore, in the failure of any single structural ADDRESSES: Send comments identified lieu of the equation provided in element. All sources of airplane power by docket number FAA–2017–0990 § 25.415(b), the hinge moment may be that could initiate unlocking of the using any of the following methods: calculated from rational wind-tunnel wingtips must be automatically isolated • Federal eRulemaking Portal: Go to data. The 1.25 factor specified in from the wingtip-fold operating system http://www.regulations.gov and follow § 25.415(d) need not be applied to the (including the latching and locking the online instructions for sending your portion of the system that is isolated in system) prior to flight, and it must not comments electronically. flight and is not critical for safe flight be possible to restore power to the • Mail: Send comments to Docket and landing. The folding-wingtip system during flight. The wingtip Operations, M–30; U.S. Department of system must be designed for the latching and locking mechanisms must Transportation (DOT), 1200 New Jersey conditions specified in § 25.415(e), (f), be designed so that, under all airplane Avenue SE., Room W12–140, West and (g). Runway roughness, as specified flight-load conditions, no force or torque Building Ground Floor, Washington, DC in § 25.491, must be evaluated can unlatch or unlock the mechanisms. 20590–0001. separately up to the maximum relevant The latching system must include a • Hand Delivery or Courier: Take airplane ground speeds. All of the above means to secure the latches in the comments to Docket Operations in conditions must be applied to the latched position, independent of the Room W12–140 of the West Building folding wingtips in the extended (flight- locking system. It must not be possible Ground Floor at 1200 New Jersey deployed), folded, and transient to position the lock in the locked Avenue SE., Washington, DC, between 9 positions. position if the latches and the latching 5. The airplane must demonstrate a.m. and 5 p.m., Monday through mechanisms are not in the latched Friday, except Federal holidays. acceptable handling qualities during position, and it must not be possible to • rollout in a crosswind environment, as Fax: Fax comments to Docket unlatch the latches with the locks in the wingtips transition from the flight- Operations at 202–493–2251. locked position. deployed to folded position, as well as Privacy: In accordance with 5 U.S.C. during the unlikely event of asymmetric Issued in Renton, Washington, on October 553(c), DOT solicits comments from the wingtip folding. 25, 2017. public to better inform its rulemaking 6. The wingtip-fold operating Victor Wicklund, process. DOT posts these comments, mechanism must have stops that Manager, Transport Airplane Directorate, without edit, including any personal positively limit the range of motion of Policy and Innovation Division, Aircraft information the commenter provides, to the wingtips. Each stop must be Certification Service. www.regulations.gov, as described in designed to the requirements of [FR Doc. 2017–23698 Filed 10–31–17; 8:45 am] the system of records notice (DOT/ALL– § 25.675. BILLING CODE 4910–13–P 14 FDMS), which can be reviewed at 7. The wingtip hinge structure must www.dot.gov/privacy. be designed for inertia loads acting Docket: Background documents or parallel to the hinge line. In the absence DEPARTMENT OF TRANSPORTATION comments received may be read at of more rational data, the inertia loads http://www.regulations.gov at any time. may be assumed to be equal to KW as Federal Aviation Administration Follow the online instructions for referenced in § 25.393. Hinge design accessing the docket or go to the Docket must meet the requirements of § 25.657. 14 CFR Parts 27 and 29 Operations in Room W12–140 of the 8. In lieu of § 25.1385(b): The forward [Docket No.: FAA–2017–0990] West Building Ground Floor at 1200 position lights must be installed such New Jersey Avenue SE., Washington, that they consist of a red and a green RIN 2120–AK80 DC, between 9 a.m. and 5 p.m., Monday light spaced laterally as far apart as through Friday, except Federal holidays. Normal and Transport Category practicable, and installed forward on the FOR FURTHER INFORMATION CONTACT: For Rotorcraft Certification airplane, so that, with the airplane in questions concerning this action, the normal flying position and with the AGENCY: Federal Aviation contact Sandra Shelley, Aviation Safety wingtips in the folded position for Administration (FAA), DOT. Engineer, Safety Management Group, ground operations, the red light is on ACTION: Notice of proposed rulemaking FAA, 10101 Hillwood Pkwy., Fort the left side and the green light is on the (NPRM). Worth, TX 76177; telephone (817) 222– right side at approximately the level of 5110; email [email protected]. the wingtips in the takeoff SUMMARY: The FAA proposes to amend SUPPLEMENTARY INFORMATION: configuration. Each light must be the certification standards of normal approved and must meet the and transport category helicopters. The Authority for This Rulemaking requirements of § 25.1385(a) and (d). proposed changes are necessary to The FAA’s authority to issue rules on The lights must not impair the vision of address modern designs currently used aviation safety is found in Title 49 of the the flightcrew when the wingtips are in in the rotorcraft industry and would United States Code. Subtitle I, Section the folded and transient positions. reduce the burden on applicants for 106 describes the authority of the FAA VerDate Sep<11>2014 17:05 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00003 Fmt 4702 Sfmt 4702 E:\FR\FM\01NOP1.SGM 01NOP1 sradovich on DSK3GMQ082PROD with PROPOSALS 50584 Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Proposed Rules Administrator. Subtitle VII, Aviation technology for rotorcraft. The FAA impact to industry would be minimal Programs, describes in more detail the addresses the changes to technology by since the current material associated scope of the agency’s authority. issuing reoccurring special conditions, with these rules in Advisory Circular This rulemaking is promulgated ELOS findings, and MOC issue papers. (AC) 27–1B, Certification of Normal under the authority described in Special conditions are prescribed under Category Rotorcraft, and AC 29–2C, Subtitle VII, Part A, Subpart III, Sections 14 CFR 21.16 when the FAA finds the Certification of Transport Category 44701 and 44704. Under section 44701, applicable airworthiness standards do Rotorcraft,1 already recognizes industry the FAA is charged with prescribing not contain adequate or appropriate standards and practices. regulations promoting safe flight of civil safety standards because of a novel or In appendix B to parts 27 and 29, the aircraft in air commerce by prescribing unusual design feature. The FAA issues reference to Amendment 29–14 in minimum standards required in the ELOS findings under § 21.21(b)(1) section VIII needs to be removed. By interest of safety for the design and where a design does not literally comply citing the amendment within the rule, performance of aircraft. Under section with the airworthiness standards, but appendix B requires updating every 44704, the Administrator issues type compensating factors exist that provide time a relevant part 27 or part 29 rule certificates for aircraft, aircraft engines, an equivalent level of safety. MOC issue is changed. propellers, and specified appliances papers document compliance B. National Transportation Safety Board when the Administrator finds the methodologies that fall outside existing Recommendations product is properly designed and guidance and policies. These three manufactured, performs properly, and processes are necessary to address new As a result of incidents involving meets the regulations and minimum design features for which airworthiness lithium-ion batteries installed on standards prescribed under section standards are lacking, literal compliance aircraft, the National Transportation 44701(a). This rulemaking is within the with a rule cannot be achieved, or Safety Board (NTSB) issued Safety alternative methods of compliance are Recommendations A–14–032 through scope of these authorities because it 2 would promote safety by updating the proposed. In some cases, advancements 036 to the FAA on May 22, 2014. The existing minimum prescribed standards in technology have rendered the NTSB recommended the FAA develop used during the type certification regulations obsolete. abuse tests to simulate failures observed in the incidents investigated and to process. These special conditions, ELOS findings, and MOC issue papers impact address findings in recent research (A– I. Overview of Proposed Rule FAA resources and applicants’ 14–032), perform these tests on new The FAA proposes to revise schedules for obtaining FAA approval of aircraft for certain installations (A–14– regulations in title 14 Code of Federal their products. By updating the affected 033), develop guidance on acceptable Regulations (14 CFR) part 27 standards, many special conditions, methods to induce thermal runaway (Airworthiness Standards: Normal ELOS findings, and MOC issue papers that reliably simulates battery failures Category Rotorcraft) and part 29 would be unnecessary, thus reducing (A–14–034), review methods of (Airworthiness Standards: Transport the burden on both the FAA and compliance used to certificate in-service Category Rotorcraft) related to the industry. We also propose to update a lithium-ion battery aircraft installations certification of rotorcraft. The proposed few of these rules to correct to ensure that they adequately protect changes are necessary due to the typographical errors. against adverse effects of a cell thermal extensive application of advancing Sections 27.1329 and 29.1329 do not runaway (A–14–035), and develop technologies to rotorcraft. Existing adequately address the latest technology policy to establish a panel of technical airworthiness standards are inadequate in flight control automation. These experts to advise on compliance and because they do not address increasing standards adequately addressed the best practices for safely installing new design complexity. To address these functionality of autopilots for many technology (A–14–036). This proposed advances, the FAA currently issues years until recently with the rule would incorporate these NTSB reoccurring special conditions, development of more sophisticated recommendations as they relate to equivalent level of safety findings functions, especially in normal category rotorcraft into §§ 27.1353 and 29.1353. helicopters. The rotorcraft autopilot (ELOS), and means of compliance III. Discussion of the Proposal (MOC) issue papers. This proposed rule systems of previous years controlled only altitude, attitude, and heading. The would address these problem areas by A. AC 27–1B and AC 29–2C Guidance more advanced autopilot systems also updating those standards that cause AC 27–1B and AC 29–2C provide control airspeed, vertical speed, and unnecessary burdens in cost and time to information on methods of compliance hover. The current rule is inconsistent both the FAA and the rotorcraft with 14 CFR parts 27 and 29, which with FAA-accepted industry standards industry. Compliance with these contain the airworthiness standards for and practices. The current rule does not proposed regulatory changes would normal and transport category rotorcraft. adequately cover the growing changes in continue to be shown by the same These ACs include methods of the marketplace toward increased testing, analysis, and inspections as in compliance in the areas of basic design, automation in the primary flight the current certification process and ground tests, and flight tests. With these controls. proposed rules, the FAA is also there would be a reduced burden Sections 27.1335 and 29.1335 were through clarification of the safety originally written to address a particular proposing related changes to these ACs. requirements for the installed systems. flight control concept called ‘‘flight B. Powerplant Instruments (§§ 27.1305 II. Background director systems;’’ however, the term and 29.1305) itself has long been considered a A. Statement of the Problem Sections 27.1305 and 29.1305 standard part of a modern autopilot prescribe the specific required The FAA is proposing to update parts covered under §§ 27.1329 and 29.1329. powerplant instruments for rotorcraft. 27 and 29 because the regulations were In addition, the text we propose to originally published in 1964 and remove from §§ 27.1335 and 29.1335 1 http://rgl.faa.gov/Regulatory_and_Guidance_ revisions to the airworthiness standards has been added to the proposed Library/. have not kept pace with advances in §§ 27.1329 and 29.1329 rules. The 2 http://www.ntsb.gov/. VerDate Sep<11>2014 17:05 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00004 Fmt 4702 Sfmt 4702 E:\FR\FM\01NOP1.SGM 01NOP1 sradovich on DSK3GMQ082PROD with PROPOSALS Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Proposed Rules 50585 The current rules specify separate include, for Category A 3 training not compromised when utilizing indicators for many of these purposes (OEI Training Mode), a feature complex and highly integrated instruments, including engine manifold to represent a simulated engine failure technology, the FAA is proposing a pressure and engine revolutions per by reducing power of all engines more structured repeatable failure minute (r.p.m.) for reciprocating symmetrically. This simulated OEI analysis. engines, or gas producer speed, gas condition is shown on the engine The proposed change would also temperature, and torque for turbine instruments by biasing the engine eliminate the distinction between engines. power, gas temperature, and gas single-engine and multi-engine rotorcraft. Section 27.1309 currently Traditionally, pilots determine the producer and free power turbine requires applicants to assess the effects powerplant performance conditions by tachometers on the primary flight of failures that may be introduced by monitoring individual gauges: Gas display. To avoid confusion, the installed systems and equipment, and temperature, gas producer speed, and proposed § 29.1305(b)(4) would require additional annunciations to differentiate distinguishes that the methods for torque. Sections 27.1305 and 29.1305 assessing these failures may be different establish the required powerplant the simulated OEI condition from that of an actual engine failure. between single and multi-engine instruments, and §§ 27.1321 and rotorcraft. This distinction was 29.1321 require that these instruments The proposed changes to § 29.1305 would permit designs incorporating an envisioned because multi-engine be easily visible to the pilot. These rotorcraft employed complex systems or instruments measure the performance OEI Training Mode. The FAA is not proposing changes to § 27.1305 because systems with more severe failure effects. output of the engines and they This distinction is now irrelevant since collectively allow the pilot to 14 CFR part 27 Category A rotorcraft are approved under appendix C to part 27, current analysis tools for technologies continuously monitor the condition and and associated failure effects do not health of the engines. which requires compliance with § 29.1305. consider number of engines as required Many rotorcraft manufacturers have input. started to incorporate a synthesized C. Rotorcraft Equipment, Systems, and The proposed rule would clarify the power indicator (SPI) that provides a Installations (§§ 27.1309, 29.1309, and requirement to perform a proper failure single indicator of engine performance. Appendix C to Part 27) analysis and also recognize that the This single value displayed to the pilot Sections 27.1309 and 29.1309 apply severity of failures can vary. Since the is generally presented as a percentage of generally to all systems on the aircraft current rule was promulgated, the the nearest engine limit. The that do not otherwise have specific number of failure condition categories continuously displayed SPI presents the language to analyze the safety aspects of has varied. Current industry standards calculated value to the flight crew on a system. The proposed changes to and practices recognize five failure the primary flight displays along with a § 27.1309 would address advances in condition categories: Catastrophic, caption indicating the nearest engine technology and increases in Hazardous, Major, Minor, and No-Safety limiting parameter that is being used for performance of normal category Effect. The proposed rule recognizes the the SPI displayed calculation. rotorcraft that were not envisioned maximum and minimum failure effects Acceptable designs allow the pilot to when this rule was originally without prescribing the number of monitor engine performance and trends. promulgated. Manufacturers installed failure effect severity categories. This Technologies such as an SPI, which complex and highly integrated systems proposed change would also combine multiple indicators into one, in part 27 rotorcraft certificated for accommodate future changes in cannot meet the requirements of the instrument flight rules (IFR) under industry failure analysis techniques and reflect current certification practices. current rules. By allowing means other appendix B and Category A operations Additionally, it would eliminate the than dedicated indicators, the proposed under appendix C. At that time, the need to issue recurring special changes would permit designs FAA did not envision complex and conditions and remove the additional incorporating an SPI or similar highly integrated systems would be time and cost to industry. concepts. The FAA proposes to revise installed in non-IFR and non-Category A §§ 27.1305(e), (k), (n), and (o) and The changes proposed for §§ 27.1309 normal category rotorcraft because and 29.1309 would make the sections 29.1305(a)(5), (11), and (12) to allow industry was not employing this other means of powerplant indication consistent. These changes would advanced technology or the technology remove the necessity to reference for these instruments. Section did not exist. The analysis methods 27.1305(k) would continue to require a § 29.1309 in appendix C of part 27. used to identify and determine the Although a specific reference to tachometer to indicate main rotor speed, effects of system failures required in but would also require a separate means § 27.1309 would not be added, appendix § 27.1309 are not adequate for today’s C of part 27 already requires compliance to indicate the r.p.m. of each engine. complex and highly integrated systems. The FAA also proposes to modify with all of part 27 for Category A The use of this advanced technology certification. These proposed changes § 27.1305(o) by replacing ‘‘turboshaft’’ resulted in an exponential increase in with ‘‘turbine’’ to be consistent with would not eliminate the requirement to the number of ways rotorcraft systems reassess compliance with § 27.1309 for similar wording used throughout parts can fail and a decrease in the 27 and 29. applicants who request Category A discernibility of such failures. To ensure operations. The FAA proposes to change For part 29, the FAA proposes to add the reliability of the rotorcraft system is appendix C to delete the reference to § 29.1305(b)(4) to permit manipulating § 29.1309. the powerplant instruments to simulate 3 In 14 CFR 1.1, Category A, with respect to transport category rotorcraft, means multiengine The FAA proposes to update one engine inoperative (OEI) conditions rotorcraft designed with engine and system § 29.1309 to be consistent with industry without damaging the engines. Section isolation features specified in Part 29 and utilizing standards and practices for conducting 29.1305 requires unbiased engine scheduled takeoff and landing operations under a failure analysis. These proposed instrument indications to remain critical engine failure concept which assures adequate designated surface area and adequate changes are intended to allow flexibility available to assure operation within safe performance capability for continued safe flight in in the types of assessments applicants limits. Several helicopter designs the event of engine failure. may provide for showing compliance. VerDate Sep<11>2014 17:05 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00005 Fmt 4702 Sfmt 4702 E:\FR\FM\01NOP1.SGM 01NOP1 sradovich on DSK3GMQ082PROD with PROPOSALS 50586 Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Proposed Rules Section 29.1309 currently requires each system. Since then, systems for F. Electrical Systems and Equipment applicants to assess the effects of automatic control of flight have evolved. (§ 29.1351) and Energy Storage Systems failures resulting from installed systems Modern designs include both automatic (§§ 27.1353 and 29.1353) and equipment. The current rule also pilot and flight director systems and are The FAA proposes changing identifies differences in the depth of now referred to as automatic flight §§ 27.1353 and 29.1353 to provide a assessing failures between Category A guidance and control systems. Having general regulation that is not directed at and Category B 4 rotorcraft. Complex these systems in separate rules that use a particular battery or battery chemistry. and highly integrated systems were different terminology has resulted in The existing regulations were first typically installed in part 29 rotorcraft some confusion. The proposed changes written when backup electrical power certificated for Category A operations. would remove §§ 27.1335 and 29.1335 was provided solely by a lead acid Like the distinction between single- and incorporate the requirements into battery. The regulations were later engine and multi-engine rotorcraft amended to add requirements specific discussed previously, this distinction §§ 27.1329 and 29.1329. The FAA also to the nickel-cadmium battery was made because the FAA did not proposes to use the term ‘‘automatic chemistry. Recently, batteries have been envision that complex and highly flight guidance and control systems’’ to developed using various lithium integrated systems would be installed in address both automatic pilot and flight chemistries. Lead acid, nickel-cadmium, rotorcraft certificated for Category B director systems, as well as the operations. This distinction is now components. and lithium batteries are all energy storage devices with different irrelevant since current analysis tools E. Instrument Systems (§ 29.1333 and for technologies and associated failure operational parameters and failure Appendix B to Parts 27 and 29) effects do not differ between Category A mechanisms. Rather than add specific and Category B. The FAA proposes to lithium battery requirements, which Currently, § 29.1333(a) requires would necessitate further amendments add an introductory paragraph and isolating the pilot instrument system revise paragraphs (a) and (b) to clarify to address future energy storage from any other operating systems. At the chemistries, the FAA is proposing to that all equipment, systems, and time the rule was promulgated, these installations on the rotorcraft must be generalize the regulation to systems were federated, and connecting accommodate any energy storage analyzed and to remove the distinction these systems increased the likelihood between Category A and B. Although system. The proposed regulation would that a fault in one system would cause the effects of the failures may be be less prescriptive than the existing different, the method for conducting the a fault in the pilot instrument system. regulation. failure analysis is the same regardless of This physical independence between The FAA’s intent with this proposal the operations evaluated. the pilot system and other operating is that the modified regulation would be The term ‘‘warning’’ in § 29.1309(c) systems prevented the pilot system’s directly applicable to both lead acid and and (d) has been interpreted as requiring reliability from being compromised by nickel-cadmium batteries without a red level alert, when the intent was to other operating systems. With the imposing additional requirements. In notify the crew of all required adoption of microprocessor technology addition, this generalized approach annunciations. Therefore, the FAA and the trend towards complex and would allow the FAA to consider proposes to modify paragraphs (c) and highly integrated systems, the batteries, fuel cells, or any other energy (d) by removing the terms ‘‘warning’’ requirement for physical independence storage device not yet developed. and ‘‘probability’’ and replacing them is no longer appropriate. The use of this Certain attributes tied to a specific with ‘‘annunciation’’ and ‘‘effect’’ technology resulted in an exponential battery chemistry currently found in the respectively, and adding ‘‘misleading increase in the number of ways regulation would be addressed in AC data’’ as a standard failure mode. rotorcraft systems can fail and a 27–1B and AC 29–2C. These proposed changes to §§ 27.1353 and 29.1353 are The FAA also proposes removing the decrease in the discernibility of such intended to reduce the burden on the requirements of § 29.1309(e) and (f) failures. To ensure the reliability of the dealing specifically with electrical FAA and the rotorcraft industry pilot system is not compromised when systems as they are covered by associated with issuing special utilizing microprocessors or highly §§ 29.1351, 29.1353, 29.1355, and conditions and the related issue papers. integrated systems, modern designs 29.1357. Section 29.1353, paragraphs (a) and allow redundant systems in the (b) would be moved into § 29.1351 as D. Automatic Flight Guidance and rotorcraft to compare information. paragraphs (e) and (f) respectively. Control Systems (§§ 27.1329, 27.1335, Rotorcraft cannot utilize current These paragraphs are general 29.1329, and 29.1335) technology, and redundant systems requirements for all electrical systems The FAA proposes to standardize cannot compare information, when the and equipment installations. This terminology and combine the pilot instrument system is isolated. change is proposed for consistency requirements for automatic pilot and The FAA proposes to revise because those requirements are more flight director systems into one rule. § 29.1333(a) and section VIII(b)(5)(i) of appropriate in § 29.1351. This proposed Sections 27.1329 and 29.1329 address appendix B to parts 27 and 29 to make change would standardize the automatic pilot systems while them applicable only to pneumatic requirements of §§ 27.1353 and 29.1353 §§ 27.1335 and 29.1335 address flight systems. These proposed changes would and both section titles would be director systems. At the time these rules allow for the use of modern technology changed to ‘‘Energy storage systems’’ to were promulgated, the functionality of properly reflect the new language. designs prompted a separate rule for to monitor and display highly integrated information regarding the rotorcraft that G. Instrument Markings (§§ 27.1545, 4 In 14 CFR 1.1, Category B, with respect to is currently not permitted. The FAA 29.1545, 27.1549, and 29.1549) transport category rotorcraft, means single-engine or also proposes revising appendix B to The FAA proposes to modify multiengine rotorcraft which do not fully meet all parts 27 and 29 to remove the Category A standards. Category B rotorcraft have no §§ 27.1545(b)(4), 27.1549(b), guaranteed stay-up ability in the event of engine amendment level as previously 29.1545(b)(4), and 29.1549(b) by failure and unscheduled landing is assumed. discussed in section B of the preamble. eliminating the restriction of only using VerDate Sep<11>2014 17:05 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00006 Fmt 4702 Sfmt 4702 E:\FR\FM\01NOP1.SGM 01NOP1 sradovich on DSK3GMQ082PROD with PROPOSALS Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Proposed Rules 50587 a ‘‘green arc’’ to indicate normal only acceptable method for reduce confusion between part 27 and operating ranges. The existing rules distinguishing VNE (power-off) from VNE part 29 by using a standard format for require using a green arc for normal (power-on). The FAA also proposes to the same technical requirements. operating ranges on airspeed and apply this change to § 29.1545. The FAA proposes to correct a powerplant instruments. Modern glass typographical error in §§ 29.955 and H. Control Markings (§§ 27.1555 and cockpits generally do not contain these 29.1019. When § 29.1305 was updated 29.1555) green indicators. The philosophy to add a requirement for an oil pressure utilized by modern cockpit designs is The FAA proposes to modify indicator for pressure-lubricated the ‘‘dark, quiet cockpit,’’ and only §§ 27.1555(c)(1) and 29.1555(c)(1) to gearboxes, the numbering sequence was yellow or red is presented to indicate permit more than one method to inform changed when the additional the aircraft is outside the normal or safe the pilot of the usable fuel system requirement was inserted at paragraph operating range. The absence of green capacity. The existing rules require (a)(6). The § 29.1305(a)(17) fuel filter arcs did not meet the requirement of the marking the usable fuel capacity at the contamination warning was moved to rule. Since the rule was promulgated, fuel quantity indicator. Older, analog paragraph (a)(18), and the the FAA has determined that if all fuel gauges (many without numbers) § 29.1305(a)(18) turbine engine filter abnormal conditions are otherwise used a placard to inform the pilot of the contamination warning was moved to adequately indicated, green markings useful fuel quantity. With modern paragraph (a)(19). However, the are unnecessary. These accepted design display systems, the location of the fuel reference to the fuel filter contamination features include the pilot being able to quantity indicator, as well as the fact warning in § 29.955(a)(7) and the easily interpret (by way of glancing at that the location may change, make it turbine engine filter contamination the instrument) whether a parameter is impractical to affix a placard next to the warning in § 29.1019(a)(5) were not in a precautionary range (yellow) or display. In addition, although useful updated to account for the change in beyond a limit (red). Almost every fuel capacity is commonly included in numbering sequence. This proposed current rotorcraft design now the rotorcraft flight manual, the change would correct the reference at incorporates a glass cockpit that proposed alternate method would make §§ 29.955(a)(7) and 29.1019(a)(5). requires an ELOS finding for the this a requirement to address the lack of Finally, the FAA proposes to correct absence of green arcs. This proposal continuous display provided by a a typographical error in § 29.977. When only affects the color utilized for the placard. § 29.977 was updated, it incorrectly normal operating ranges and does not I. Typographical and Standardizing carried over references to ‘‘airplanes’’ address graduation markings on an Corrections (§§ 27.87, 27.903, 29.955, from an identical part 23 update. The instrument. 29.977, 29.1019, 29.1517, and 29.1587) proposed change would revise § 29.977 The FAA also proposes to remove the by removing the term ‘‘airplanes’’ and The FAA proposes to correct several term ‘‘radial’’ from §§ 27.1545(b)(1), replacing it with the term ‘‘rotorcraft.’’ 27.1549(a), 29.1545(b)(1), and typographical errors and to revise 29.1549(a). At the time these rules were certain terminology differences between IV. Regulatory Notices and Analyses part 27 and part 29. First, the FAA promulgated, cockpit instruments were A. Regulatory Evaluation circular, and therefore the technically- proposes to revise the title of § 27.87 to correct term ‘‘radial line’’ was used. coincide with the title of § 29.87, which Changes to Federal regulations must Technological advances have since is the equivalent transport category undergo several economic analyses. produced linear-scale gauges rendering rotorcraft requirement. The title of First, Executive Order 12866 and the term ‘‘radial’’ obsolete. The term § 29.87 was changed from ‘‘Limiting Executive Order 13563 direct that each ‘‘line’’ is intended to represent a radial height-speed envelope’’ to ‘‘Height- Federal agency shall propose or adopt a for round instruments or a line for tape velocity envelope’’ in order to ‘‘agree regulation only upon a reasoned or other style instruments. with the commonly used term.’’ determination that the benefits of the The FAA further proposes to replace However, the corresponding title to intended regulation justify its costs. ‘‘arc’’ with ‘‘range’’ in §§ 27.1545(b)(3), § 27.87 was not similarly changed at Second, the Regulatory Flexibility Act 27.1545(b)(4), 27.1549(b), 27.1549(c), that time. of 1980 (Pub. L. 96–354) requires 27.1549(d), 29.1545(b)(3), 29.1545(b)(4), The FAA also proposes to replace the agencies to analyze the economic 29.1549(b), 29.1549(c), and 29.1549(d). term ‘‘height-speed’’ with the term impact of regulatory changes on small When these regulations were created, ‘‘height-velocity’’ throughout entities. Third, the Trade Agreements cockpit instruments were circular. §§ 27.1587, 29.1587, and 29.1517 to be Act (Pub. L. 96–39) prohibits agencies ‘‘Arc’’ is a term that only applies to consistent with the title nomenclature of from setting standards that create round gauges and not to tape or other §§ 27.87 and 29.87. These proposed unnecessary obstacles to the foreign style instruments, which are in popular changes are intended to reduce commerce of the United States. In use today. The FAA intends ‘‘range’’ to confusion between and within parts 27 developing U.S. standards, the Trade be applied to round, tape, or other style and 29. Act requires agencies to consider instruments. The FAA also proposes to reformat international standards and, where Finally, the FAA proposes to move § 27.903(d) so that it is consistent with appropriate, that they be the basis of the requirement for indicating VNE the format of the § 29.903(e) engine U.S. standards. Fourth, the Unfunded (power-off) from § 27.1545(b)(2) to restart capability requirement. When the Mandates Reform Act of 1995 (Pub. L. § 27.1545(b)(1)(iii) and modify it to § 27.903(d) restart capability 104–4) requires agencies to prepare a encompass designs that incorporate a requirements were adopted, the written assessment of the costs, benefits, means other than a red cross-hatched paragraph structure of the existing and other effects of proposed or final line. The FAA has previously accepted § 29.903(e) was not used even though rules that include a Federal mandate designs that utilize a single red line for the technical requirements were likely to result in the expenditure by VNE (power-on) and VNE (power-off) intended to be identical. The restart State, local, or tribal governments, in the when not concurrently displayed. capability requirements of § 27.903(d) aggregate, or by the private sector, of Additionally, a red and white cross- are not being changed in this proposal. $100 million or more annually (adjusted hatched ‘‘barber pole’’ may not be the These proposed changes are intended to for inflation with base year of 1995). VerDate Sep<11>2014 17:05 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00007 Fmt 4702 Sfmt 4702 E:\FR\FM\01NOP1.SGM 01NOP1 sradovich on DSK3GMQ082PROD with PROPOSALS 50588 Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Proposed Rules This portion of the preamble 2. Normal Category Rotorcraft 6. Electrical Systems and Equipment summarizes the FAA’s analysis of the Equipment, Systems, and Installations (§ 29.1351) and Energy Storage Systems economic impacts of this proposed rule. (§ 27.1309 and Appendix C to Part 27) (§§ 27.1353 and 29.1353) Department of Transportation Order The FAA clarifies the requirement to The FAA proposed changes are less DOT 2100.5 prescribes policies and perform proper failure analysis that prescriptive and performance-based to procedures for simplification, analysis, would adopt the current industry accommodate different energy storage and review of regulations. If the practice of five failure category systems. The modified regulation would expected cost impact is so minimal that conditions. Additionally, the FAA be directly applicable to both lead acid a proposed or final rule does not eliminates the distinction between and nickel-cadmium batteries without warrant a full evaluation, this order single-engine and multi-engine imposing additional requirements. The permits that a statement to that effect rotorcraft as this distinction is irrelevant change would allow the FAA to keep up because current analysis tools for with changes in technology. Cost to the and the basis for it to be included in the technologies and associated failure industry should be minimal as preamble if a full regulatory evaluation effects no longer consider the number of performance based requirements allow of the cost and benefits is not prepared. engines. As these are current industry for minimal cost options to meet the Such a determination has been made for practice, the FAA asserts that the cost current standard. this proposed rule. The reasoning for associated with these changes is 7. Instrument Markings (§§ 27.1545, this determination follows: minimal. 29.1545, 27.1549, and 29.1549) The FAA proposes to revise 3. Transport Category Rotorcraft regulations in 14 CFR part 27 The proposed rule would remove the Equipment, Systems, and Installation restrictive requirement for some (Airworthiness Standards: Normal (§ 29.1309) Category Rotorcraft) and part 29 instrument markings to allow This section would be updated to be alternative means of compliance, i.e.— (Airworthiness Standards: Transport consistent with industry standards and green arc, radial red line, etc. Allowing Category Rotorcraft) related to the practices for conducting failure analysis. for another means of compliance is certification of rotorcraft. The proposed The proposed rule would clarify the voluntary and would be either a changes are necessary due to advancing requirement to perform a proper failure minimal cost and possibly cost relieving technologies, which address a lack of analysis and also recognize that the for manufactures that elect to outfit the adequate airworthiness standards severity of failures can vary. The FAA rotorcraft with different instrument resulting from increasing design asserts that performing a proper failure markings. complexity. As a result, many regulatory analysis would be minimal cost as it 8. Control Markings (§§ 27.1555 and sections are subject to reoccurring would codify current industry practices. 29.1555) special conditions, ELOS, and MOC Additionally, this section would be issue papers. This proposed rulemaking changed to accommodate future changes The proposed rule would permit more would address these problem areas by in industry failure analysis techniques than one method to inform the pilot of updating the rules that cause and reflects current certification the usable fuel system capacity. unnecessary burdens in cost and time to practices. Moving to a performance However, alternative method must both the FAA and the rotorcraft based standard would reduce the need address the lack of continuous display. industry. The compliance cost to to issue recurring special conditions and Changes to this section allows for more industry of these proposed regulation potentially save manufactures that than one means of compliance. Offering changes would be minimal. The choose to use an alternative means of alternative means of compliance allows justification for minimal cost by compliance. Thus, these proposed industry to meet the requirement with the least costly option that can be cost regulation is identified in sections 1 changes would impose minimal cost. relieving or the existing method of through 9 below. 4. Automatic Flight Guidance and compliance, but either method would be Control Systems (§§ 27.1329, 27.1335, no more than minimal cost. 1. Powerplant Instruments (§§ 27.1305 29.1329, and 29.1335) and 29.1305) The FAA proposes to standardize 9. Typographical and Standardizing Changes to this section would allow terminology and combine the Corrections (§§ 27.87, 27.903, 29.955, for other means of compliance for requirements for automatic pilot and 29.977, 29.1019, 29.1517, and 29.1587) powerplant instrument indicators. Other flight director systems into one rule. Costs for proposed changes to this means of compliance are voluntary and Modern designs include both automatic section are minimal as these are strictly do not impose any new cost but could pilot and flight director systems and are typographical or standardizing be cost relieving for those that choose to now referred to as automatic flight corrections. voluntarily comply. Additionally, for guidance and control systems. Changes The FAA has, therefore, determined § 29.1305, the FAA would permit to this section would match current that this proposed rule is not a ‘‘significant regulatory action’’ as manipulating the powerplant industry practices at a minimal cost. defined in section 3(f) of Executive instruments to simulate OEI conditions 5. Instrument Systems (§ 29.1333 and Order 12866, and is not ‘‘significant’’ as without damaging the engines. Appendix B to Parts 27 and 29) defined in DOT’s Regulatory Policies However, helicopters with OEI Training The FAA proposed change would and Procedures. The FAA requests Mode would require additional allow for the use of more modern comments with supporting justification indicators to differentiate the OEI integrated systems to monitor and about the FAA determination of condition from actual engine failure, but display highly integrated information minimal cost impact. these indicators are already being regarding the rotorcraft. This section installed in current rotorcraft. The FAA would impose minimal cost as the B. Regulatory Flexibility Determination believes this proposed change would updates reflect modern industry The Regulatory Flexibility Act of 1980 impose minimal new cost to industry, as practices of integrating instrument (Pub. L. 96–354) (RFA) establishes ‘‘as a these are current industry practice. systems. principle of regulatory issuance that VerDate Sep<11>2014 17:05 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00008 Fmt 4702 Sfmt 4702 E:\FR\FM\01NOP1.SGM 01NOP1 sradovich on DSK3GMQ082PROD with PROPOSALS Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Proposed Rules 50589 agencies shall endeavor, consistent with from establishing standards or engaging G. Environmental Analysis the objectives of the rule and of in related activities that create FAA Order 1050.1F identifies FAA applicable statutes, to fit regulatory and unnecessary obstacles to the foreign actions that are categorically excluded informational requirements to the scale commerce of the United States. from preparation of an environmental of the businesses, organizations, and Pursuant to these Acts, the assessment or environmental impact governmental jurisdictions subject to establishment of standards is not statement under the National regulation. To achieve this principle, considered an unnecessary obstacle to Environmental Policy Act in the agencies are required to solicit and the foreign commerce of the United absence of extraordinary circumstances. consider flexible regulatory proposals States, so long as the standard has a The FAA has determined this and to explain the rationale for their legitimate domestic objective, such as rulemaking action qualifies for the actions to assure that such proposals are the protection of safety, and does not categorical exclusion identified in given serious consideration.’’ The RFA operate in a manner that excludes paragraph 5–6.6.f and involves no covers a wide-range of small entities, imports that meet this objective. The extraordinary circumstances. including small businesses, not-for- statute also requires consideration of V. Executive Order Determinations profit organizations, and small international standards and, where governmental jurisdictions. appropriate, that they be the basis for A. Executive Order 13132, Federalism Agencies must perform a review to U.S. standards. The FAA has assessed The FAA has analyzed this proposed determine whether a rule will have a the potential effect of this proposed rule significant economic impact on a rule under the principles and criteria of and determined that the potential Executive Order 13132, Federalism. The substantial number of small entities. If benefits are available to both domestic the agency determines that it will, the agency has determined that this action and international firms which would agency must prepare a regulatory would not have a substantial direct either have no affect or a positive effect flexibility analysis as described in the effect on the States, or the relationship on international trade. RFA. However, if an agency determines between the Federal Government and that a rule is not expected to have a D. Unfunded Mandates Assessment the States, or on the distribution of significant economic impact on a power and responsibilities among the substantial number of small entities, Title II of the Unfunded Mandates various levels of government, and, section 605(b) of the RFA provides that Reform Act of 1995 (Pub. L. 104–4) therefore, would not have Federalism the head of the agency may so certify requires each Federal agency to prepare implications. and a regulatory flexibility analysis is a written statement assessing the effects B. Executive Order 13211, Regulations not required. The certification must of any Federal mandate in a proposed or That Significantly Affect Energy Supply, include a statement providing the final agency rule that may result in an Distribution, or Use factual basis for this determination, and expenditure of $100 million or more (in The FAA analyzed this proposed rule the reasoning should be clear. 1995 dollars) in any one year by State, under Executive Order 13211, Actions The FAA proposes to amend the local, and tribal governments, in the Concerning Regulations that certification standards of normal and aggregate, or by the private sector; such Significantly Affect Energy Supply, transport category helicopters. The a mandate is deemed to be a ‘‘significant Distribution, or Use (May 18, 2001). The proposed changes reflect modern regulatory action.’’ The FAA currently agency has determined that it would not designs currently used in the rotorcraft uses an inflation-adjusted value of $155 be a ‘‘significant energy action’’ under industry and would reduce the burden million in lieu of $100 million. This the executive order and would not be on applicants for certification of new proposed rule does not contain such a likely to have a significant adverse effect rotorcraft designs. The proposed mandate; therefore, the requirements of on the supply, distribution, or use of changes would reduce or eliminate the Title II of the Act do not apply. need for certain special conditions energy. currently required to obtain certification E. Paperwork Reduction Act VI. Additional Information of modern rotorcraft. This proposed rule The Paperwork Reduction Act of 1995 A. Comments Invited would merely revise and clarify FAA (44 U.S.C. 3507(d)) requires that the rulemaking procedures; the expected The FAA invites interested persons to FAA consider the impact of paperwork participate in this rulemaking by outcome will have only a minimal cost and other information collection impact on any small entity affected by submitting written comments, data, or burdens imposed on the public. The views. The agency also invites this rulemaking action. FAA has determined that there would If an agency determines that a comments relating to the economic, be no new requirement for information rulemaking will not result in a environmental, energy, or federalism collection associated with this proposed significant economic impact on a impacts that might result from adopting rule. substantial number of small entities, the the proposals in this document. The head of the agency may so certify under F. International Compatibility and most helpful comments reference a section 605(b) of the RFA. Therefore, as Cooperation specific portion of the proposal, explain provided in section 605(b), the head of the reason for any recommended the FAA certifies that this rulemaking In keeping with U.S. obligations change, and include supporting data. To will not result in a significant economic under the Convention on International ensure the docket does not contain impact on a substantial number of small Civil Aviation, it is FAA policy to duplicate comments, commenters entities. conform to International Civil Aviation should send only one copy of written Organization (ICAO) Standards and comments, or if comments are filed C. International Trade Impact Recommended Practices to the electronically, commenters should Assessment maximum extent practicable. The FAA submit only one time. The Trade Agreements Act of 1979 has determined that there are no ICAO The FAA will file in the docket all (Pub. L. 96–39), as amended by the Standards and Recommended Practices comments it receives, as well as a report Uruguay Round Agreements Act (Pub. that correspond to these proposed summarizing each substantive public L. 103–465), prohibits Federal agencies regulations. contact with FAA personnel concerning VerDate Sep<11>2014 17:05 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00009 Fmt 4702 Sfmt 4702 E:\FR\FM\01NOP1.SGM 01NOP1 sradovich on DSK3GMQ082PROD with PROPOSALS 50590 Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Proposed Rules this proposed rulemaking. Before acting List of Subjects engine, if a torque limitation is on this proposal, the FAA will consider established for that engine under 14 CFR Part 27 all comments it receives on or before the § 27.1521(e). closing date for comments. The FAA Aircraft, Aviation safety. * * * * * will consider comments filed after the 14 CFR Part 29 ■ 5. Revise § 27.1309 to read as follows: comment period has closed if it is possible to do so without incurring Aircraft, Aviation safety. § 27.1309 Equipment, systems, and installations. expense or delay. The agency may The Proposed Amendment change this proposal in light of the The equipment, systems, and In consideration of the foregoing, the comments it receives. installations whose functioning is Federal Aviation Administration Proprietary or Confidential Business required by this subchapter must be proposes to amend chapter I of title 14, designed and installed to ensure that Information: Commenters should not Code of Federal Regulations as follows: file proprietary or confidential business they perform their intended functions information in the docket. Such PART 27—AIRWORTHINESS under any foreseeable operating information must be sent or delivered STANDARDS: NORMAL CATEGORY condition. For any item of equipment or directly to the person identified in the ROTORCRAFT system whose failure has not been FOR FURTHER INFORMATION CONTACT specifically addressed by another section of this document, and marked as ■ 1. The authority citation for part 27 requirement in this chapter, the proprietary or confidential. If submitting continues to read as follows: following requirements also apply: information on a disk or CD ROM, mark Authority: 49 U.S.C. 106(g), 40113, 44701– (a) The design of each item of the outside of the disk or CD ROM, and 44702, 44704. equipment, system, and installation identify electronically within the disk or must be analyzed separately and in ■ 2. Amend § 27.87 by revising the CD ROM the specific information that is relation to other rotorcraft systems and section heading and paragraph (a) proprietary or confidential. installations to determine and identify introductory text to read as follows: Under 14 CFR 11.35(b), if the FAA is any failure that would affect the aware of proprietary information filed § 27.87 Height-velocity envelope. capability of the rotorcraft or the ability with a comment, the agency does not (a) If there is any combination of of the crew to perform their duties in all place it in the docket. It is held in a height and forward speed (including operating conditions. separate file to which the public does hover) under which a safe landing (b) Each item of equipment, system, not have access, and the FAA places a cannot be made under the applicable and installation must be designed and note in the docket that it has received power failure condition in paragraph (b) installed so that: it. If the FAA receives a request to of this section, a limiting height-velocity (1) The occurrence of any catastrophic examine or copy this information, it envelope must be established (including failure condition is extremely treats it as any other request under the all pertinent information) for that improbable; Freedom of Information Act (5 U.S.C. condition, throughout the ranges of— (2) The occurrence of any minor 552). The FAA processes such a request failure condition is no more than * * * * * probable; and under Department of Transportation ■ 3. Amend § 27.903 by revising (3) For the occurrence of any other procedures found in 49 CFR part 7. paragraph (d) to read as follows: failure condition, the probability of the B. Availability of Rulemaking § 27.903 Engines. failure condition must be inversely Documents * * * * * proportional to its consequences. An electronic copy of rulemaking (d) Restart capability. (1) A means to (c) A means to alert the crew in the documents may be obtained from the restart any engine in flight must be event of a failure must be provided Internet by— provided. when an unsafe system operating condition exists to enable them to take 1. Searching the Federal eRulemaking (2) Except for the in-flight shutdown corrective action. Systems, controls, and Portal (http://www.regulations.gov); of all engines, engine restart capability must be demonstrated throughout a associated monitoring and crew alerting 2. Visiting the FAA’s Regulations and flight envelope for the rotorcraft. means must be designed to minimize Policies Web page at http:// (3) Following the in-flight shutdown crew errors that could create additional www.faa.gov/regulations_policies or of all engines, in-flight engine restart hazards. 3. Accessing the Government Printing capability must be provided. (d) Compliance with the requirements Office’s Web page at http:// ■ 4. Amend § 27.1305 by revising of this section must be shown by www.gpo.gov/fdsys/. paragraphs (e), (k) introductory text, (n), analysis and, where necessary, by Copies may also be obtained by and (o) to read as follows: ground, flight, or simulator tests. The sending a request to the Federal analysis must account for: Aviation Administration, Office of § 27.1305 Powerplant instruments. (1) Possible modes of failure, Rulemaking, ARM–1, 800 Independence * * * * * including malfunctions and misleading Avenue SW., Washington, DC 20591, or (e) A means to indicate manifold data and input from external sources; by calling (202) 267–9680. Commenters pressure for each altitude engine. (2) The effect of multiple failures and must identify the docket number of this * * * * * latent failures; rulemaking. (k) A means to indicate the r.p.m. of (3) The resulting effects on the All documents the FAA considered in each engine and at least one tachometer, rotorcraft and occupants, considering developing this proposed rule, as applicable, for: the stage of flight and operating including economic analyses and * * * * * conditions; and technical reports, may be accessed from (n) A means to indicate the gas (4) The crew warning cues and the the Internet through the Federal temperature for each turbine engine. corrective action required. eRulemaking Portal referenced in item (o) A means to enable the pilot to ■ 6. Amend § 27.1329 by revising the (1) above. determine the torque of each turbine section heading, adding introductory VerDate Sep<11>2014 17:05 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00010 Fmt 4702 Sfmt 4702 E:\FR\FM\01NOP1.SGM 01NOP1 sradovich on DSK3GMQ082PROD with PROPOSALS Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Proposed Rules 50591 text, and revising paragraphs (a), (d), hazardous effect on rotorcraft structure, § 27.1587 Performance information. and (e) to read as follows: equipment, or systems necessary for (a) * * * continued safe flight and landing. (1) Enough information to determine § 27.1329 Automatic flight guidance and (e) Energy storage system installations the limiting height-velocity envelope. control system. required for continued safe flight and For the purpose of this subpart, an * * * * * landing of the rotorcraft must have ■ 13. Amend appendix B to part 27 by automatic flight guidance and control monitoring features and a means to system may consist of an autopilot, revising paragraphs VIII introductory indicate to the pilot the status of all text and VIII(b)(5)(i) to read as follows: flight director, or a component that critical system parameters. interacts with stability augmentation or ■ 9. Amend § 27.1545 by revising Appendix B to Part 27—Airworthiness trim. paragraph (b) to read as follows: Criteria for Helicopter Instrument (a) Each automatic flight guidance and Flight control system must be designed so that § 27.1545 Airspeed indicator. * * * * * it: * * * * * VIII. Equipment, systems, and (1) Can be overpowered by the pilot (b) The following markings must be installation. The basic equipment and to allow control of the rotorcraft; made: (2) Provides a means to disengage the (1) A red line— installation must comply with system by the pilot to prevent it from (i) For rotorcraft other than §§ 29.1303, 29.1431, and 29.1433, with the following exceptions and additions: interfering with the control of the helicopters, at VNE. rotorcraft; and (ii) For helicopters, at VNE (power-on). * * * * * (3) Provides a means to indicate to the (iii) For helicopters, at VNE (power- (b) * * * flight crew its current mode of off). If VNE (power-off) is less than VNE (5) * * * operation. (power-on) and both are simultaneously (i) For pneumatic systems, only the Selector switch position is not displayed, the red line at VNE (power- required flight instruments for the first acceptable as a means of indication. off) must be clearly distinguishable from pilot may be connected to that operating the red line at V (power-on). * * * * * NE system; (2) [Reserved] * * * * * (d) The system must be designed so (3) For the caution range, a yellow that, within the range of adjustment range. Appendix C to Part 27 [Amended] available to the pilot, it cannot produce (4) For the normal operating range, a ■ 14. In appendix C to part 27, amend hazardous loads on the rotorcraft, or green or unmarked range. create hazardous deviations in the flight paragraph C27.2 by removing the entry * * * * * path, under any flight condition ‘‘29.1309(b)(2) (i) and (d)-Equipment, ■ 10. Amend § 27.1549 by revising systems, and installations.’’ appropriate to its use or in the event of paragraphs (a) through (d) to read as a malfunction. follows: PART 29—AIRWORTHINESS (e) If the automatic flight guidance STANDARDS: TRANSPORT and control system integrates signals § 27.1549 Powerplant instruments. CATEGORY ROTORCRAFT from auxiliary controls or furnishes * * * * * signals for operation of other (a) Each maximum and, if applicable, ■ 15. The authority citation for part 29 equipment, there must be a means to minimum safe operating limit must be continues to read as follows: prevent improper operation. marked with a red line; Authority: 49 U.S.C. 106(f), 106(g), 40113, * * * * * (b) Each normal operating range must 44701–44702, 44704. be marked as a green or unmarked ■ § 27.1335 [Removed] range; 16. Amend § 29.955 by revising ■ 7. Remove § 27.1335. (c) Each takeoff and precautionary paragraph (a)(7) to read as follows: ■ 8. Revise § 27.1353 to read as follows: range must be marked with a yellow § 29.955 Fuel flow. range or yellow line; and § 27.1353 Energy storage systems. (d) Each engine or propeller range that (a) * * * (7) The fuel filter required by § 29.997 Energy storage systems must be is restricted because of excessive is blocked to the degree necessary to designed and installed as follows: vibration stresses must be marked with simulate the accumulation of fuel (a) Energy storage systems must red ranges or red lines. provide automatic protective features contamination required to activate the * * * * * indicator required by § 29.1305(a)(18). for any conditions that could prevent ■ 11. Amend § 27.1555 by revising continued safe flight and landing. paragraph (c)(1) to read as follows: * * * * * (b) Energy storage systems must not ■ 17. Amend § 29.977 by revising emit any explosive or toxic gases, § 27.1555 Control markings. paragraphs (a)(1) and (2) to read as smoke, or fluids except through * * * * * follows: designed venting provisions and must (c) * * * not accumulate in hazardous quantities (1) For fuel systems having no selector § 29.977 Fuel tank outlet. within the rotorcraft. controls, the usable fuel capacity of the (a) * * * (c) Corrosive fluids or gases that system must be indicated at the fuel (1) For reciprocating engine powered escape from the system must not quantity indicator unless it is: rotorcraft, have 8 to 16 meshes per inch; damage surrounding structures, adjacent (i) Provided by another system or and equipment, or systems necessary for equipment readily accessible to the (2) For turbine engine powered continued safe flight and landing. pilot; and rotorcraft, prevent the passage of any (d) The maximum amount of heat that (ii) Contained in the limitations object that could restrict fuel flow or can be generated during any operation section of the rotorcraft flight manual. damage any fuel system component. or under any failure condition of the * * * * * * * * * * energy storage system or its individual ■ 12. Amend § 27.1587 by revising ■ 18. Amend § 29.1019 by revising components must not result in any paragraph (a)(1) to read as follows: paragraph (a)(5) to read as follows: VerDate Sep<11>2014 17:05 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00011 Fmt 4702 Sfmt 4702 E:\FR\FM\01NOP1.SGM 01NOP1 sradovich on DSK3GMQ082PROD with PROPOSALS 50592 Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Proposed Rules § 29.1019 Oil strainer or filter. failure condition must be inversely ■ 22. Amend § 29.1333 by revising (a) * * * proportional to its consequences. paragraph (a) to read as follows: (5) An oil strainer or filter that has no (c) A means to alert the crew in the § 29.1333 Instrument systems. bypass, except one that is installed at an event of a failure must be provided oil tank outlet, must have a means to when an unsafe system operating * * * * * connect it to the warning system condition exists and to enable them to (a) For pneumatic systems, only the required in § 29.1305(a)(19). take corrective action. Systems, required flight instruments for the first * * * * * controls, and associated monitoring and pilot may be connected to that operating ■ 19. Amend § 29.1305 by revising crew alerting means must be designed to system. paragraphs (a)(5), (11), and (12) and minimize crew errors that could create * * * * * adding (b)(4) to read as follows: additional hazards. (d) Compliance with the requirements § 29.1335 [Removed] § 29.1305 Powerplant instruments. of this section must be shown by ■ 23. Remove § 29.1335. (a) * * * analysis and, where necessary, by ■ 24. Amend § 29.1351 by adding (5) A means to indicate manifold ground, flight, or simulator tests. The paragraphs (e) and (f) to read as follows: pressure for each reciprocating engine of analysis must account for: the altitude type; (1) Possible modes of failure, § 29.1351 General. * * * * * including malfunctions and misleading * * * * * (11) A means to indicate the gas data and input from external sources; (e) Electrical equipment, controls, and (2) The effect of multiple failures and temperature for each turbine engine; wiring must be installed so that latent failures; (12) A means to indicate the gas operation of any one unit or system of (3) The resulting effects on the producer speed for each turbine engine; units will not adversely affect the rotorcraft and occupants, considering simultaneous operation of any other * * * * * the stage of flight and operating electrical unit or system essential to safe (b) * * * conditions; and operation. (4) For each Category A rotorcraft for (4) The crew warning cues and the which OEI Training Mode is requested, corrective action required. (f) Cables must be grouped, routed, a means must be provided to indicate to ■ 21. Amend § 29.1329 by revising the and spaced so that damage to essential the pilot the simulation of an engine section heading, adding introductory circuits will be minimized if there are failure, the annunciation of that text, and revising paragraphs (a), (d), faults in heavy current-carrying cables. simulation, and a representation of the and (e) to read as follows: * * * * * OEI power being provided. ■ 25. Revise § 29.1353 to read as § 29.1329 Automatic flight guidance and * * * * * control system. follows: ■ 20. Revise § 29.1309 to read as follows: For the purpose of this subpart, an § 29.1353 Energy storage systems. automatic flight guidance and control Energy storage systems must be § 29.1309 Equipment, systems, and system may consist of an autopilot, designed and installed as follows: installations. flight director, or a component that (a) Energy storage systems must The equipment, systems, and interacts with stability augmentation or provide automatic protective features installations whose functioning is trim. for any conditions that could prevent (a) Each automatic flight guidance and required by this subchapter must be continued safe flight and landing. designed and installed to ensure that control system must be designed so that (b) Energy storage systems must not they perform their intended functions it: emit any explosive or toxic gases, under any foreseeable operating (1) Can be overpowered by the pilot smoke, or fluids except through condition. For any item of equipment or to allow control of the rotorcraft; designed venting provisions and must system whose failure has not been (2) Provides a means to disengage the not accumulate in hazardous quantities specifically addressed by another system by the pilot to prevent it from within the rotorcraft. requirement in this chapter, the interfering with the control of the following requirements also apply: rotorcraft; and (c) Corrosive fluids or gases that (a) The design of each item of (3) Provides a means to indicate to the escape from the system must not equipment, system, and installation flight crew its current mode of damage surrounding structures, adjacent must be analyzed separately and in operation. Selector switch position is equipment, or systems necessary for relation to other rotorcraft systems and not acceptable as a means of indication. continued safe flight and landing. installations to determine and identify * * * * * (d) The maximum amount of heat that any failure that would affect the (d) The system must be designed so can be generated during any operation capability of the rotorcraft or the ability that, within the range of adjustment or under any failure condition of the of the crew to perform their duties in all available to the pilot, it cannot produce energy storage system or its individual operating conditions. hazardous loads on the rotorcraft, or components must not result in any (b) Each item of equipment, system, create hazardous deviations in the flight hazardous effect on rotorcraft structure, and installation must be designed and path, under any flight condition equipment, or systems necessary for installed so that: appropriate to its use or in the event of continued safe flight and landing. (1) The occurrence of any catastrophic a malfunction. (e) Energy storage system installations failure condition is extremely (e) If the automatic flight guidance required for continued safe flight and improbable; and control system integrates signals landing of the rotorcraft must have (2) The occurrence of any minor from auxiliary controls or furnishes monitoring features and a means to failure condition is no more than signals for operation of other indicate to the pilot the status of all probable; and equipment, there must be a means to critical system parameters. (3) For the occurrence of any other prevent improper operation. ■ 26. Amend § 29.1517 by revising the failure condition, the probability of the * * * * * section heading to read as follows: VerDate Sep<11>2014 17:05 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00012 Fmt 4702 Sfmt 4702 E:\FR\FM\01NOP1.SGM 01NOP1 sradovich on DSK3GMQ082PROD with PROPOSALS Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Proposed Rules 50593 § 29.1517 Limiting height-velocity (6) The height-velocity envelope ADDRESSES: Send comments on this envelope. except for rotorcraft incorporating this proposal to: U.S. Department of * * * * * as an operating limitation; Transportation, Docket Operations, 1200 ■ 27. Amend § 29.1545 by revising * * * * * New Jersey Avenue SE., West Bldg. paragraph (b) to read as follows: ■ 31. Amend appendix B to part 29 by Ground Floor, Rm. W12–140, Washington, DC 20590; Telephone: § 29.1545 Airspeed indicator. revising paragraphs VIII introductory text and VIII(b)(5)(i) to read as follows: (202) 366–9826. You must identify the * * * * * Docket No. FAA–2017–0848; Airspace (b) The following markings must be Appendix B to Part 29—Airworthiness Docket No. 13–ANE–2, at the beginning made: Criteria for Helicopter Instrument of your comments. You may also submit (1) A red line: Flight and review received comments through (i) For rotorcraft other than * * * * * the Internet at http:// helicopters, at VNE. VIII. Equipment, systems, and www.regulations.gov. You may review (ii) For helicopters, at a VNE (power- installation. The basic equipment and the public docket containing the on). installation must comply with proposal, any comments received, and (power- (iii) For helicopters, at VNE §§ 29.1303, 29.1431, and 29.1433, with any final disposition in person in the off). If V NE (power-off) is less than VNE the following exceptions and additions: Dockets Office between 9:00 a.m. and (power-on) and both are simultaneously * * * * * 5:00 p.m., Monday through Friday, displayed, the red line at VNE (power- except federal holidays. off) must be clearly distinguishable from (b) * * * (5) * * * FAA Order 7400.11B, Airspace the red line at VNE (power-on). Designations and Reporting Points, and (2) [Reserved] (i) For pneumatic systems, only the required flight instruments for the first subsequent amendments can be viewed (3) For the caution range, a yellow on line at http://www.faa.gov/air_ range. pilot may be connected to that operating system; traffic/publications/. For further (4) For the normal operating range, a information, you can contact the * * * * * green or unmarked range. Airspace Policy Group, Federal Aviation * * * * * Issued under authority provided by Administration, 800 Independence ■ 28. Amend § 29.1549 by revising (Consult AGC) 49 U.S.C. 106(f), 44701(a), and Avenue SW., Washington, DC 20591; paragraphs (a) through (d) to read as 44703 in Washington, DC, on October 19, telephone: (202) 267–8783. The Order is 2017. follows: also available for inspection at the David W. Hempe, § 29.1549 Powerplant instruments. National Archives and Records Deputy Executive Director for Regulatory Administration (NARA). For * * * * * Operations, Aircraft Certification Service. information on the availability of FAA (a) Each maximum and, if applicable, [FR Doc. 2017–23360 Filed 10–31–17; 8:45 am] Order 7400.11B at NARA, call (202) minimum safe operating limit must be BILLING CODE 4910–13–P 741–6030, or go to https://www.archives marked with a red line; .gov/federal-register/cfr/ibr- (b) Each normal operating range must locations.html. be marked as a green or unmarked DEPARTMENT OF TRANSPORTATION FAA Order 7400.11, Airspace range; Designations and Reporting Points, is (c) Each takeoff and precautionary Federal Aviation Administration published yearly and effective on range must be marked with a yellow September 15. range or yellow line; 14 CFR Part 71 (d) Each engine or propeller range that FOR FURTHER INFORMATION CONTACT: John [Docket No. FAA–2017–0848; Airspace Fornito, Operations Support Group, is restricted because of excessive Docket No. 13–ANE–2] vibration stresses must be marked with Eastern Service Center, Federal Aviation red ranges or red lines; and Proposed Amendment of Class E Administration, P.O. Box 20636, * * * * * Airspace, Berlin, NH Atlanta, Georgia 30320; telephone (404) ■ 29. Amend § 29.1555 by revising 305–6364. AGENCY: paragraph (c)(1) to read as follows: Federal Aviation SUPPLEMENTARY INFORMATION: Administration (FAA), DOT. Authority for This Rulemaking § 29.1555 Control markings. ACTION: Notice of proposed rulemaking * * * * * (NPRM). The FAA’s authority to issue rules (c) * * * regarding aviation safety is found in (1) For fuel systems having no selector SUMMARY: This action proposes to Title 49 of the United States Code. controls, the usable fuel capacity of the amend Class E airspace at Berlin, NH, Subtitle I, Section 106 describes the system must be indicated at the fuel due to the addition of a localizer authority of the FAA Administrator. quantity indicator unless it is: performance with vertical guidance Subtitle VII, Aviation Programs, (i) Provided by another system or function (LPV) instrument procedure to describes in more detail the scope of the equipment readily accessible to the runway 18 being created for Berlin agency’s authority. This rulemaking is pilot; and Regional Airport (formerly Berlin promulgated under the authority (ii) Contained in the limitations Municipal Airport). This action also described in Subtitle VII, Part A, section of the rotorcraft flight manual. would update the geographic Subpart I, Section 40103. Under that * * * * * coordinates of the airport to coincide section, the FAA is charged with ■ 30. Amend § 29.1587 by revising with the FAA’s aeronautical database, prescribing regulations to assign the use paragraph (b)(6) to read as follows: and would enhance the safety and of airspace necessary to ensure the management of instrument flight rules safety of aircraft and the efficient use of § 29.1587 Performance information. operations (IFR) at the airport. airspace. This regulation is within the * * * * * DATES: Comments must be received on scope of that authority as it would (b) * * * or before December 18, 2017. amend Class E airspace at Berlin VerDate Sep<11>2014 17:05 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00013 Fmt 4702 Sfmt 4702 E:\FR\FM\01NOP1.SGM 01NOP1 sradovich on DSK3GMQ082PROD with PROPOSALS 50594 Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Proposed Rules Regional Airport, Berlin, NH, to support Availability and Summary of ‘‘Environmental Impacts: Policies and IFR operations at the airport. Documents for Incorporation by Procedures’’ prior to any FAA final Reference regulatory action. Comments Invited This document proposes to amend Interested persons are invited to Lists of Subjects in 14 CFR Part 71 FAA Order 7400.11B, Airspace comment on this rule by submitting Designations and Reporting Points, Airspace, Incorporation by reference, such written data, views, or arguments, dated August 3, 2017, and effective Navigation (air). as they may desire. Comments that September 15, 2017. FAA Order provide the factual basis supporting the The Proposed Amendment 7400.11B is publicly available as listed views and suggestions presented are In consideration of the foregoing, the in the ADDRESSES section of this particularly helpful in developing document. FAA Order 7400.11B lists Federal Aviation Administration reasoned regulatory decisions on the Class A, B, C, D, and E airspace areas, proposes to amend 14 CFR part 71 as proposal. Comments are specifically air traffic service routes, and reporting follows: invited on the overall regulatory, points. aeronautical, economic, environmental, PART 71—DESIGNATION OF CLASS A, and energy-related aspects of the The Proposal B, C, D, AND E AIRSPACE AREAS; AIR proposal. The FAA is considering an TRAFFIC SERVICE ROUTES; AND Communications should identify both amendment to Title 14, Code of Federal REPORTING POINTS docket numbers and be submitted in Regulations (14 CFR) part 71 to amend triplicate to the address listed above. ■ 1. The authority citation for part 71 Class E airspace extending upward from continues to read as follows: You may also submit comments through 700 feet or more above the surface the Internet at http:// within a 10.5-mile radius of Berlin Authority: 49 U.S.C. 106(f), 106(g); 40103, www.regulations.gov. Regional Airport, Berlin, NH, due to the 40113, 40120; E.O. 10854, 24 FR 9565, 3 CFR, Persons wishing the FAA to addition of LPV instrument procedures 1959–1963 Comp., p. 389. acknowledge receipt of their comments to runway 18. The Berlin VOR/DME § 71.1 [Amended] on this action must submit with those navigation aid is no longer needed to ■ 2. The incorporation by reference in comments a self-addressed stamped define the airspace. Additionally, the postcard on which the following 14 CFR 71.1 of Federal Aviation geographic coordinates of the airport Administration Order 7400.11B, statement is made: ‘‘Comments to would be adjusted to coincide with the Docket No. FAA–2017–0848; Airspace Airspace Designations and Reporting FAAs aeronautical database. Also, this Points, dated August 3, 2017, and Docket No. 13–ANE–2.’’ The postcard action would update the airport name to will be date/time stamped and returned effective September 15, 2017, is Berlin Regional Airport. amended as follows: to the commenter. Class E airspace designations are All communications received before published in Paragraph 6005 of FAA Paragraph 6005 Class E Airspace Areas the specified closing date for comments Order 7400.11B, dated August 3, 2017, Extending Upward From 700 Feet or More will be considered before taking action and effective September 15, 2017, which Above the Surface of the Earth. on the proposed rule. The proposal is incorporated by reference in 14 CFR * * * * * contained in this notice may be changed 71.1. The Class E airspace designation ANE NH E5 Berlin, NH [Amended] in light of the comments received. A listed in this document will be report summarizing each substantive Berlin Regional Airport, NH published subsequently in the Order. ° ′ ″ ° ′ ″ public contact with FAA personnel (Lat. 44 34 31 N., long. 71 10 33 W.) concerned with this rulemaking will be Regulatory Notices and Analyses That airspace extending upward from 700 filed in the docket. The FAA has determined that this feet above the surface within a 10.5-mile proposed regulation only involves an radius of Berlin Regional Airport, Availability of NPRMs established body of technical Issued in College Park, Georgia, on October An electronic copy of this document regulations for which frequent and 18, 2017. may be downloaded through the routine amendments are necessary to Ryan W. Almasy, internet at http://www.regulations.gov. keep them operationally current. It, Manager, Operations Support Group, Eastern Recently published rulemaking therefore: (1) Is not a ‘‘significant Service Center, Air Traffic Organization. documents can also be accessed through regulatory action’’ under Executive [FR Doc. 2017–23250 Filed 10–31–17; 8:45 am] the FAA’s Web page at http:// Order 12866; (2) is not a ‘‘significant BILLING CODE 4910–13–P www.faa.gov/air_traffic/publications/ rule’’ under DOT Regulatory Policies airspace_amendments/. and Procedures (44 FR 11034; February You may review the public docket 26, 1979); and (3) does not warrant DEPARTMENT OF TRANSPORTATION containing the proposal, any comments preparation of a Regulatory Evaluation received, and any final disposition in as the anticipated impact is so minimal. Federal Aviation Administration person in the Dockets Office (see the Since this is a routine matter that will ADDRESSES section for address and only affect air traffic procedures and air 14 CFR Part 71 phone number) between 9:00 a.m. and navigation, it is certified that this 5:00 p.m., Monday through Friday, proposed rule, when promulgated, will [Docket No. FAA–2017–0856; Airspace except federal holidays. An informal not have a significant economic impact Docket No. 17–AWP–10] docket may also be examined between on a substantial number of small entities 8:00 a.m. and 4:30 p.m., Monday Proposed Amendment of Class E under the criteria of the Regulatory Airspace; Hanford, CA through Friday, except federal holidays Flexibility Act. at the office of the Eastern Service Environmental Review AGENCY: Federal Aviation Center, Federal Aviation Administration (FAA), DOT. Administration, Room 350, 1701 This proposal will be subject to an ACTION: Notice of proposed rulemaking Columbia Avenue, College Park, GA environmental analysis in accordance (NPRM). 30337. with FAA Order 1050.1F, VerDate Sep<11>2014 17:05 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00014 Fmt 4702 Sfmt 4702 E:\FR\FM\01NOP1.SGM 01NOP1 sradovich on DSK3GMQ082PROD with PROPOSALS Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Proposed Rules 50595 SUMMARY: This action proposes to authority of the FAA Administrator. You may review the public docket amend Class E airspace extending Subtitle VII, Aviation Programs, containing the proposal, any comments upward from 700 feet above the surface describes in more detail the scope of the received, and any final disposition in at Hanford Municipal Airport, Hanford, agency’s authority. This rulemaking is person in the Dockets Office (see the CA, by enlarging the airspace to promulgated under the authority ADDRESSES section for the address and accommodate area navigation (RNAV) described in Subtitle VII, Part A, phone number) between 9:00 a.m. and procedures at the airport, removing the Subpart I, Section 40103. Under that 5:00 p.m., Monday through Friday, Visalia VHF omnidirectional range/ section, the FAA is charged with except federal holidays. An informal distance measuring equipment (VOR/ prescribing regulations to assign the use docket may also be examined between DME) from the airspace description, and of airspace necessary to ensure the 8:00 a.m. and 4:30 p.m., Monday amending the geographic coordinates of safety of aircraft and the efficient use of through Friday, except federal holidays, the airport. This action also would airspace. This regulation is within the at the Northwest Mountain Regional remove Blair Airport from the airport scope of that authority as it would Office of the Federal Aviation description as the airport no longer amend Class E airspace at Hanford Administration, Air Traffic exists. This action is necessary for the Municipal Airport, Hanford, CA, in Organization, Western Service Center, safety and management of instrument support of IFR operations at the airport. Operations Support Group, 1601 Lind flight rules (IFR) operations at the Avenue SW., Renton, WA 98057. Comments Invited airport. Availability and Summary of DATES: Comments must be received on Interested parties are invited to Documents Proposed for Incorporation or before December 18, 2017. participate in this proposed rulemaking by Reference by submitting such written data, views, ADDRESSES: Send comments on this This document proposes to amend proposal to the U.S. Department of or arguments, as they may desire. Comments that provide the factual basis FAA Order 7400.11B, Airspace Transportation, Docket Operations, 1200 Designations and Reporting Points, New Jersey Avenue SE., West Building supporting the views and suggestions presented are particularly helpful in dated August 3, 2017, and effective Ground Floor, Room W12–140, September 15, 2017. FAA Order Washington, DC 20590; telephone: developing reasoned regulatory decisions on the proposal. Comments 7400.11B is publicly available as listed 1(800) 647–5527, or (202) 366–9826. in the ADDRESSES section of this You must identify FAA Docket No. are specifically invited on the overall regulatory, aeronautical, economic, document. FAA Order 7400.11B lists FAA–2017–0856; Airspace Docket No. Class A, B, C, D, and E airspace areas, 17–AWP–10, at the beginning of your environmental, and energy-related aspects of the proposal. air traffic service routes, and reporting comments. You may also submit points. comments through the Internet at http:// Communications should identify both www.regulations.gov. docket numbers (Docket No. FAA– The Proposal FAA Order 7400.11B, Airspace 2017–0856; Airspace Docket No. 17– The FAA is proposing an amendment Designations and Reporting Points, and AWP–10) and be submitted in triplicate to Title 14 Code of Federal Regulations subsequent amendments can be viewed to DOT Docket Operations (see (14 CFR) part 71 by enlarging the Class online at http://www.faa.gov/air_traffic/ ADDRESSES section for address and E airspace area extending upward from publications/. For further information, phone number). 700 feet above the surface at Hanford you can contact the Airspace Policy Persons wishing the FAA to Municipal Airport, Hanford, CA to Group, Federal Aviation acknowledge receipt of their comments accommodate area navigation (RNAV) Administration, 800 Independence on this notice must submit with those procedures at the airport. The Class E Avenue SW., Washington, DC 20591; comments a self-addressed, stamped airspace area would be modified to telephone: (202) 267–8783. The Order is postcard on which the following within 1.8 miles southwest and 3.2 also available for inspection at the statement is made: ‘‘Comments to miles northeast of the 332° bearing from National Archives and Records Docket No. FAA–2017–0856/Airspace the airport extending to 6.2 miles Administration (NARA). For Docket No. 17–AWP–10.’’ The postcard northwest of the airport (from within a information on the availability of FAA will be date/time stamped and returned 2.6-mile radius), and within 1.8 miles Order 7400.11B at NARA, call (202) to the commenter. southwest and 3.2 miles northeast (from 741–6030, or go to https:// All communications received on or within 1.5 miles each side) of the 152° www.archives.gov/federal-register/cfr/ before the specified closing date for bearing from the airport extending to 6.2 ibr-locations.html. comments will be considered before miles southeast of the airport (from 5 FAA Order 7400.11, Airspace taking action on the proposed rule. The miles southeast), and within 1.3 miles Designations and Reporting Points, is proposal contained in this notice may each side of the 067° bearing from the published yearly and effective on be changed in light of the comments airport (from 1.8 miles north and 2.3 September 15. received. A report summarizing each miles south of the Visalia VOR/DME) FOR FURTHER INFORMATION CONTACT: Tom substantive public contact with FAA extending to 7.7 miles northeast of the Clark, Federal Aviation Administration, personnel concerned with this airport. Operations Support Group, Western rulemaking will be filed in the docket. Also, this action would remove the Service Center, 1601 Lind Avenue SW., Availability of NPRMs reference to the Visalia VOR/DME in the Renton, WA 98057; telephone (425) legal description as the FAA transitions 203–4511. An electronic copy of this document from ground-based to satellite-based SUPPLEMENTARY INFORMATION: may be downloaded through the navigation; and would remove Blair Internet at http://www.regulations.gov. Airport from the legal description as the Authority for This Rulemaking Recently published rulemaking airport no longer exists. The FAA’s authority to issue rules documents can also be accessed through Class E airspace designations are regarding aviation safety is found in the FAA’s Web page at http:// published in paragraph 6005, of FAA Title 49 of the United States Code. www.faa.gov/air_traffic/publications/ Order 7400.11B, dated August 3, 2017 Subtitle I, Section 106 describes the airspace_amendments/. and effective September 15, 2017, which VerDate Sep<11>2014 17:05 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00015 Fmt 4702 Sfmt 4702 E:\FR\FM\01NOP1.SGM 01NOP1 sradovich on DSK3GMQ082PROD with PROPOSALS 50596 Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Proposed Rules is incorporated by reference in 14 CFR Paragraph 6005 Class E Airspace Areas Ground Floor, Rm W12–140, 71.1. The Class E airspace designation Extending Upward From 700 Feet or More Washington, DC 20590; Telephone: 1– listed in this document will be Above the Surface of the Earth. (800) 647–5527, or (202) 366–9826. You published subsequently in the Order. * * * * * must identify the Docket No. FAA– 2017–0801; Airspace Docket No. 17– Regulatory Notices and Analyses AWP CA E5 Hanford, CA [Amended] Hanford Municipal Airport, CA ASO–17, at the beginning of your The FAA has determined that this (Lat. 36°19′00″ N., long. 119°37′40″ W.) comments. You may also submit and proposed regulation only involves an That airspace extending upward from 700 review received comments through the established body of technical feet above the surface within 1.8 miles Internet at http://www.regulations.gov. regulations for which frequent and southwest and 3.2 miles northeast of a 332° You may review the public docket routine amendments are necessary to bearing from the Hanford Municipal Airport containing the proposal, any comments keep them operationally current, is non- extending to 6.2 miles northwest of the received, and any final disposition in airport, and within 1.8 miles southwest and person in the Dockets Office between controversial and unlikely to result in ° 3.2 miles northeast of a 152 bearing from the 9:00 a.m. and 5:00 p.m., Monday adverse or negative comments. It, airport extending to 6.2 miles southeast of therefore: (1) Is not a ‘‘significant the airport, and within 1.3 miles each side of through Friday, except federal holidays. regulatory action’’ under Executive a 067° bearing from the airport extending to FAA Order 7400.11B, Airspace Order 12866; (2) is not a ‘‘significant 7.7 miles northeast of the airport. Designations and Reporting Points, and rule’’ under DOT Regulatory Policies Issued in Seattle, Washington, on October subsequent amendments can be viewed and Procedures (44 FR 11034; February 18, 2017. on line at http://www.faa.gov/air_ 26, 1979); and (3) does not warrant B.G. Chew, traffic/publications/. For further preparation of a regulatory evaluation as Acting Group Manager, Operations Support information, you can contact the the anticipated impact is so minimal. Group, Western Service Center. Airspace Policy Group, Federal Aviation Since this is a routine matter that will [FR Doc. 2017–23244 Filed 10–31–17; 8:45 am] Administration, 800 Independence only affect air traffic procedures and air BILLING CODE 4910–13–P Avenue SW., Washington, DC 20591; navigation, it is certified that this telephone: (202) 267–8783. The Order is proposed rule, when promulgated, also available for inspection at the would not have a significant economic DEPARTMENT OF TRANSPORTATION National Archives and Records impact on a substantial number of small Administration (NARA). For entities under the criteria of the Federal Aviation Administration information on the availability of FAA Regulatory Flexibility Act. Order 7400.11B at NARA, call (202) Environmental Review 14 CFR Part 71 741–6030, or go to https:// [Docket No. FAA–2017–0801; Airspace www.archives.gov/federal-register/cfr/ This proposal will be subject to an Docket No. 17–ASO–17] ibr-locations.html. environmental analysis in accordance FAA Order 7400.11, Airspace with FAA Order 1050.1F, Proposed Amendment of Class E Designations and Reporting Points, is ‘‘Environmental Impacts: Policies and Airspace, Greenville, NC published yearly and effective on Procedures’’ prior to any FAA final AGENCY: Federal Aviation September 15. regulatory action. Administration (FAA), DOT. FOR FURTHER INFORMATION CONTACT: John List of Subjects in 14 CFR Part 71 ACTION: Notice of proposed rulemaking Fornito, Operations Support Group, (NPRM). Airspace, Incorporation by reference, Eastern Service Center, Federal Aviation Navigation (air). SUMMARY: This action proposes to Administration, P.O. Box 20636, amend Class E surface airspace at Atlanta, Georgia 30320; telephone (404) The Proposed Amendment Greenville, NC, by removing Pitt County 305–6364. Accordingly, pursuant to the Memorial Hospital Heliport from the SUPPLEMENTARY INFORMATION: authority delegated to me, the Federal Class E surface area airspace associated Authority for This Rulemaking Aviation Administration proposes to with Pitt-Greenville Airport. Helicopters amend 14 CFR part 71 as follows: departing from the heliport must now The FAA’s authority to issue rules receive clearance. Consequently, the cut regarding aviation safety is found in PART 71—DESIGNATION OF CLASS A, out from Class E surface airspace is no Title 49 of the United States Code. B, C, D, AND E AIRSPACE AREAS; AIR longer required. Controlled airspace is Subtitle I, Section 106 describes the TRAFFIC SERVICE ROUTES; AND necessary for the safety and authority of the FAA Administrator. REPORTING POINTS management of instrument flight rules Subtitle VII, Aviation Programs, (IFR) operations at the airport. This describes in more detail the scope of the ■ 1. The authority citation for 14 CFR action also would update the geographic agency’s authority. This rulemaking is part 71 continues to read as follows: coordinates of the airport under Class E promulgated under the authority surface airspace and Class E airspace Authority: 49 U.S.C. 106(f), 106(g); 40103, described in Subtitle VII, Part A, 40113, 40120; E.O. 10854, 24 FR 9565, 3 CFR, extending upward from 700 feet or more Subpart I, Section 40103. Under that 1959–1963 Comp., p. 389. above the surface of the earth, to section, the FAA is charged with coincide with the FAAs aeronautical prescribing regulations to assign the use § 71.1 [Amended] database. of airspace necessary to ensure the ■ 2. The incorporation by reference in DATES: Comments must be received on safety of aircraft and the efficient use of 14 CFR 71.1 of FAA Order 7400.11B, or before December 18, 2017. airspace. This regulation is within the Airspace Designations and Reporting ADDRESSES: Send comments on this scope of that authority as it would Points, dated August 3, 2017, and proposal to: U.S. Department of amend Class E airspace at Pitt- effective September 15, 2017, is Transportation, Docket Operations, 1200 Greenville Airport, Greenville, NC to amended as follows: New Jersey Avenue SE., West Bldg. support IFR operation at the airport. VerDate Sep<11>2014 17:05 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00016 Fmt 4702 Sfmt 4702 E:\FR\FM\01NOP1.SGM 01NOP1 sradovich on DSK3GMQ082PROD with PROPOSALS Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Proposed Rules 50597 Comments Invited Availability and Summary of ‘‘Environmental Impacts: Policies and Documents for Incorporation by Procedures’’ prior to any FAA final Interested persons are invited to Reference regulatory action. comment on this rule by submitting such written data, views, or arguments, This document proposes to amend Lists of Subjects in 14 CFR Part 71 as they may desire. Comments that FAA Order 7400.11B, Airspace provide the factual basis supporting the Designations and Reporting Points, Airspace, Incorporation by reference, dated August 3, 2017, and effective views and suggestions presented are Navigation (air). September 15, 2017. FAA Order particularly helpful in developing 7400.11B is publicly available as listed The Proposed Amendment reasoned regulatory decisions on the in the ADDRESSES section of this proposal. Comments are specifically In consideration of the foregoing, the document. FAA Order 7400.11B lists invited on the overall regulatory, Federal Aviation Administration Class A, B, C, D, and E airspace areas, aeronautical, economic, environmental, proposes to amend 14 CFR part 71 as air traffic service routes, and reporting and energy-related aspects of the follows: points. proposal. PART 71—DESIGNATION OF CLASS A, Communications should identify both The Proposal B, C, D, AND E AIRSPACE AREAS; AIR docket numbers and be submitted in The FAA is considering an TRAFFIC SERVICE ROUTES; AND triplicate to the address listed above. amendment to Title 14, Code of Federal REPORTING POINTS You may also submit comments through Regulations (14 CFR) part 71 to amend the Internet at http:// Class E surface airspace within a 4.4- www.regulations.gov. mile radius of Pitt-Greenville Airport, ■ 1. The authority citation for part 71 continues to read as follows: Persons wishing the FAA to Greenville, NC. The Pitt County acknowledge receipt of their comments Memorial Hospital Heliport no longer Authority: 49 U.S.C. 106(f), 106(g); 40103, on this action must submit with those requires the southwest area below 200 40113, 40120; E.O. 10854, 24 FR 9565, 3 CFR, comments a self-addressed stamped feet from the airport for departures from 1959–1963 Comp., p. 389. postcard on which the following the heliport. This action is for continued safety and management of IFR § 71.1 [Amended] statement is made: ‘‘Comments to operations at the airport. The geographic Docket No. FAA–2017–0801; Airspace ■ 2. The incorporation by reference in coordinates of the airport also would be Docket No. 17–ASO–17.’’ The postcard 14 CFR 71.1 of Federal Aviation adjusted to coincide with the FAA’s will be date/time stamped and returned Administration Order 7400.11B, aeronautical database. Airspace Designations and Reporting to the commenter. Class E airspace designations are All communications received before published in Paragraphs 6002 and 6005, Points, dated August 3, 2017, and the specified closing date for comments respectively, of FAA Order 7400.11B, effective September 15, 2017, is will be considered before taking action dated August 3, 201B, and effective amended as follows: on the proposed rule. The proposal September 15, 201B, which is Paragraph 6002 Class E Surface Area contained in this notice may be changed incorporated by reference in 14 CFR Airspace. in light of the comments received. A 71.1. The Class E airspace designation * * * * * report summarizing each substantive listed in this document will be public contact with FAA personnel published subsequently in the Order. ASO NC E2 Greenville, NC [Amended] concerned with this rulemaking will be Regulatory Notices and Analyses Pitt-Greenville Airport, NC filed in the docket. (Lat. 35°38′09″ N., long. 77°23′03″ W.) The FAA has determined that this Within a 4.4-mile radius of the Pitt- Availability of NPRMs proposed regulation only involves an Greenville Airport. This Class E airspace area established body of technical An electronic copy of this document is effective during the specific dates and regulations for which frequent and may be downloaded through the times established in advance by a Notice to routine amendments are necessary to internet at http://www.regulations.gov. Airmen. The effective date and time will keep them operationally current. It, Recently published rulemaking thereafter be continuously published in the therefore: (1) Is not a ‘‘significant documents can also be accessed through Chart Supplement. regulatory action’’ under Executive the FAA’s Web page at http:// Order 12866; (2) is not a ‘‘significant Paragraph 6005 Class E Airspace Areas www.faa.gov/air_traffic/publications/ rule’’ under DOT Regulatory Policies Extending Upward From 700 Feet or More airspace_amendments/. and Procedures (44 FR 11034; February Above the Surface of the Earth. You may review the public docket 26, 1979); and (3) does not warrant * * * * * containing the proposal, any comments preparation of a Regulatory Evaluation ASO NC E5 Greenville, NC [Amended] received, and any final disposition in as the anticipated impact is so minimal. person in the Dockets Office (see the Since this is a routine matter that will Pitt-Greenville Airport, NC ADDRESSES section for address and only affect air traffic procedures and air (Lat. 35°38′09″ N., long. 77°23′03″ W.) phone number) between 9:00 a.m. and navigation, it is certified that this That airspace extending upward from 700 5:00 p.m., Monday through Friday, proposed rule, when promulgated, will feet above the surface within a 6.4-mile except federal holidays. An informal not have a significant economic impact radius of Pitt-Greenville Airport. docket may also be examined between on a substantial number of small entities Issued in College Park, Georgia, on October 8:00 a.m. and 4:30 p.m., Monday under the criteria of the Regulatory 18, 2017. through Friday, except federal holidays Flexibility Act. at the office of the Eastern Service Ryan W. Almasy, Center, Federal Aviation Environmental Review Manager, Operations Support Group, Eastern Administration, Room 350, 1701 This proposal will be subject to an Service Center, Air Traffic Organization. Columbia Avenue, College Park, GA environmental analysis in accordance [FR Doc. 2017–23252 Filed 10–31–17; 8:45 am] 30337. with FAA Order 1050.1F, BILLING CODE 4910–13–P VerDate Sep<11>2014 17:05 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00017 Fmt 4702 Sfmt 9990 E:\FR\FM\01NOP1.SGM 01NOP1 sradovich on DSK3GMQ082PROD with PROPOSALS 50598 Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Proposed Rules DEPARTMENT OF HEALTH AND Dated: October 26, 2017. Dated: October 26, 2017. HUMAN SERVICES Anna K. Abram, Anna K. Abram, Deputy Commissioner for Policy, Planning, Deputy Commissioner for Policy, Planning, Food and Drug Administration Legislation, and Analysis. Legislation, and Analysis. [FR Doc. 2017–23728 Filed 10–31–17; 8:45 am] [FR Doc. 2017–23729 Filed 10–31–17; 8:45 am] 21 CFR Part 573 BILLING CODE 4164–01–P BILLING CODE 4164–01–P [Docket No. FDA–2013–F–1539] DEPARTMENT OF HEALTH AND FEDERAL COMMUNICATIONS DSM Nutritional Products, Inc.; HUMAN SERVICES COMMISSION Withdrawal of Food Additive Petition (Animal Use) Food and Drug Administration 47 CFR Part 1 AGENCY: Food and Drug Administration, 21 CFR Part 573 [MD Docket Nos. 17–134; FCC 17–111] HHS. [Docket No. FDA–2014–F–0295] Assessment and Collection of ACTION: Notification; withdrawal of Regulatory Fees for Fiscal Year 2017 petition for rulemaking. DSM Nutritional Products, Inc.; Withdrawal of Food Additive Petition AGENCY: Federal Communications SUMMARY: The Food and Drug (Animal Use) Commission. Administration (FDA or we) is ACTION: Notice of proposed rulemaking. AGENCY: Food and Drug Administration, announcing the withdrawal, without HHS. SUMMARY: In this document, the Federal prejudice to a future filing, of a food ACTION: Communications Commission additive petition (animal use) (FAP Notification; withdrawal of petition for rulemaking. (Commission) seeks further comment on 2276) proposing that the food additive the appropriate tiers for calculating regulations be amended to provide for SUMMARY: The Food and Drug terrestrial and satellite international the safe use of ethoxyquin in vitamin D Administration (FDA or we) is bearer circuit fees, and the methodology formulations, including 25- announcing the withdrawal, without by which cable television subscribers in hydroxyvitamin D3, used in animal prejudice to a future filing, of a food multiple dwelling units (MDUs) are food. additive petition (FAP 2280) proposing calculated. that the food additive regulations be DATES: The food additive petition was DATES: Comments are due on or before withdrawn on September 13, 2017. amended to provide for the safe use of December 1, 2017 and reply comments 25-hydroxyvitamin D3 in feed for swine. ADDRESSES: For access to the docket to are due on or before December 18, 2017. DATES: The food additive petition was ADDRESSES: You may submit comments, read background documents or withdrawn on September 13, 2017. comments received, go to https:// identified by MD Docket No. 17–134, by ADDRESSES: For access to the docket to www.regulations.gov and insert the any of the following methods listed in read background documents or docket number, found in brackets in the the Comment Filing Procedures section comments received, go to https:// heading of this document, into the below. www.regulations.gov and insert the ‘‘Search’’ box and follow the prompts; For detailed instructions for docket number, found in brackets in the and/or go to the Dockets Management submitting comments and additional heading of this document, into the Staff, 5630 Fishers Lane, Rm. 1061, information on the rulemaking process, ‘‘Search’’ box and follow the prompts; Rockville, MD 20852. see the SUPPLEMENTARY INFORMATION and/or go to the Dockets Management section of this document. FOR FURTHER INFORMATION CONTACT: Staff, 5630 Fishers Lane, Rm. 1061, FOR FURTHER INFORMATION CONTACT: Chelsea Trull, Center for Veterinary Rockville, MD 20852. Roland Helvajian, Office of Managing Medicine, Food and Drug FOR FURTHER INFORMATION CONTACT: Director at (202) 418–0444. Administration, 7519 Standish Pl., Chelsea Trull, Center for Veterinary SUPPLEMENTARY INFORMATION: This is a Rockville, MD 20855, 240–402–6729, Medicine, Food and Drug summary of the Commission’s Further [email protected]. Administration, 7519 Standish Pl., Notice of Proposed Rulemaking SUPPLEMENTARY INFORMATION: In a notice Rockville, MD 20855, 240–402–6729, (FNPRM), FCC 17–111, MD Docket No. published in the Federal Register of [email protected]. 17–134 adopted on September 1, 2017 December 23, 2013 (78 FR 77384), we SUPPLEMENTARY INFORMATION: In a notice and released on September 5, 2017. The announced that we had filed a food published in the Federal Register of full text of this document is available for additive petition (FAP 2276), submitted March 25, 2014 (79 FR 16252), we inspection and copying during normal by DSM Nutritional Products, 45 announced that we had filed a food business hours in the FCC Reference Waterview Blvd., Parsippany, NJ 07054. additive petition (FAP 2280), submitted Center, 445 12th Street SW., Room CY– The petition proposed to amend the by DSM Nutritional Products, 45 A257, Portals II, Washington, DC 20554, food additive regulations in 21 CFR part Waterview Blvd., Parsippany, NJ 07054. and may also be purchased from the 573 Food Additives Permitted in Feed The petition proposed to amend the Commission’s copy contractor, BCPI, and Drinking Water of Animals to food additive regulations in 21 CFR part Inc., Portals II, 445 12th Street SW., provide for the safe use of ethoxyquin 573, Food Additives Permitted in Feed Room CY–B402, Washington, DC 20554. as a chemical preservative in vitamin D and Drinking Water of Animals, to Customers may contact BCPI, Inc. via formulations, including 25- provide for the safe use of 25- their Web site, http://www.bcpi.com, or hydroxyvitamin D3, used in animal food. hydroxyvitamin D3 in feed for swine. call 1–800–378–3160. This document is DSM Nutritional Products, Inc., has now DSM Nutritional Products, Inc. has now available in alternative formats withdrawn the petition without withdrawn the petition without (computer diskette, large print, audio prejudice to a future filing (21 CFR prejudice to a future filing (21 CFR record, and Braille). Persons with 571.7). 571.7). disabilities who need documents in VerDate Sep<11>2014 17:05 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00018 Fmt 4702 Sfmt 4702 E:\FR\FM\01NOP1.SGM 01NOP1 sradovich on DSK3GMQ082PROD with PROPOSALS Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Proposed Rules 50599 these formats may contact the FCC by Comment Filing System (ECFS), (2) the 4. Accessibility Information. To email: [email protected] or phone: 202– Federal Government’s eRulemaking request information in accessible 418–0530 or TTY: 202–418–0432. Portal, or (3) by filing paper copies. See formats (computer diskettes, large print, Electronic Filing of Documents in audio recording, and Braille), send an I. Procedural Matters Rulemaking Proceedings, 63 FR 24121 email to [email protected] or call the A. Ex Parte Rules Permit-But-Disclose (1998). Commission’s Consumer and Proceeding • Electronic Filers: Comments may be Governmental Affairs Bureau at (202) 1. This Further Notice of Proposed filed electronically using the Internet by 418–0530 (voice), (202) 418–0432 Rulemaking (FY 2017 FNPRM) shall be accessing the ECFS: http:// (TTY). This document can also be treated as a ‘‘permit-but-disclose’’ fjallfoss.fcc.gov/ecfs2/ or the Federal downloaded in Word and Portable proceeding in accordance with the eRulemaking Portal: http:// Document Format (‘‘PDF’’) at: http:// Commission’s ex parte rules. Persons www.regulations.gov. www.fcc.gov. • Paper Filers: Parties who choose to making ex parte presentations must file C. Initial Regulatory Flexibility Analysis a copy of any written presentation or a file by paper must file an original and memorandum summarizing any oral four copies of each filing. If more than 5. An initial regulatory flexibility presentation within two business days one docket or rulemaking number analysis (IRFA) is contained in this after the presentation (unless a different appears in the caption of this summary. Comments to the IRFA must deadline applicable to the Sunshine proceeding, filers must submit two be identified as responses to the IRFA period applies). Persons making oral ex additional copies for each additional and filed by the deadlines for comments parte presentations are reminded that docket or rulemaking number. on the Notice. The Commission will memoranda summarizing the Filings can be sent by hand or send a copy of the Notice, including the presentation must list all persons messenger delivery, by commercial IRFA, to the Chief Counsel for Advocacy attending or otherwise participating in overnight courier, or by first-class or of the Small Business Administration. the meeting at which the ex parte overnight U.S. Postal Service mail. All filings must be addressed to the D. Initial Paperwork Reduction Act of presentation was made, and summarize 1995 Analysis all data presented and arguments made Commission’s Secretary, Office of the during the presentation. If the Secretary, Federal Communications 6. This document does not contain presentation consisted in whole or in Commission. new or modified information collection part of the presentation of data or D All hand-delivered or messenger- requirements subject to the Paperwork arguments already reflected in the delivered paper filings for the Reduction Act of 1995 (PRA), Public presenter’s written comments, Commission’s Secretary must be Law 104–13. In addition, therefore, it memoranda, or other filings in the delivered to FCC Headquarters at 445 does not contain any new or modified proceeding, the presenter may provide 12th St. SW., Room TW–A325, information collection burden for small citations to such data or arguments in Washington, DC 20554. The filing hours business concerns with fewer than 25 his or her prior comments, memoranda, are 8:00 a.m. to 7:00 p.m. All hand employees, pursuant to the Small or other filings (specifying the relevant deliveries must be held together with Business Paperwork Relief Act of 2002, page and/or paragraph numbers where rubber bands or fasteners. Any Public Law 107–198, see 44 U.S.C. such data or arguments can be found) in envelopes must be disposed of before 3506(c)(4). lieu of summarizing them in the entering the building. memorandum. Documents shown or D Commercial overnight mail (other II. Introduction given to Commission staff during ex than U.S. Postal Service Express Mail and Priority Mail) must be sent to 9050 7. In this Further Notice of Proposed parte meetings are deemed to be written Rulemaking, we seek further comment ex parte presentations and must be filed Junction Drive, Annapolis Junction, MD 20701. on the appropriate tiers for calculating consistent with § 1.1206(b). In terrestrial and satellite international proceedings governed by § 1.49(f) or for D U.S. Postal Service first-class, Express, and Priority mail must be bearer circuit fees raised in the FY 2016 which the Commission has made NPRM and the FY 2017 NPRM and the available a method of electronic filing, addressed to 445 12th Street SW., Washington, DC 20554. methodology for calculating cable written ex parte presentations and television subscribers in multiple memoranda summarizing oral ex parte People with Disabilities: To request materials in accessible formats for dwelling units (MDUs) raised in the FY presentations, and all attachments 2008 FNPRM.1 thereto, must be filed through the people with disabilities (braille, large electronic comment filing system print, electronic files, audio format), A. International Bearer Circuits available for that proceeding, and must send an email to [email protected] or call be filed in their native format (e.g., .doc, the Consumer & Governmental Affairs 8. We seek further comment on this .xml, .ppt, searchable .pdf). Participants Bureau at 202–418–0530 (voice), 202– issue to have a more comprehensive in this proceeding should familiarize 418–0432 (tty). record for adopting a new flat rate themselves with the Commission’s ex 3. Availability of Documents. methodology for terrestrial and satellite parte rules. Comments, reply comments, and ex IBCs and to revise the tiers for parte submissions will be available for submarine cable systems. We also seek B. Comment Filing Procedures public inspection during regular comment on the proposal to adopt a 2. Comments and Replies. Pursuant to business hours in the FCC Reference regulatory fee for all holders of section §§ 1.415 and 1.419 of the Commission’s Center, Federal Communications 214 international authorizations. rules, 47 CFR 1.415, 1.419, interested Commission, 445 12th Street SW., CY– 9. In the Submarine Cable Order, the parties may file comments and reply A257, Washington, DC 20554. These Commission adopted a tiered system comments on or before the dates documents will also be available free using gigabits per second (Gbps) indicated on the first page of this online, via ECFS. Documents will be document. Comments may be filed available electronically in ASCII, Word, 1 FY 2008 FNPRM, 73 FR 50285, 50290 at using: (1) The Commission’s Electronic and/or Adobe Acrobat. paragraphs 27–28. VerDate Sep<11>2014 17:05 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00019 Fmt 4702 Sfmt 4702 E:\FR\FM\01NOP1.SGM 01NOP1 sradovich on DSK3GMQ082PROD with PROPOSALS 50600 Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Proposed Rules increments (instead of 64 kbps 2). The 12. In its comments, the Coalition dwelling unit or MDU.10 The tiers adopted for submarine cable suggested that the Commission should methodology for calculating the number systems at that time were as follows: adopt a fee methodology based on flat of cable subscribers has since been the ‘‘large’’ systems, 20 Gbps or more, fee from every holder of an international following: 6 paying one payment unit each; systems section 214 authorization. We seek Cable television system operators should with capacity equal to or greater than 10 further comment on this approach. compute their number of basic subscribers as Gbps but less than 20 Gbps, paying 50 Should a flat fee based on holding an follows: Number of single family dwellings + percent of a payment unit; systems with international section 214 authorization number of individual households in multiple capacity equal to or greater than 5 Gbps replace only the terrestrial and satellite dwelling unit (apartments, condominiums, but less than 10 Gbps, paying 25 percent IBCs regulatory fees, with submarine mobile home parks, etc.) paying at the basic of a payment unit; systems with cable IBCs continuing to be assessed on subscriber rate + bulk rate customers + courtesy and free service. Note: Bulk-Rate capacity equal to or greater than 2.5 holding a cable landing license, or Customers = Total annual bulk-rate charge Gbps but less than 5 Gbps, paying 12.5 should it replace all IBC regulatory fees divided by basic annual subscription rate for percent of a payment unit; and systems (i.e., terrestrial, satellite and submarine individual households. Operators may base with capacity below 2.5 Gbps paying cable)? Would a flat fee on an their count on ‘‘a typical day in the last full 6.25 percent of a payment unit.3 international section 214 authorization week’’ of December [year], rather than on a 11 10. We propose revising the tiers for reduce administrative burdens in count as of December 31, [year]. submarine cable systems. We recognize collecting the IBC fee? The Coalition 14. We recognize that the cable that since we adopted the current tiers states that there are approximately 7,000 television industry has evolved for submarine cable systems, the current international section 214 significantly and the bulk rate 7 subsequent growth in the industry has authorizations, but CTIA notes that calculation may not be reasonable or moved all but two systems to the many of those are held by companies feasible today because of the many highest tier. We seek comment on that do not actually provide services offered today by cable whether we should revise the tiers. For international service and many providers. Specifically, with offerings of example, we could adopt the following: companies hold multiple different packages and bundles, it may 8 Systems with capacity of 10,000 Gbps or authorizations. We seek comment on no longer be feasible to use a bulk rate more, paying 16 payment units each; whether a fee should be applied to every calculation. Commenters should discuss systems with capacity equal to or greater holder of an international section 214 if they use the bulk rate calculation or than 5,000 Gbps but less than 10,000 authorization regardless of the number if they separately count each subscriber, Gbps, paying eight payment units; of international section 214 even those living in MDUs. systems with capacity equal to or greater authorizations held. Alternatively, 15. We seek comment on whether we than 2,500 Gbps but less than 5,000 should a set fee be applied to every should keep the bulk rate calculation, or Gbps, paying four payment units; international section 214 authorization? alternatively, whether we should systems with capacity equal to or greater We also seek comment on whether there modify the methodology to more than 1,000 Gbps but less than 2,500 should be a different fee based on accurately calculate the numbers of Gbps, paying two payment units; and whether the international section 214 subscribers in a MDU. We seek systems with capacity below 1,000 Gbps authorization is for resale only or for comment on whether we should paying one payment unit. We seek facilities-based services. We seek eliminate the bulk rate calculation due comment on this proposal. comment on whether a fee based on to changes in today’s cable market. 11. We also propose adopting, for international section 214 authorizations should be calibrated based on size. For III. Initial Regulatory Flexibility terrestrial and satellite IBCs, the same Analysis five tiers used for submarine cable example, should there be one fee for systems. Level 3 contends that two tiers resale, another up to a certain number 1. As required by the Regulatory of circuits, and a larger fee for any Flexibility Act of 1980, as amended would be sufficient for terrestrial and 12 satellite IBCs to ensure that larger circuits above that amount? We seek (RFA), the Commission prepared this carriers pay a fair amount and to avoid comment on CITA’s assertion that there Initial Regulatory Flexibility Analysis being a barrier to entry for new are no additional, ongoing costs (IRFA) of the possible significant associated with international section economic impact on small entities by providers.4 AT&T opposes a two-tiered 214 authorizations that are not already the policies and rules proposed in the approach, contending that the covered by the application fees.9 Further Notice of Proposed Rulemaking disparities between the volumes of We (FNPRM). Written comments are circuits held by different operators may seek comment on whether a fee applied requested on this IRFA. Comments must be too large to structure a reasonable to each section 214 authorization holder would capture most carriers that be identified as responses to the IRFA and fair system.5 We seek comment on provide non-common carrier services or and must be filed by the deadline for whether we should adopt the same tiers are there a number of carriers that comments on this Further Notice. The for common carrier and non-common provide only non-common carrier Commission will send a copy of the carrier terrestrial and satellite IBCs. international services? Further Notice, including the IRFA, to Commenters proposing different tiers, the Chief Counsel for Advocacy of the including fewer or greater numbers of B. Cable Television Services— Small Business Administration (SBA).13 tiers, should explain how their Calculation of Number of Subscribers proposals would be more equitable. 13. In the FY 2008 FNPRM, the 10 FY 2008 Further Notice of Proposed Commission sought comment on the Rulemaking, 73 FR 50285, 50290 at paragraphs 27– 2 Sixty-four Kbps is the unit of measurement for bulk rate calculation for determining the 28, August 26, 2008, (FY 2008 Further Notice). voice grade circuits; submarine cable, terrestrial, number of subscribers in a multiple 11 This is essentially the same methodology we and satellite international bearer circuits are now sought comment on in the FY 2008 FNPRM. largely used for data. 12 5 U.S.C. 603. The RFA, 5 U.S.C. 601–612 has 3 Submarine Cable Order, 74 FR 22104, 22107 at 6 Coalition Comments at 8–10. been amended by the Small Business Regulatory paragraph 16 (May 12, 2009). 7 Coalition Comments at 9. Enforcement Fairness Act of 1996 (SBREFA), Public 4 Level 3 June 29, 2017 ex parte at 1. 8 CTIA Reply at 8. Law Number 104–121, Title II, 110 Stat. 847 (1996). 5 AT&T Reply Comments at 3. 9 CTIA Reply at 9. 13 5 U.S.C. 603(a). VerDate Sep<11>2014 17:05 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00020 Fmt 4702 Sfmt 4702 E:\FR\FM\01NOP1.SGM 01NOP1 sradovich on DSK3GMQ082PROD with PROPOSALS Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Proposed Rules 50601 In addition, the FNPRM and IRFA (or As of 2009, small businesses industry.’’ 26 The SBA has developed a summaries thereof) will be published in represented 99.9 percent of the 27.5 small business size standard for Wired the Federal Register.14 million businesses in the United States, Telecommunications Carriers, which 21 consists of all such companies having A. Need for, and Objectives of, the according to the SBA. In addition, a 1,500 or fewer employees.27 Census data Further Notice ‘‘small organization is generally any not- for-profit enterprise which is for 2012 shows that there were 3,117 2. The FNPRM seeks comment independently owned and operated and firms that operated that year. Of this regarding (1) adopting a new five-tiered not dominant in its field.22 In addition, total, 3,083 operated with fewer than flat rate methodology for assessing the term ‘‘small governmental 1,000 employees.28 Thus, under this regulatory fees for terrestrial and jurisdiction’’ is defined generally as size standard, the majority of firms in satellite international bearer circuits ‘‘governments of cities, towns, this industry can be considered small. (IBCs), revising the tiers for submarine townships, villages, school districts, or 7. Local Exchange Carriers (LECs). cable systems, and adopting a new fee special districts, with a population of Neither the Commission nor the SBA category for all holders of section 214 less than fifty thousand.’’ 23 U.S. Census has developed a size standard for small international authority and (2) revising Bureau data for 2011 indicate that there businesses specifically applicable to the calculation for cable television were 90,056 local governmental local exchange services. The closest ‘‘Bulk Rate Customers.’’ jurisdictions in the United States.24 We applicable NAICS code category is for B. Legal Basis estimate that, of this total, as many as Wired Telecommunications Carriers. Under that size standard, such a 3. This action, including publication 89,327 entities may qualify as ‘‘small governmental jurisdictions.’’ 25 Thus, business is small if it has 1,500 or fewer of proposed rules, is authorized under employees.29 we estimate that most local government According to census data sections (4)(i) and (j), 9, and 303(r) of from 2012, there were 3,117 jurisdictions are small. the Communications Act of 1934, as establishments that operated that year. amended.15 6. Wired Telecommunications Of this total, 3,083 operated with fewer A. Description and Estimate of the Carriers. The U.S. Census Bureau than 1,000 employees.30 The Number of Small Entities to Which the defines this industry as ‘‘establishments Commission estimates that most Rules Will Apply primarily engaged in operating and/or providers of local exchange service are providing access to transmission small entities that may be affected by 4. The RFA directs agencies to facilities and infrastructure that they the rules proposed in the FNPRM. provide a description of, and where own and/or lease for the transmission of 8. Incumbent LECs. Neither the feasible, an estimate of the number of voice, data, text, sound, and video using Commission nor the SBA has developed small entities that may be affected by wired communications networks. a small business size standard the proposed rules and policies, if Transmission facilities may be based on specifically for incumbent local 16 adopted. The RFA generally defines a single technology or a combination of exchange services. The closest the term ‘‘small entity’’ as having the technologies. Establishments in this applicable NAICS code category is same meaning as the terms ‘‘small industry use the wired Wired Telecommunications Carriers. business,’’ ‘‘small organization,’’ and telecommunications network facilities Under that size standard, such a 17 ‘‘small governmental jurisdiction.’’ In that they operate to provide a variety of business is small if it has 1,500 or fewer addition, the term ‘‘small business’’ has services, such as wired telephony employees.31 According to census data the same meaning as the term ‘‘small services, including VoIP services, wired from 2012, 3,117 firms operated in that business concern’’ under the Small year. Of this total, 3,083 operated with 18 (cable) audio and video programming Business Act. A ‘‘small business distribution, and wired broadband fewer than 1,000 employees.32 concern’’ is one which: (1) Is internet services. By exception, According to Commission data, 1,307 independently owned and operated; (2) establishments providing satellite carriers reported that they were is not dominant in its field of operation; television distribution services using incumbent local exchange service and (3) satisfies any additional criteria facilities and infrastructure that they providers.33 Of this total of 1,307 established by the SBA.19 operate are included in this incumbent local exchange service 5. Small Entities. Our actions, over providers, an estimated 1,006 operated time, may affect small entities that are 34 21 with 1,500 or fewer employees. not easily categorized at present. We See SBA, Office of Advocacy, ‘‘Frequently Asked Questions,’’ available at https:// Consequently, the Commission therefore describe here, at the outset, www.sba.gov/sites/default/files/advocacy/SB-FAQ- estimates that most providers of three comprehensive small entity size 2016_WEB.pdf. standards that could be directly affected 22 5 U.S.C. 601(4). 26 See http://www.census.gov/cgi-bin/sssd/naics/ 20 23 by the proposals under consideration. 5 U.S.C. 601(5). naicsrch. 24 See SBA, Office of Advocacy, ‘‘Frequently 27 See 13 CFR 120.201, NAICS code 517110. Asked Questions,’’ available at https:// 14 Id. 28 http://factfinder.census.gov/faces/ www.sba.gov/sites/default/files/advocacy/SB-FAQ- 15 47 U.S.C. 154(i) and (j), 159, and 303(r). tableservices/jsf/pages/productview.xhtml?pi=ECN_ 2016_WEB.pdf. 16 5 U.S.C. 603(b)(3). 2012_US_51SSSZ5&prodType=table. 25 The 2011 U.S. Census Data for small 17 29 13 CFR 121.201, NAICS code 517110. 5 U.S.C. 601(6). governmental organizations are not presented based 18 30 http://factfinder.census.gov/faces/table 5 U.S.C. 601(3) (incorporating by reference the on the size of the population in each organization. services/jsf/pages/productview.xhtml?pi=ECN_ definition of ‘‘small-business concern’’ in the Small As stated above, there were 90,056 local 2012_US_51SSSZ5&prodType=table. Business Act, 15 U.S.C. 632). Pursuant to 5 U.S.C. governmental organizations in 2011. As a basis for 31 601(3), the statutory definition of a small business estimating how many of these 90,056 local 13 CFR 121.201, NAICS code 517110. applies ‘‘unless an agency, after consultation with governmental organizations were small, we note 32 http://factfinder.census.gov/faces/table _ the Office of Advocacy of the Small Business that there were a total of 729 cities and towns services/jsf/pages/productview.xhtml?pid=ECN _ _ Administration and after opportunity for public (incorporated places and civil divisions) with 2012 US 51SSSZ5prodType=table. comment, establishes one or more definitions of populations over 50,000. See http://fact 33 See Trends in Telephone Service, Federal such term which are appropriate to the activities of finder.census.gov/faces/tableservices/jsf/pages/ Communications Commission, Wireline the agency and publishes such definition(s) in the productview.xhtml?pid=ECN_2012_US_51SSSZ5& Competition Bureau, Industry Analysis and Federal Register.’’ prodType=table. If we subtract the 729 cities and Technology Division at Table 5.3 (Sept. 2010) 19 15 U.S.C. 632. towns that exceed the 50,000 population threshold, (Trends in Telephone Service). 20 See 5 U.S.C. 601(3) through (6). we conclude that approximately 789,237 are small. 34 See id. VerDate Sep<11>2014 17:05 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00021 Fmt 4702 Sfmt 4702 E:\FR\FM\01NOP1.SGM 01NOP1 sradovich on DSK3GMQ082PROD with PROPOSALS 50602 Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Proposed Rules incumbent local exchange service are 1,000 employees.42 According to has developed a small business size small businesses that may be affected by Commission data, 359 companies standard for the category of the rules proposed in this Further reported that their primary Telecommunications Resellers. Under Notice. telecommunications service activity was that size standard, such a business is 9. Competitive Local Exchange the provision of interexchange small if it has 1,500 or fewer Carriers (Competitive LECs), services.43 Of this total, an estimated employees.49 Census data for 2012 show Competitive Access Providers (CAPs), 317 have 1,500 or fewer employees. that 1,341 firms provided resale services Shared-Tenant Service Providers, and Consequently, the Commission during that year. 50 Of that number, Other Local Service Providers. Neither estimates that the majority of 1,341 operated with fewer than 1,000 the Commission nor the SBA has interexchange service providers are employees.51 Under this category and developed a small business size small entities that may be affected by the associated small business size standard specifically for these service rules proposed in this FNPRM standard, the majority of these local providers. The appropriate NAICS code 11. Prepaid Calling Card Providers. resellers can be considered small category is Wired Telecommunications Neither the Commission nor the SBA entities. According to Commission data, Carriers. Under that size standard, such has developed a small business size 213 carriers have reported that they are a business is small if it has 1,500 or standard specifically for prepaid calling engaged in the provision of local resale fewer employees.35 U.S. Census data for card providers. The appropriate NAICS services.52 Of this total, an estimated 2012 indicate that 3,117 firms operated code category for prepaid calling card 211 have 1,500 or fewer employees.53 during that year. Of that number, 3,083 providers is Telecommunications Consequently, the Commission operated with fewer than 1,000 Resellers. This industry comprises estimates that the majority of local employees.36 Based on this data, the establishments engaged in purchasing resellers are small entities that may be Commission concludes that the majority access and network capacity from affected by rules proposed in this of Competitive LECs, CAPs, Shared- owners and operators of Further Notice. Tenant Service Providers, and Other telecommunications networks and 13. Toll Resellers. The Commission Local Service Providers are small reselling wired and wireless has not developed a definition for Toll entities. According to the Commission telecommunications services (except Resellers. The closest NAICS code data, 1,442 carriers reported that they satellite) to businesses and households. Category is Telecommunications were engaged in the provision of either Establishments in this industry resell Resellers, and the SBA has developed a competitive local exchange services or telecommunications; they do not small business size standard for the competitive access provider services.37 operate transmission facilities and category of Telecommunications Of these 1,442 carriers, an estimated infrastructure. Mobile virtual networks Resellers.54 Under that size standard, 1,256 have 1,500 or fewer employees. In operators (MVNOs) are included in this such a business is small if it has 1,500 55 addition, 17 carriers have reported that industry.44 Under the applicable SBA or fewer employees. Census data for they are Shared-Tenant Service size standard, such a business is small 2012 show that 1,341 firms provided 56 Providers, and all 17 are estimated to if it has 1,500 or fewer employees.45 resale services during that year. Of 38 have 1,500 or fewer employees. Also, U.S. Census data for 2012 show that that number, 1,341 operated with fewer 57 72 carriers have reported that they are 1,341 firms provided resale services than 1,000 employees. Thus, under 39 Other Local Service Providers. Of this during that year. Of that number, 1,341 this category and the associated small total, 70 have 1,500 or fewer operated with fewer than 1,000 business size standard, the majority of 40 employees. Consequently, the employees.46 Thus, under this category these resellers can be considered small Commission estimates that most and the associated small business size entities. According to Commission data, providers of competitive local exchange standard, the majority of these prepaid 881 carriers have reported that they are service, competitive access providers, calling card providers can be considered engaged in the provision of toll resale 58 Shared-Tenant Service Providers, and small entities. According to Commission services. Of this total, an estimated 59 Other Local Service Providers are small data, 193 carriers have reported that 857 have 1,500 or fewer employees. entities that may be affected by rules they are engaged in the provision of Consequently, the Commission proposed in this FNPRM. prepaid calling cards.47 All 193 carriers estimates that the majority of toll 10. Interexchange Carriers (IXCs). have 1,500 or fewer employees.48 resellers are small entities that may be Neither the Commission nor the SBA affected by the rules proposed in the has developed a definition for Consequently, the Commission estimates that the majority of prepaid FNPRM. Interexchange Carriers. The closest 14. Other Toll Carriers. Neither the calling card providers are small entities NAICS code category is Wired Commission nor the SBA has developed that may be affected by rules proposed Telecommunications Carriers as defined a size standard for small businesses in paragraph 6 of this IRFA. The in this FNPRM. 12. Local Resellers. Neither the applicable size standard under SBA 49 Commission nor the SBA has developed 13 CFR 121.201, NAICS code 517911. rules is that such a business is small if 50 http://factfinder.census.gov/faces/table a small business size standard it has 1,500 or fewer employees.41 U.S. services/jsf/pages/productview.xhtml?pid=ECN_ _ _ Census data for 2012 indicate that 3,117 specifically for Local Resellers. The SBA 2012 US 51SSSZ5&prodType=table. 51 http://factfinder.census.gov/faces/table firms operated during that year. Of that _ 42 http://factfinder.census.gov/faces/table services/jsf/pages/productview.xhtml?pid=ECN _ _ number, 3,083 operated with fewer than services/jsf/pages/productview.xhtml?pid= 2012 US 51SSSZ5&prodType=table. ECN_2012_US_51SSSZ5&prodType=table. 52 See Trends in Telephone Service, at Table 5.3. 35 13 CFR 121.201, NAICS code 517110. 43 See Trends in Telephone Service, at Table 5.3. 53 Id. 36 http://factfinder.census.gov/faces/table 44 http://www.census.gov/cgi-bin/ssd/naics/ 54 13 CFR 121.201, NAICS code 517911. services/jsf/pages/productview.xhtml?pid=ECN_ naicsrch. 55 Id. _ _ 2012 US 51SSSZ5&prodType=table. 45 13 CFR 121.201, NAICS code 517911. 56 http://factfinder.census.gov/faces/table 37 See Trends in Telephone Service, at Table 5.3. 46 http://factfinder.census.gov/faces/table services/jsf/pages/productview.xhtml?pid=ECN_ 38 Id. services/jsf/pages/productview.xhtml?pid= 2012_US_51SSSZ5&prodType=table. 39 Id. ECN_2012_US_51SSSZ5&prodType=table. 57 Id. 40 Id. 47 See Trends in Telephone Service, at Table 5.3. 58 Trends in Telephone Service, at Table 5.3. 41 13 CFR 121.201, NAICS code 517110. 48 Id. 59 Id. VerDate Sep<11>2014 18:25 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00022 Fmt 4702 Sfmt 4702 E:\FR\FM\01NOP1.SGM 01NOP1 sradovich on DSK3GMQ082PROD with PROPOSALS Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Proposed Rules 50603 specifically applicable to Other Toll carriers reported that they were engaged estimate, therefore, likely overstates the Carriers. This category includes toll in the provision of wireless telephony, number of small entities that might be carriers that do not fall within the including cellular service, Personal affected by our action, because the categories of interexchange carriers, Communications Service (PCS), and revenue figure on which it is based does operator service providers, prepaid Specialized Mobile Radio (SMR) not include or aggregate revenues from calling card providers, satellite service services.68 Of this total, an estimated affiliated companies. In addition, an carriers, or toll resellers. The closest 261 have 1,500 or fewer employees.69 element of the definition of ‘‘small applicable NAICS code category is for Thus, using available data, we estimate business’’ is that the entity not be Wired Telecommunications Carriers, as that the majority of wireless firms can dominant in its field of operation. We defined in paragraph 6 of this IRFA. be considered small and may be affected are unable at this time to define or Under that size standard, such a by rules proposed in this FNPRM. quantify the criteria that would business is small if it has 1,500 or fewer 16. Television Broadcasting. This establish whether a specific television employees.60 Census data for 2012 Economic Census category ‘‘comprises station is dominant in its field of shows that there were 3,117 firms that establishments primarily engaged in operation. Accordingly, the estimate of operated that year.61 Of this total, 3,083 broadcasting images together with small businesses to which rules may operated with fewer than 1,000 sound. These establishments operate apply does not exclude any television employees.62 Thus, under this category television broadcasting studios and station from the definition of a small and the associated small business size facilities for the programming and business on this basis and is therefore standard, the majority of Other Toll transmission of programs to the possibly over-inclusive to that extent. Carriers can be considered small. public.’’ 70 These establishments also 18. In addition, the Commission has According to Commission data, 284 produce or transmit visual programming estimated the number of licensed companies reported that their primary to affiliated broadcast television noncommercial educational (NCE) telecommunications service activity was stations, which in turn broadcast the television stations to be 396.75 These the provision of other toll carriage.63 Of programs to the public on a stations are non-profit, and therefore these, an estimated 279 have 1,500 or predetermined schedule. Programming considered to be small entities.76 There fewer employees.64 Consequently, the may originate in their own studio, from are also 2,528 low power television Commission estimates that most Other an affiliated network, or from external stations, including Class A stations Toll Carriers are small entities that may sources. The SBA has created the (LPTV).77 Given the nature of these be affected by the rules proposed in the following small business size standard services, we will presume that all LPTV FNPRM for Television Broadcasting firms: Those licensees qualify as small entities under 15. Wireless Telecommunications having $38.5 million or less in annual the above SBA small business size Carriers (except Satellite). This industry receipts.71 The 2012 Economic Census standard. comprises establishments engaged in reports that 751 television broadcasting 19. Radio Broadcasting. This operating and maintaining switching firms operated during that year. Of that Economic Census category ‘‘comprises and transmission facilities to provide number, 656 had annual receipts of less establishments primarily engaged in communications via the airwaves. than $25 million per year. Based on that broadcasting aural programs by radio to Establishments in this industry have Census data we conclude that a majority the public. Programming may originate spectrum licenses and provide services of firms that operate television stations in their own studio, from an affiliated using that spectrum, such as cellular are small. The Commission has network, or from external sources.’’ 78 services, paging services, wireless estimated the number of licensed The SBA has established a small internet access, and wireless video commercial television stations to be business size standard for this category, services.65 The appropriate size 1,383.72 In addition, according to which is: Such firms having $38.5 standard under SBA rules is that such Commission staff review of the BIA million or less in annual receipts.79 U.S. a business is small if it has 1,500 or Advisory Services, LLC’s Media Access Census data for 2012 show that 2,849 fewer employees. For this industry, Pro Television Database on March 28, radio station firms operated during that Census Data for 2012 show that there 2012, about 950 of an estimated 1,300 year.80 Of that number, 2,806 operated were 967 firms that operated for the commercial television stations (or with annual receipts of less than $25 entire year.66 Of this total, 955 firms had approximately 73 percent) had revenues million per year.81 According to fewer than 1,000 employees.67 Thus of $14 million or less.73 We therefore Commission staff review of BIA under this category and the associated estimate that the majority of commercial Advisory Services, LLC’s Media Access size standard, the Commission estimates television broadcasters are small that the majority of wireless entities. control the other or a third party or parties controls telecommunications carriers (except 17. In assessing whether a business or has to power to control both.’’ 13 CFR satellite) are small entities. Similarly, concern qualifies as small under the 21.103(a)(1). 75 according to Commission data, 413 above definition, business (control) See FCC News Release, ‘‘Broadcast Station 74 Totals as of March 31, 2017,’’ April 11, 2017; affiliations must be included. Our https://apps.fcc.gov/edocs_public/attachmatch/ 60 13 CFR 121.201, NAICS code 517110. DOC-344256A1.pdf. 61 http://factfinder.census.gov/faces/table 68 Trends in Telephone Service, at Table 5.3. 76 See generally 5 U.S.C. 601(4), (6). _ services/jsf/pages/productview.xhtml?pid=ECN 69 Id. 77 See FCC News Release, ‘‘Broadcast Station _ _ 2012 US 51SSSZ5&prodType=table. 70 U.S. Census Bureau, 2012 NAICS code Totals as of March 31, 2017,’’ April 11, 2017; 62 Id. Economic Definitions, http://www.census.gov.cgi- https://apps.fcc.gov/edocs_public/attachmatch/ 63 Trends in Telephone Service, at Table 5.3. bin/sssd/naics/naicsrch. DOC-344256A1.pdf. 64 Id. 71 13 CFR 121.201, NAICS code 515120. 78 http://www.census.gov.cgi-bin/sssd/naics/ 65 NAICS code 517210. See http:// 72 See FCC News Release, ‘‘Broadcast Station naicsrch. www.census.gov/cgi-bin/ssd/naics/naiscsrch. Totals as of March 31, 2017,’’ April 11, 2017; 79 13 CFR 121.201, NAICS code 515112. 66 http://factfinder.census.gov/faces/table https://;apps.fcc.gov/edocs_public/attachmatch/ 80 http://factfinder.census.gov/faces/table services/jsf/pages/productview.xhtml?pid=ECN_ DOC-344256A1.pdf. services/jsf/pages/productview.xhtml?pid=ECN_ 2012_US_51SSSZ5&prodType=table. 73 We recognize that BIA’s estimate differs 2012_US_51SSSZ5&prodType=table. 67 http://factfinder.census.gov/faces/table slightly from the FCC total given supra. 81 http://factfinder.census.gov/faces/table services/jsf/pages/productview.xhtml?pid=ECN_ 74 ‘‘[Business concerns] are affiliates of each other services/jsf/pages/productview.xhtml?pid=ECN_ 2012_US_51SSSZ5&prodType;=table. when one concern controls or has the power to 2012_US_51SSSZ5&prodType=table. VerDate Sep<11>2014 17:05 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00023 Fmt 4702 Sfmt 4702 E:\FR\FM\01NOP1.SGM 01NOP1 sradovich on DSK3GMQ082PROD with PROPOSALS 50604 Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Proposed Rules Pro Radio Database on March 28, 2012, cable systems in the United States.88 Of annual revenues exceed $250,000,000, about 10,759 (97%) of 11,102 this total, all but ten cable operators we are unable at this time to estimate commercial radio stations had revenues nationwide are small under the 400,000- with greater precision the number of of $38.5 million or less. Therefore, the subscriber size standard.89 In addition, cable system operators that would majority of such entities are small under the Commission’s rate regulation qualify as small cable operators under entities. rules, a ‘‘small system’’ is a cable system the definition in the Communications 20. In assessing whether a business serving 15,000 or fewer subscribers.90 Act. concern qualifies as small under the Current Commission records show 4,413 24. Direct Broadcast Satellite (DBS) above size standard, business cable systems nationwide.91 Of this Service. DBS Service is a nationally affiliations must be included.82 In total, 3,900 cable systems have less than distributed subscription service that addition, to be determined to be a 15,000 subscribers, and 700 systems delivers video and audio programming ‘‘small business,’’ the entity may not be have 15,000 or more subscribers, based via satellite to a small parabolic dish dominant in its field of operation.83 It is on the same records.92 Thus, under this antenna at the subscriber’s location. difficult at times to assess these criteria standard as well, the Commission DBS is now included in SBA’s in the context of media entities, and our estimates that most cable systems are economic census category ‘‘Wired estimate of small businesses may small entities. Telecommunications Carriers.’’ The therefore be over-inclusive. 23. Cable System Operators (Telecom Wired Telecommunications Carriers 21. Cable Television and Other Act Standard). The Communications industry comprises establishments Subscription Programming. This Act also contains a size standard for primarily engaged in operating and/or industry comprises establishments small cable system operators, which is providing access to transmission primarily engaged in operating studios ‘‘a cable operator that, directly or facilities and infrastructure that they and facilities for the broadcasting of through an affiliate, serves in the own and/or lease for the transmission of programs on a subscription or fee basis. aggregate fewer than 1 percent of all voice, data, text, sound, and video using The broadcast programming is typically subscribers in the United States and is wired telecommunications networks. narrowcast in nature, e.g., limited not affiliated with any entity or entities Transmission facilities may be based on format, such as news, sports, education, whose gross annual revenues in the a single technology or combination of 93 or youth-oriented. These establishments aggregate exceed $250,000,000.’’ technologies. Establishments in this produce programming in their own There are approximately 53 million industry use the wired facilities or acquire programming from cable video subscribers in the United telecommunications network facilities 94 external sources. The programming States today. Accordingly, an operator that they operate to provide a variety of material is usually delivered to a third serving fewer than 524,037 subscribers services, such as wired telephony party, such as cable systems or direct- shall be deemed a small operator if its services, including VOIP services, wired to-home satellite systems, for annual revenues, when combined with (cable) audio and video programming transmission to viewers.84 The SBA has the total annual revenues of all its distribution; and wired broadband affiliates, do not exceed $250 million in internet services. By exception, established a size standard for this 95 industry of $38.5 million or less. Census the aggregate. Based on available data, establishments providing satellite data for 2012 shows that there were 367 we find that all but nine incumbent television distribution services using 85 cable operators are small entities under facilities and infrastructure that they firms that operated that year. Of this 96 98 total, 319 operated with annual receipts this size standard. The Commission operate are included in this industry. neither requests nor collects information The SBA determines that a wireline of less than $25 million.86 Thus under on whether cable system operators are business is small if it has fewer than this size standard, the majority of firms affiliated with entities whose gross 1500 employees.99 Census data for 2012 offering cable and other program annual revenues exceed $250 million.97 indicate that 3,117 wireline companies distribution services can be considered Although it seems certain that some of were operational during that year. Of small and may be affected by rules these cable system operators are that number, 3,083 operated with fewer proposed in this FNPRM. affiliated with entities whose gross than 1,000 employees.100 Based on that 22. Cable Companies and Systems. data, we conclude that the majority of The Commission has developed its own 88 See Eighteenth Competition Report, 32 FCC wireline firms are small under the small business size standards for cable Rcd at 584, para. 39 (citing the Commission’s Cable applicable standard. However, only two rate regulation. Under the Commission’s Operations and Licensing Systems (COALS) entities provide DBS service, AT&T and rules, a ‘‘small cable company’’ is one database). 89 DISH Network. AT&T and DISH serving 400,000 or fewer subscribers See https://www.snl.com/web/client?auth= 87 inherit#industry/topCableMSOs (last visited July Network each report annual revenues nationwide. Industry data indicate 18, 2017). that are in excess of the threshold for a that there are currently 4,413 active 90 47 CFR 76.901(c). small business. Accordingly, we 91 See footnote 2, supra. conclude that DBS service is provided 82 ‘‘Concerns and entities are affiliates of each 92 August 5, 2015 report from the Media Bureau other when one controls or has the power to control based on its research in COALS. See www.fcc.gov/ only by large firms. the other, or a third party or parties controls or has coals. 25. All Other Telecommunications. the power to control both. It does not matter 93 47 CFR 76.901(f) and notes ff. 1, 2, and 3. ‘‘All Other Telecommunications’’ is whether control is exercised, so long as the power 94 See NCTA Industry Data, Cable’s Customer defined as follows: This U.S. industry is to control exists.’’ 13 CFR 121.103(a)(1) (an SBA Base, available at https://www.ncta.com/industry- comprised of establishments that are regulation). data (last visited July 6, 2017). primarily engaged in providing 83 13 CFR 121.102(b) (an SBA regulation). 95 47 CFR 76.901(f) and notes ff. 1, 2, and 3. 84 specialized telecommunications https://www.census.gov.cgi-bin/sssd/naics/ 96 See https://www.snl.com/web/client? naicsrch. auth=inherit#industry/topCableMSOs (last visited services, such as satellite tracking, 85 http://factfinder.census.gov/faces/table July 18, 2017). _ services/jsf/pages/productview.xhtml?pid=ECN 97 The Commission does receive such information 98 http://www.census.gov/cgi-bin/sssd/naics/ _ _ 2012 US 51SSSZ5&prodType=table. on a case-by-case basis if a cable operator appeals naicsrch. 86 http://factfinder.census.gov/faces/table a local franchise authority’s finding that the 99 NAICs code 517110; 13 CFR 121.201. services/jsf/pages/productview.xhtml?pid=ECN_ operator does not qualify as a small cable operator 100 http://factfinder.census.gov/faces/table 2012_US–51SSSZ5&prodType=Table. pursuant to 47 CFR 76.901(f) of the Commission’s services.jasf/pages/productview.xhtml?pid+ECN_ 87 47 CFR 76.901(e). rules. See 47 CFR 76.901(f). 2012_US.51SSSZ4&prodType=table. VerDate Sep<11>2014 17:05 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00024 Fmt 4702 Sfmt 4702 E:\FR\FM\01NOP1.SGM 01NOP1 sradovich on DSK3GMQ082PROD with PROPOSALS Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Proposed Rules 50605 communications telemetry, and radar combination of technologies. 31. The U.S. Census defines Other station operation. This industry also Establishments in this industry use the Services Related to Advertising as includes establishments primarily wired telecommunications network comprising establishments primarily engaged in providing satellite terminal facilities that they operate to provide a engaged in providing advertising stations and associated facilities variety of services, such as wired services (except advertising agency connected with one or more terrestrial telephony services, including VoIP services, public relations agency systems and capable of transmitting services, wired (cable) audio and video services, media buying agency services, telecommunications to, and receiving programming distribution, and wired media representative services, display telecommunications from, satellite broadband internet services. By advertising services, direct mail systems. Establishments providing exception, establishments providing advertising services, advertising Internet services or Voice over Internet satellite television distribution services material distribution services, and Protocol (VoIP) services via client- using facilities and infrastructure that marketing consulting services).115 The supplied telecommunications they operate are included in this SBA has established a size standard for connections are also included in this industry.107 The SBA has developed a this industry as annual receipts of $15 industry.101 The SBA has developed a small business size standard for Wired million dollars or less.116 Census data small business size standard for ‘‘All Telecommunications Carriers, which for 2012 show that 5,804 firms operated Other Telecommunications,’’ which consists of all such companies having in this industry for the entire year. Of consists of all such firms with gross 1,500 or fewer employees.108 Census that number, 5,249 operated with annual receipts of $32.5 million or data for 2012 show that there were 3,117 annual receipts of less than $10 less.102 For this category, census data for Wired Telecommunications Carrier million.117 Based on that data we 2012 show that there were 1,442 firms firms that operated for that entire year. conclude that the majority of Non- that operated for the entire year. Of Of that number, 3,083 operated with Carrier RespOrgs who provide toll-free these firms, a total of 1,400 had gross less than 1,000 employees.109 Based on number (TFN)-related advertising annual receipts of less than $25 that data, we conclude that most Carrier services are small. million.103 Thus, a majority of ‘‘All RespOrgs that operated with wireline- 32. The U.S. Census defines Other Other Telecommunications’’ firms based technology are small. Management Consulting Services as potentially affected by the proposals in 29. The U.S. Census Bureau defines establishments primarily engaged in the Notice can be considered small. Wireless Telecommunications Carriers providing management consulting 26. RespOrgs. Responsible (except satellite) as establishments services (except administrative and Organizations, or RespOrgs, are entities engaged in operating and maintaining general management consulting; human chosen by toll free subscribers to switching and transmission facilities to resources consulting; marketing manage and administer the appropriate provide communications via the consulting; or process, physical records in the toll-free Service airwaves, such as cellular services, distribution, and logistics consulting). Management System for the toll-free paging services, wireless internet access, Establishments providing 104 110 subscriber. Although RespOrgs are and wireless video services. The telecommunications or utilities often wireline carriers, they can also appropriate size standard under SBA management consulting services are include non-carrier entities. Therefore, rules is that such a business is small if included in this industry.118 The SBA 111 in the definition herein of RespOrgs, it has 1,500 or fewer employees. has established a size standard for this two categories are presented, i.e., Carrier Census data for 2012 show that 967 industry of $15 million dollars or RespOrgs and Non-Carrier RespOrgs. Wireless Telecommunications Carriers less.119 Census data for 2012 show that 27. Carrier RespOrgs. Neither the operated in that year. Of that number, 3,683 firms operated in this industry for Commission, the U.S. Census, nor the 955 operated with less than 1,000 that entire year. Of that number, 3,632 SBA have developed a definition for 112 employees. Based on that data, we operated with less than $10 million in Carrier RespOrgs. Accordingly, the conclude that the majority of Carrier annual receipts.120 Based on this data, Commission believes that the closest RespOrgs that operated with wireless- we conclude that a majority of non- NAICS code-based definitional based technology are small. carrier RespOrgs who provide TFN- categories for Carrier RespOrgs are 30. Non-Carrier RespOrgs. Neither the related management consulting services Wired Telecommunications Carriers,105 Commission, the U.S. Census, nor the are small.121 SBA have developed a definition of and Wireless Telecommunications 33. In addition to the data contained 106 Non-Carrier RespOrgs. Accordingly, the Carriers (except satellite). in the four (see above) U.S. Census 28. The U.S. Census Bureau defines Commission believes that the closest NAICS code categories that provide Wired Telecommunications Carriers as NAICS code-based definitional definitions of what services and establishments primarily engaged in categories for Non-Carrier RespOrgs are functions the Carrier and Non-Carrier operating and/or providing access to ‘‘Other Services Related to 113 transmission facilities and infrastructure Advertising’’ and ‘‘Other 115 114 http://www.census,gov/cgi-bin/sssd/ that they own and/or lease for the Management Consulting Services.’’ naics.naicsrch. transmission of voice, data, text, sound, 116 13 CFR 120.201, NAICS code 541890. and video using wired communications 107 http://www.census,gov/cgi-bin/sssd/ 117 http://factfinder.census.gov/faces/table networks. Transmission facilities may naics.naicsrch. services/jsf/pages/productview.xhtml?pid=ECN_ 108 _ _ be based on a single technology or a 13 CFR 120,201, NAICS code 517110. 2012 US 51SSSZ4&prodType=table. 109 http://factfinder.census.gov/faces/table 118 http://www.census,gov/cgi-bin/sssd/ services/jsf/pages/productview.xhtml?pid=ECN_ naics.naicsrch. 101 _ _ http://www.census.gov/cgi-bin/ssssd/naics/ 2012 US 51SSSZ4&prodType=table. 119 13 CFR 120.201, NAICS code 514618. naicsrch. 110 http://www.census,gov/cgi-bin/sssd/ 120 http://factfinder.census.gov/faces/table 102 13 CFR 121.201; NAICs code 517919. naics.naicsrch. services/jsf/pages/productview.xhtml?pid=ECN_ 103 http://factfinder.census.gov/faces/table 111 13 CFR 120.201, NAICS code 517120. 2012_US_51SSSZ4&prodType=table. _ services.jasf/pages/productview.xhtml?pid+ECN 112 http://factfinder.census.gov/faces/table 121 _ The four NAICS code-based categories 2012 US.51SSSZ4&prodType=table. services/jsf/pages/productview.xhtml?pid=ECN_ selected above to provide definitions for Carrier and 104 _ _ See 47 CFR 52.101(b). 2012 US 51SSSZ4&prodType=table. Non-Carrier RespOrgs were selected because as a 105 13 CFR 121.201, NAICS code 517110. 113 13 CFR 120.201, NAICS code 541890. group they refer generically and comprehensively to 106 Id. 114 13 CFR 120.201, NAICS code 541618. all RespOrgs. VerDate Sep<11>2014 17:05 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00025 Fmt 4702 Sfmt 4702 E:\FR\FM\01NOP1.SGM 01NOP1 sradovich on DSK3GMQ082PROD with PROPOSALS 50606 Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Proposed Rules RespOrgs provide, Somos, the trade IV. Ordering Clause the docket number for this rulemaking. association that monitors RespOrg 38. Accordingly, it is ordered that, Then click on the Search button. On the activities, compiled data showing that pursuant to section 9 of the resulting page, in the Search panel on as of July 1, 2016, there were 23 Communications Act of 1934, as the left side of the screen, under the RespOrgs operational in Canada and 436 amended, 47 U.S.C. 159, this Further Document Type heading, click on the RespOrgs operational in the United Notice of Proposed Rulemaking is Proposed Rules link to locate this States, for a total of 459 RespOrgs hereby adopted. document. You may submit a comment currently registered with Somos. by clicking on ‘‘Comment Now!’’. Federal Communications Commission. (2) By hard copy: Submit by U.S. mail B. Description of Projected Reporting, Katura Jackson, or hand-deliver to: Public Comments Recordkeeping and Other Compliance Federal Register Liaison Officer, Office of the Processing, Attn: Docket No. FWS–R8– Requirements Secretary. ES–2016–0127, U.S. Fish and Wildlife 34. This FNPRM does not propose any [FR Doc. 2017–23215 Filed 10–31–17; 8:45 am] Service, MS: BPHC; 5275 Leesburg Pike, changes to the Commission’s current BILLING CODE 6712–01–P Falls Church, VA 22041–3803. We information collection, reporting, request that you send comments only by recordkeeping, or compliance the methods described above. We will requirements. DEPARTMENT OF THE INTERIOR post all comments on http:// C. Steps Taken To Minimize Significant www.regulations.gov. This generally Economic Impact on Small Entities, and Fish and Wildlife Service means that we will post any personal Significant Alternatives Considered information you provide us. 50 CFR Part 17 Document availability: A copy of the 35. The RFA requires an agency to draft post-delisting monitoring plan describe any significant alternatives that [Docket No. FWS–R8–ES–2016–0127; FXES11130900000 167 FF09E42000] referenced throughout the proposed rule it has considered in reaching its can be viewed at http://ecos.fws.gov/ approach, which may include the RIN 1018–BB39 ecp0/profile/speciesProfile?sId=1285, at following four alternatives, among http://www.regulations.gov under Endangered and Threatened Wildlife others: (1) The establishment of Docket No. FWS–R8–ES–2016–0127, or and Plants; Removing Trichostema differing compliance or reporting at the Carlsbad Fish and Wildlife austromontanum ssp. compactum requirements or timetables that take into Office’s Web site at http://www.fws.gov/ (Hidden Lake Bluecurls) From the account the resources available to small Carlsbad/. entities; (2) the clarification, Federal List of Endangered and FOR FURTHER INFORMATION CONTACT: consolidation, or simplification of Threatened Plants G. compliance or reporting requirements Mendel Stewart, Field Supervisor, AGENCY: Fish and Wildlife Service, Carlsbad Fish and Wildlife Office, 2177 under the rule for small entities; (3) the Interior. use of performance, rather than design, Salk Avenue, Suite 250, Carlsbad, CA ACTION: standards; and (4) an exemption from Proposed rule; reopening of the 92008; telephone 760–431–9440; coverage of the rule, or any part thereof, comment period. facsimile (fax) 760–431–5901. If you use 122 a telecommunications device for the for small entities. SUMMARY: We, the U.S. Fish and 36. The FNPRM seeks comment deaf (TDD), call the Federal Relay Wildlife Service (Service), announce Service at 800–877–8339. regarding: (1) Adopting a new five- that we are reopening the comment SUPPLEMENTARY INFORMATION: On tiered flat rate methodology for period for the proposed rule to remove January 5, 2017, we published a assessing regulatory fees for terrestrial the plant Trichostema austromontanum proposed rule to remove the plant and satellite international bearer circuits ssp. compactum (Hidden Lake Trichostema austromontanum ssp. (IBCs), revising the current five-tiered bluecurls) from the Federal List of compactum (Hidden Lake bluecurls) methodology for submarine cable Endangered and Threatened Plants on from the Federal List of Endangered and systems, and adopting a new fee the basis of recovery. We are reopening Threatened Plants on the basis of category for all holders of section 214 the comment period for this proposed recovery (82 FR 1297). We sought international authority and (2) revising rule for 30 days in order to publish a information, data, and comments from the calculation for cable television legal notice and to give all interested the public regarding the proposal for 60 ‘‘Bulk Rate Customers.’’ The proposals parties further opportunity to comment days, ending March 6, 2017. We are to adopt a flat five-tier methodology for on the proposed rule. Comments reopening the comment period on the terrestrial and satellite IBCs might previously submitted need not be proposed rule for an additional 30 days provide relief to smaller entities that resubmitted, as they will be fully (see DATES). We will accept written would fall into the lowest tier. The considered in preparing the final comments and information during this proposal to revise the calculation for delisting determination. Bulk Rate Customers for cable reopened comment period. Please refer DATES: The comment period on the television, in multiple dwelling units to the proposed rule for more proposed rule that published January 5, (MDUs), may affect small cable information on our proposed action and 2017 (82 FR 1297), is reopened. We will operators who provide service to MDUs. the specific information we seek. accept comments received or We are seeking comment on this issue You may submit your comments and postmarked on or before December 1, so that we can improve the calculation materials by one of the methods listed 2017. of customers in MDUs. in ADDRESSES. Before including your ADDRESSES: Comment submission: You address, phone number, email address, D. Federal Rules That May Duplicate, may submit comments by one of the or other personal identifying Overlap, or Conflict With the Proposed following methods: information in your comment, you Rules (1) Electronically: Go to the Federal should be aware that your entire 37. None. eRulemaking Portal: http:// comment—including your personal www.regulations.gov. In the Search box, identifying information—may be made 122 5 U.S.C. 603(c)(1) through (c)(4). enter FWS–R8–ES–2016–0127, which is publicly available at any time. All VerDate Sep<11>2014 17:05 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00026 Fmt 4702 Sfmt 4702 E:\FR\FM\01NOP1.SGM 01NOP1 sradovich on DSK3GMQ082PROD with PROPOSALS Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Proposed Rules 50607 comments and recommendations, personal identifying information, you in Carlsbad, California, in coordination including names and addresses, will may request at the top of your document with the Pacific Southwest Regional become part of the administrative that we withhold this information from Office in Sacramento, California. record. public review, but we cannot guarantee Authority If you submit information via http:// that we will be able to do so. To ensure www.regulations.gov, your entire that the electronic docket for this The Endangered Species Act of 1973, comment—including any personal rulemaking is complete and all as amended (16 U.S.C. 1531 et seq.) is identifying information—will be posted comments we receive are publicly the authority for this action. on the Web site. While you can ask us available, we will post all hardcopy in your comment to withhold your submissions on http:// Dated: September 15, 2017. personal identifying information from www.regulations.gov. James W. Kurth, public review, we cannot guarantee that Acting Director, U.S. Fish and Wildlife we will be able to do so. Authors Service. If you mail or hand-deliver a The primary author of this document [FR Doc. 2017–23711 Filed 10–31–17; 8:45 am] hardcopy comment that includes is the Carlsbad Fish and Wildlife Office BILLING CODE 4333–15–P VerDate Sep<11>2014 17:05 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00027 Fmt 4702 Sfmt 9990 E:\FR\FM\01NOP1.SGM 01NOP1 sradovich on DSK3GMQ082PROD with PROPOSALS 50608 Notices Federal Register Vol. 82, No. 210 Wednesday, November 1, 2017 This section of the FEDERAL REGISTER number and the agency informs Public Law 104–13. Comments are contains documents other than rules or potential persons who are to respond to requested regarding (1) whether the proposed rules that are applicable to the the collection of information that such collection of information is necessary public. Notices of hearings and investigations, persons are not required to respond to for the proper performance of the committee meetings, agency decisions and the collection of information unless it functions of the agency, including rulings, delegations of authority, filing of petitions and applications and agency displays a currently valid OMB control whether the information will have statements of organization and functions are number. practical utility; (2) the accuracy of the agency’s estimate of burden including examples of documents appearing in this Rural Utilities Service section. the validity of the methodology and Title: 7 CFR 1776, Household Water assumptions used; (3) ways to enhance Well System Grant Program. the quality, utility and clarity of the DEPARTMENT OF AGRICULTURE OMB Control Number: 0572–0139. information to be collected; and (4) Summary of Collection: The Rural ways to minimize the burden of the Submission for OMB Review; Utilities Service (RUS) is authorized by collection of information on those who Comment Request Section 306E of the Consolidated Farm are to respond, including through the and Rural Development Act (7 U.S.C. use of appropriate automated, October 26, 2017. 1926e) to administer and make grants to electronic, mechanical, or other The Department of Agriculture has qualified private non-profit technological collection techniques and submitted the following information organizations which will use the funds other forms of information technology. collection requirement(s) to Office of to establish lending programs for Comments regarding this information Management and Budget (OMB) for household water wells. collection received by December 1, 2017 review and clearance under the Need and use of the Information: The will be considered. Written comments Paperwork Reduction Act of 1995, grant applicants will provide should be addressed to: Desk Officer for Public Law 104–13. Comments are information to be collected as part of the Agriculture, Office of Information and requested regarding (1) whether the application and grant process through Regulatory Affairs, Office of collection of information is necessary certain documentation, certifications, Management and Budget (OMB), New for the proper performance of the and completed forms. Grant applicants Executive Office Building, 725 17th functions of the agency, including must show that the project will provide Street NW., Washington, DC 20503. whether the information will have technical and financial assistance to Commentors are encouraged to submit practical utility; (2) the accuracy of the eligible individuals to remedy their comments to OMB via email to: agency’s estimate of burden including household well problems. The grant [email protected] or fax the validity of the methodology and recipients will establish a revolving loan (202) 395–5806 and to Departmental assumptions used; (3) ways to enhance fund lending program to provide water Clearance Office, USDA, OCIO, Mail the quality, utility and clarity of the well loans to individuals who own or Stop 7602, Washington, DC 20250– information to be collected; (4) ways to will own private wells in rural areas. 7602. Copies of the submission(s) may minimize the burden of the collection of The individual loan recipients may use be obtained by calling (202) 720–8681. information on those who are to the funds to construct, refurbish, and An agency may not conduct or respond, including through the use of service their household well systems for sponsor a collection of information appropriate automated, electronic, an existing home. unless the collection of information mechanical, or other technological Description of Respondents: Not-for- displays a currently valid OMB control collection techniques or other forms of profit institutions. number and the agency informs information technology. Number of Respondents: 7. potential persons who are to respond to Comments regarding this information Frequency of Responses: Reporting: the collection of information that such collection received by December 1, 2017 On occasion. persons are not required to respond to will be considered. Written comments Total Burden Hours: 770. the collection of information unless it should be addressed to: Desk Officer for Charlene Parker, displays a currently valid OMB control Agriculture, Office of Information and number. Regulatory Affairs, Office of Departmental Information Collection Management and Budget (OMB), New Clearance Officer. Forest Service Executive Office Building, 725 17th [FR Doc. 2017–23707 Filed 10–31–17; 8:45 am] Title: Southwestern Crown Street NW., Washington, DC 20502. BILLING CODE 3410–15–P Collaborative Forest Management Social Commenters are encouraged to submit Monitoring. their comments to OMB via email to: OMB Control Number: 0596–NEW. DEPARTMENT OF AGRICULTURE [email protected] or Summary of Collection: The Forest fax (202) 395–5806 and to Departmental Submission for OMB Review; Landscape Restoration Act (FLRA) of Clearance Office, USDA, OCIO, Mail Comment Request 2009 (16 U.S.C. 7303), which enables Stop 7602, Washington, DC 20250– the Collaborative Forest Landscape 7602. Copies of the submission(s) may October 26, 2017. Restoration Program (CFLRP), requires be obtained by calling (202) 720–8958. The Department of Agriculture has monitoring ‘‘to assess the positive or An agency may not conduct or submitted the following information negative ecological, social, and sponsor a collection of information collection requirement(s) to OMB for economic effects of projects unless the collection of information review and clearance under the implementing a selected proposal for displays a currently valid OMB control Paperwork Reduction Act of 1995, not less than 15 years after project VerDate Sep<11>2014 18:16 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00001 Fmt 4703 Sfmt 4703 E:\FR\FM\01NON1.SGM 01NON1 sradovich on DSK3GMQ082PROD with NOTICES Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Notices 50609 implementation commences.’’ The are to respond, including through the Frequency of Responses: Reporting: CFLRP program started in 2010 to use of appropriate automated, Annually. encourage collaborative groups of electronic, mechanical, or other Total Burden Hours: 500. neighboring landowners, state, local and technological collection techniques or Ruth Brown, tribal government representatives, other forms of information technology. Comments regarding this information Departmental Information Collection businesses, interest groups, and Clearance Officer. nonprofit organizations, to work with collection received by December 1, 2017 the Forest Service (FS) to find common will be considered. Written comments [FR Doc. 2017–23696 Filed 10–31–17; 8:45 am] ground pertaining to geographically should be addressed to: Desk Officer for BILLING CODE 3410–05–P extensive forest restoration. Agriculture, Office of Information and Need and Use of the Information: Regulatory Affairs, Office of DEPARTMENT OF AGRICULTURE Respondents will be given the option of Management and Budget (OMB), New completing an online version of the Executive Office Building, 725 17th Forest Service monitoring instrument or of completing Street NW., Washington, DC 20502. a paper version. The collection of Commenters are encouraged to submit Newspapers for Publication of Legal information will allow FS to meet its their comments to OMB via email to: Notices in the Eastern Region obligations under the CFLRP to monitor [email protected] or AGENCY: Forest Service, USDA. social impacts and to provide feedback fax (202) 395–5806 and to Departmental to FS managers about activities, Clearance Office, USDA, OCIO, Mail ACTION: Notice. including the decisions making Stop 7602, Washington, DC 20250– SUMMARY: Forest Service administrative processes, conducted under the CFLRP. 7602. Copies of the submission(s) may review procedures require agency Without the collection of information, be obtained by calling (202) 720–8958. officials to publish legal notices in the FS will be unable to determine An agency may not conduct or newspapers of record for certain whether it is meeting the requirements sponsor a collection of information opportunities to comment and of the Forest Landscape Restoration Act, unless the collection of information opportunities to file pre-decisional nor if they are fully incorporating displays a currently valid OMB control objections. Forest Service officials in the partner and public input into forest number and the agency informs Eastern Region will publish those legal project, implementation, monitoring potential persons who are to respond to notices in the newspapers listed in this and/or planning processes as required the collection of information that such notice. The Eastern Region consists of by law. persons are not required to respond to Illinois, Indiana, Ohio, Michigan, Description of Respondents: Residents the collection of information unless it Minnesota, Missouri, New Hampshire, within the Southwestern Crown CFLRP displays a currently valid OMB control Maine, Pennsylvania, Vermont, New Landscape and Southwestern Crown number. York, West Virginia, and Wisconsin. Collaborative participants. The public shall be advised through a Number of Respondents: 2,330. Farm Service Agency Federal Register Notice, of the Frequency of Responses: One time. Title: Certified Mediation Program Total Burden Hours: 320. newspaper of record to be utilized for (7 CFR part 785). publishing legal notice of comment and Charlene Parker, OMB Control Number: 0560–0165. Summary of Collection: The USDA objection opportunities required by Departmental Information Collection those Parts and their associated Agricultural Medication Program (AMP) Clearance Officer. procedures. This notice fulfills that is mandated by Subtitle A and B of Title [FR Doc. 2017–23709 Filed 10–31–17; 8:45 am] requirement for the Eastern Region. V of the Agricultural Credit Act of 1987 BILLING CODE 3411–15–P (Pub. L. 100–233), as amended. Under FOR FURTHER INFORMATION CONTACT: the program, USDA makes grants to Michael Tighe; Writer/Editor; 626 E. Wisconsin Avenue; Milwaukee, WI DEPARTMENT OF AGRICULTURE state-designated entitles that provide mediation to agricultural producers, 53202. Phone: (414) 297–3439. Submission for OMB Review; their lenders and others that are directly SUPPLEMENTARY INFORMATION: Comment Request affected by the action of certain USDA Responsible Officials in the Eastern agencies. In mediation, a trained Region will publish legal notice(s) October 26, 2017. impartial mediator helps participants regarding proposed land management The Department of Agriculture has review and discuss their conflicts, plans as required under 36 CFR 219.16 submitted the following information identify options to resolve disputes and and legal notice(s) regarding an collection requirement(s) to OMB for agree on solutions. The Farm Service opportunity to comment on proposed review and clearance under the Agency (FSA) is administering the projects as required under 36 CFR Paperwork Reduction Act of 1995, program. 218.24 in the newspapers that are listed Public Law 104–13. Comments are Need and Use of the Information: FSA in this section by Forest Service required regarding (1) whether the will collect information to determine administrative unit. Additionally, collection of information is necessary whether the participants meet the Responsible Officials in the Eastern for the proper performance of the eligibility requirements to be recipients Region will publish legal notice(s) of the functions of the agency, including of grant funds, and secondly, to opportunity to object to a proposed whether the information will have determine if the grant is being project under 36 CFR part 218 or to practical utility; (2) the accuracy of the administered as provided by the Act. object to a land management plan agency’s estimate of burden including Lack of adequate information to make developed, amended, or revised under the validity of the methodology and these determinations could result in the 36 CFR part 219 in the legal notice assumptions used; (3) ways to enhance improper administration and section of the newspapers listed in this the quality, utility and clarity of the appropriation of Federal grant funds. notice. Additional notice regarding an information to be collected; and (4) Description of Respondents: State, opportunity to comment or object under ways to minimize the burden of the Local or Tribal Government. the above mentioned regulations may be collection of information on those who Number of Respondents: 40. provided in other newspapers not listed VerDate Sep<11>2014 18:16 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00002 Fmt 4703 Sfmt 4703 E:\FR\FM\01NON1.SGM 01NON1 sradovich on DSK3GMQ082PROD with NOTICES 50610 Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Notices below at the sole discretion of the Lakewood/Laona District: The Hoosier National Forest, Indiana Responsible Official. Legal notice Northwoods River News, published Forest Supervisor Decisions published in a newspaper of record of Tuesdays, Thursdays, and Saturdays an opportunity to object is in addition in Rhinelander, Oneida County, The Hoosier Times, published in to direct notice to those who have Wisconsin Bloomington, Monroe County, and requested it and to those who have Bedford, Lawrence County, Indiana Chippewa National Forest, Minnesota participated in planning for the project District Ranger Decisions or land management plan proposal. Forest Supervisor Decisions The timeframe for comment on a Brownstown District: The Hoosier Bemidji Pioneer, published daily in proposed action shall be based on the Times, published in Bloomington, Bemidji, Beltrami County, Minnesota date of publication of the legal notice of Monroe County, and Bedford, the proposed action in the newspaper of District Ranger Decisions Lawrence County, Indiana Tell City District: The Perry County record. The timeframe for objection Blackduck District: The American, shall be based on the date of publication News, published in Tell City, Perry published weekly in Blackduck, County, Indiana of the legal notice of the opportunity to Beltrami County, Minnesota object in the newspaper of record. Deer River District: The Western Itasca Huron-Manistee National Forest, The following newspapers will be Review, published weekly in Deer Michigan used to provide legal notice. River, Itasca County, Minnesota Forest Supervisor Decisions Eastern Region Walker District: The Pilot/Independent, published weekly in Walker, Cass Cadillac News, published daily in Regional Forester Decisions County, Minnesota Cadillac, Wexford County, Michigan Affecting National Forest System District Ranger Decisions lands in the Eastern Region, in the states Green Mountain National Forest, of Illinois, Indiana, Ohio, Michigan, Vermont Baldwin-White Cloud Districts: Lake Minnesota, Missouri, New Hampshire, Forest Supervisor Decisions County Star, published weekly in Maine, Pennsylvania, Vermont, New Baldwin, Lake County, Michigan The Rutland Herald, published York, West Virginia, and Wisconsin, Cadillac-Manistee Districts: Manistee Tuesday–Saturday in Rutland, The Milwaukee Journal/Sentinel, News Advocate, published daily in Rutland County, Vermont published daily in Milwaukee, Manistee, Manistee County, Michigan Milwaukee County, Wisconsin. District Ranger Decisions Mio District: Oscoda County Herald, published weekly in Mio, Oscoda Allegheny National Forest, Manchester, Middlebury and Rochester County, Michigan Pennsylvania Districts: The Rutland Herald, Huron Shores District: Oscoda Press, published Tuesday–Saturday in Forest Supervisor Decisions published weekly in Oscoda, Iosco Rutland, Rutland County, Vermont County, Michigan Warren Times Observer, Warren, Warren County, Pennsylvania Finger Lakes National Forest, New Mark Twain National Forest, Missouri York District Ranger Decisions Forest Supervisor Decisions Forest Supervisor Decisions: Bradford District: Bradford Era, The Rolla Daily News, published Bradford, McKean County, The Ithaca Journal, published daily in Monday through Saturday in Rolla, Pennsylvania Ithaca, Tompkins County, New York Phelps County, Missouri Marienville District: The Kane District Ranger Decisions Republican, Kane, McKean County, District Ranger Decisions Pennsylvania Hector District: The Ithaca Journal, Ava/Cassville/Willow Springs District: published daily in Ithaca, Tompkins Springfield News-Leader, published Chequamegon/Nicolet National Forest, County, New York daily in Springfield, Greene County, Wisconsin Hiawatha National Forest, Michigan Missouri Forest Supervisor Decisions Cedar Creek District: Fulton Sun, Forest Supervisor Decisions The Northwoods River News, published published daily in Fulton, Callaway Tuesdays, Thursdays, and Saturdays The Daily Press, published daily in County, Missouri Rhinelander, Oneida County, Escanaba, Delta County, Michigan Eleven Point District: Prospect News, Wisconsin published weekly (Wednesday) in District Ranger Decisions Doniphan, Ripley County, Missouri District Ranger Decisions Rapid River District: The Daily Press, Rolla District: Houston Herald, Eagle River/Florence District: The published daily in Escanaba, Delta published weekly (Thursdays) in Northwoods River News, published County, Michigan Houston, Texas County, Missouri Tuesdays, Thursdays, and Saturdays, Manistique District: The Daily Press, Houston District: Houston Herald, Rhinelander, Oneida County, published daily in Escanaba, Delta published weekly (Thursdays) in Wisconsin County, Michigan Houston, Texas County, Missouri Great Divide District: The Ashland Daily Munising District: The Mining Journal, Poplar Bluff District: Daily American Press, published daily in Ashland, published daily in Marquette, Republic, published daily in Poplar Ashland County, Wisconsin Marquette County, Michigan Bluff, Butler County, Missouri Medford/Park Falls District: The Star St. Ignace District: The Sault News, Potosi District: The Independent- News, published weekly in Medford, published daily in Sault Ste. Marie, Journal, published weekly (Thursday) Taylor County, Wisconsin Chippewa County, Michigan in Potosi, Washington County, Washburn District: The Ashland Daily Sault Ste. Marie District: The Sault Missouri Press, published daily in Ashland, News, published daily in Sault Ste. Fredericktown District: The Democrat- Ashland County, Wisconsin Marie, Chippewa County, Michigan News, published weekly (Wednesday) VerDate Sep<11>2014 18:16 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00003 Fmt 4703 Sfmt 4703 E:\FR\FM\01NON1.SGM 01NON1 sradovich on DSK3GMQ082PROD with NOTICES Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Notices 50611 in Fredericktown, Madison County, Superior National Forest, Minnesota projects located solely within the Missouri State of Maine; the Lewiston Sun- Forest Supervisor Decisions Salem District: The Salem News, Journal, published daily in Lewiston, published weekly (Tuesday) in Salem, Duluth News-Tribune, published daily County of Androscoggin, Maine in Duluth, St. Louis County, Dent County, Missouri Dated: October 17, 2017. Minnesota Midewin Tallgrass Prairie, Illinois Glenn Casamassa, District Ranger Decisions Associate Deputy Chief, National Forest Prairie Supervisor Decisions Gunflint District: Cook County News- System. [FR Doc. 2017–23803 Filed 10–31–17; 8:45 am] The Herald News, published daily in Herald, published weekly in Grand Joliet, Will County, Illinois Marais, Cook County, Minnesota BILLING CODE 3411–15–P Kawishiwi District: Ely Echo, published Monongahela National Forest, West weekly in Ely, St. Louis County, Virginia Minnesota DEPARTMENT OF AGRICULTURE LaCroix District: Mesabi Daily News, Forest Supervisor Decisions Forest Service published daily in Virginia, St. Louis The Inter-Mountain, published daily in County, Minnesota Black Hills National Forest Advisory Elkins, Randolph County, West Laurentian District: Mesabi Daily News, Board Virginia published daily in Virginia, St. Louis County, Minnesota AGENCY: Forest Service, USDA. District Ranger Decisions Tofte District: Duluth News-Tribune, ACTION: Notice of meeting. Cheat-Potomac District: The Grant published daily in Duluth, St. Louis SUMMARY: County Press, published weekly in County, Minnesota The Black Hills National Forest Advisory Board (Board) will meet Petersburg, Grant County, West Wayne National Forest, Ohio Virginia in Rapid City, South Dakota. The Board Forest Supervisor Decisions is established consistent with the Gauley District: The Nicholas Chronicle, Federal Advisory Committee Act, of Athens Messenger, published Tuesday- published weekly in Summersville, 1972, the Forest and Rangeland Saturday in Athens, Athens County, Nicholas County, West Virginia Renewable Resources Planning Act of Ohio Greenbrier District: The Pocahontas 1974, the National Forest Management Times, published weekly in District Ranger Decisions Act of 1976, and the Federal Public Marlinton, Pocahontas County, West Athens District-Athens Unit: Athens Lands Recreation Enhancement Act. Virginia Messenger, published Tuesday- Additional information concerning the Marlinton-White Sulphur District: The Saturday in Athens, Athens County, Board, including the meeting summary/ Pocahontas Times, published weekly Ohio minutes, can be found by visiting the in Marlinton, Pocahontas County, Athens District-Marietta Unit: Marietta Board’s Web site at: http:// West Virginia Times, published daily in Marietta, www.fs.usda.gov/main/blackhills/ Washington County, Ohio workingtogether/advisorycommittees. Ottawa National Forest, Michigan Ironton District: The Ironton Tribune, DATES: The meeting will be held on Forest Supervisor Decisions published daily in Ironton, Lawrence Wednesday, November 15, 2017, at 1:00 County, Ohio p.m. The Ironwood Daily Globe, published in All meetings are subject to Ironwood, Gogebic County, Michigan; White Mountain National Forest, New cancellation. For updated status of except, for those projects located Hampshire and Maine meeting prior to attendance, please solely within the Iron River District; Forest Supervisor Decisions contact the person listed under FOR The Reporter, published in Iron River, FURTHER INFORMATION CONTACT. Iron County, Michigan The New Hampshire Union Leader, published daily in Manchester, ADDRESSES: The meeting will be held at District Ranger Decisions County of Hillsborough, New the Forest Service Center, 8221 Mount Hampshire. Rushmore Road, Rapid City, South Bergland, Bessemer, Kenton, Ontonagon Dakota. and Watersmeet Districts: The District Ranger Decisions: Written comments may be submitted Ironwood Daily Globe, published in Androscoggin District: The New as described under SUPPLEMENTARY Ironwood, Gogebic County, Michigan Hampshire Union Leader, published INFORMATION. All comments, including Iron River District: The Reporter, daily in Manchester, County of names and addresses, when provided, published in Iron River, Iron County, Hillsborough, New Hampshire; are placed in the record and available Michigan except, for those projects located for public inspection and copying. The solely within the State of Maine; the public may inspect comments received Shawnee National Forest, Illinois Lewiston Sun-Journal, published daily at the Black Hills National Forest Forest Supervisor Decisions in Lewiston, County of Androscoggin, Supervisor’s Office. Please call ahead to Maine facilitate entry into the building. Southern Illinoisan, published daily in Pemigewasset District: The New FOR FURTHER INFORMATION CONTACT: Carbondale, Jackson County, Illinois Hampshire Union Leader, published Scott Jacobson, Committee Coordinator, District Ranger Decisions daily in Manchester, County of by phone at 605–440–1409 or by email Hillsborough, New Hampshire at [email protected]. Individuals who Hidden Springs and Mississippi Bluffs Saco District: The New Hampshire use telecommunication devices for the Districts: Southern Illinoisan, Union Leader, published daily in deaf (TDD) may call the Federal published daily in Carbondale, Manchester, County of Hillsborough, Information Relay Service (FIRS) at Jackson County, Illinois New Hampshire; except, for those 1–800–877–8339 between 8:00 a.m. and VerDate Sep<11>2014 18:16 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00004 Fmt 4703 Sfmt 4703 E:\FR\FM\01NON1.SGM 01NON1 sradovich on DSK3GMQ082PROD with NOTICES 50612 Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Notices 8:00 p.m., Eastern Standard Time, Building, Room 3884, 14th Street SUMMARY: In accordance with the Tariff Monday through Friday. between Constitution & Pennsylvania Act of 1930, as amended (the Act), the SUPPLEMENTARY INFORMATION: The Avenues NW., Washington, DC. The Department of Commerce (the purpose of the meeting is to provide: Committee advises the Office of the Department) is automatically initiating (1) Information Topic: Forest Range Assistant Secretary for Export the five-year reviews (Sunset Reviews) Program; Administration with respect to technical of the antidumping and countervailing (2) Non-Motorized Trails Working questions that affect the level of export duty (AD/CVD) order(s) listed below. Group Presentation; controls applicable to materials and The International Trade Commission (3) Motor Vehicle Use Permit Fees; related technology. (the Commission) is publishing (4) Black Hills Resilient Landscape Agenda concurrently with this notice its notice Project update; and of Institution of Five-Year Reviews Open Session (5) Over Snow Use. which covers the same order(s). The meeting is open to the public. If 1. Introductions and opening remarks by time allows, the public may make oral senior management DATES: Applicable (November 1, 2017). statements of three minutes or less. 2. Presentation by Gerard Horner and FOR FURTHER INFORMATION CONTACT: The Individuals wishing to make an oral Anna Bruse on Automated Export Department official identified in the System statement should submit a request in Initiation of Review section below at writing by November 6, 2017, to be 3. Presentation by Rocco Casagrande on ‘‘Overview of Synthetic Biology ’’ AD/CVD Operations, Enforcement and scheduled on the agenda. Anyone who Compliance, International Trade would like to bring related matters to 4. Open session report by regime Administration, U.S. Department of the attention of the Board may file representatives Commerce, 1401 Constitution Avenue written statements with the Board’s staff 5. Update on plans for 2018/Public before or after the meeting. Written Comments/New Business NW., Washington, DC 20230. For comments and time requests for oral The open session will be accessible information from the Commission comments must be sent to Scott via teleconference to 20 participants on contact Mary Messer, Office of Jacobson, Black Hills National Forest a first come, first serve basis. To join the Investigations, U.S. International Trade Supervisor’s Office, 1019 North Fifth conference, submit inquiries to Ms. Commission at (202) 205–3193. Yvette Springer at Yvette.Springer@ Street, Custer, South Dakota 57730; by SUPPLEMENTARY INFORMATION: email to [email protected], or via bis.doc.gov, no later than November 9, facsimile to 605–673–9208. 2017. Background Meeting Accommodations: If you are A limited number of seats will be The Department’s procedures for the a person requiring reasonable available during the public session of accommodation, please make requests the meeting. Reservations are not conduct of Sunset Reviews are set forth in advance for sign language accepted. To the extent time permits, in its Procedures for Conducting Five- interpreting, assistive listening devices, members of the public may present oral Year (Sunset) Reviews of Antidumping or other reasonable accommodation for statements to the Committee. Written and Countervailing Duty Orders, 63 FR statements may be submitted at any access to the facility or proceedings by 13516 (March 20, 1998) and 70 FR time before or after the meeting. contacting the person listed in the 62061 (October 28, 2005). Guidance on However, to facilitate distribution of section titled FOR FURTHER INFORMATION methodological or analytical issues public presentation materials to CONTACT. All reasonable relevant to the Department’s conduct of Committee members, the materials accommodation requests are managed Sunset Reviews is set forth in should be forwarded prior to the on a case by case basis. Antidumping Proceedings: Calculation meeting to Ms. Springer via email. Dated: October 18, 2017. For more information, call Yvette of the Weighted-Average Dumping Jeanne M. Higgins, Springer at (202) 482–2813. Margin and Assessment Rate in Certain Antidumping Duty Proceedings; Final Acting Associate Deputy Chief, National Yvette Springer, Forest System. Modification, 77 FR 8101 (February 14, Committee Liaison Officer. [FR Doc. 2017–23806 Filed 10–31–17; 8:45 am] 2012). [FR Doc. 2017–23727 Filed 10–31–17; 8:45 am] BILLING CODE 3411–15–P Initiation of Review BILLING CODE 3510–JT–P In accordance with section 751(c) of DEPARTMENT OF COMMERCE DEPARTMENT OF COMMERCE the Act and 19 CFR 351.218(c), we are initiating Sunset Reviews of the Bureau of Industry and Security International Trade Administration following antidumping and countervailing duty order(s): Materials Technical Advisory Initiation of Five-Year (Sunset) Committee; Notice of Open Meeting Reviews The Materials Technical Advisory AGENCY: Enforcement and Compliance, Committee will meet on November 16, International Trade Administration, 2017, 10:00 a.m., Herbert C. Hoover Department of Commerce. DOC ITC case No. case No. Country Product Department contact A–570–863 ...... 731–TA–893 ...... PRC ...... Honey (3rd Review) ...... Robert James (202) 482–0649. A–570–979 ...... 731–TA–1190 .... PRC ...... Crystalline Silicon Photovoltaic Cells, Whether or Not Assem- Matthew Renkey (202) 482–2312. bled into Modules (1st Review). C–570–980 ...... 701–TA–481 ...... PRC ...... Crystalline Silicon Photovoltaic Cells, Whether or Not Assem- Jacqueline Arrowsmith (202) 482–5255. bled into Modules (1st Review). A–583–849 ...... 731–TA–1197 .... Taiwan ...... Steel Wire Garment Hangers (1st Review) ...... Matthew Renkey (202) 482–2312. VerDate Sep<11>2014 18:16 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00005 Fmt 4703 Sfmt 4703 E:\FR\FM\01NON1.SGM 01NON1 sradovich on DSK3GMQ082PROD with NOTICES Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Notices 50613 DOC ITC case No. case No. Country Product Department contact A–552–812 ...... 731–TA–1198 .... Vietnam ...... Steel Wire Garment Hangers (1st Review) ...... Matthew Renkey (202) 482–2312. C–552–813 ...... 731–TA–487 ...... Vietnam ...... Steel Wire Garment Hangers (1st Review) ...... Matthew Renkey (202) 482–2312. With respect to the orders on Steel (19 CFR 351.301).4 Parties are advised to this notice of initiation by filing a notice Garment Hangers from Vietnam, we review the final rule, available at http:// of intent to participate. The required have advanced the initiation date of enforcement.trade.gov/frn/2013/ contents of the notice of intent to these Sunset Reviews upon determining 1304frn/2013-08227.txt, prior to participate are set forth at 19 CFR that initiation of the Sunset Reviews for submitting factual information in these 351.218(d)(1)(ii). In accordance with the all of the Steel Garment Hangers orders segments. To the extent that other Department’s regulations, if we do not on the same date would promote regulations govern the submission of receive a notice of intent to participate administrative efficiency. factual information in a segment (such from at least one domestic interested Filing Information as 19 CFR 351.218), these time limits party by the 15-day deadline, the will continue to be applied. Parties are Department will automatically revoke As a courtesy, we are making also advised to review the final rule the order without further review.6 information related to sunset concerning the extension of time limits proceedings, including copies of the If we receive an order-specific notice for submissions in AD/CVD of intent to participate from a domestic pertinent statute and Department’s proceedings, available at http:// regulations, the Department’s schedule interested party, the Department’s enforcement.trade.gov/frn/2013/ regulations provide that all parties for Sunset Reviews, a listing of past 1309frn/2013-22853.txt, prior to revocations and continuations, and wishing to participate in a Sunset submitting factual information in these Review must file complete substantive current service lists, available to the segments.5 public on the Department’s Web site at responses not later than 30 days after the following address: http:// Letters of Appearance and the date of publication in the Federal enforcement.trade.gov/sunset/. All Administrative Protective Orders Register of this notice of initiation. The required contents of a substantive submissions in these Sunset Reviews Pursuant to 19 CFR 351.103(d), the response, on an order-specific basis, are must be filed in accordance with the Department will maintain and make set forth at 19 CFR 351.218(d)(3). Note Department’s regulations regarding available a public service list for these that certain information requirements format, translation, and service of proceedings. Parties wishing to differ for respondent and domestic documents. These rules, including participate in any of these five-year parties. Also, note that the Department’s electronic filing requirements via reviews must file letters of appearance information requirements are distinct Enforcement and Compliance’s as discussed at 19 CFR 351.103(d)). To from the Commission’s information Antidumping and Countervailing Duty facilitate the timely preparation of the requirements. Consult the Department’s Centralized Electronic Service System public service list, it is requested that regulations for information regarding (ACCESS), can be found at 19 CFR those seeking recognition as interested the Department’s conduct of Sunset 351.303.1 parties to a proceeding submit an entry Reviews. Consult the Department’s This notice serves as a reminder that of appearance within 10 days of the regulations at 19 CFR part 351 for any party submitting factual information publication of the Notice of Initiation. definitions of terms and for other in an AD/CVD proceeding must certify Because deadlines in Sunset Reviews general information concerning to the accuracy and completeness of that can be very short, we urge interested 2 antidumping and countervailing duty information. Parties are hereby parties who want access to proprietary proceedings at the Department. reminded that revised certification information under administrative requirements are in effect for company/ protective order (APO) to file an APO This notice of initiation is being government officials as well as their application immediately following published in accordance with section representatives in these segments.3 The publication in the Federal Register of 751(c) of the Act and 19 CFR 351.218(c). formats for the revised certifications are this notice of initiation. The Dated: October 16, 2017. provided at the end of the Final Rule. Department’s regulations on submission James Maeder, The Department intends to reject factual of proprietary information and Senior Director performing the duties of submissions if the submitting party does eligibility to receive access to business not comply with the revised Deputy Assistant Secretary for Antidumping proprietary information under APO can and Countervailing Duty Operations. certification requirements. be found at 19 CFR 351.304–306. On April 10, 2013, the Department [FR Doc. 2017–23763 Filed 10–31–17; 8:45 am] modified two regulations related to AD/ Information Required From Interested BILLING CODE 3510–DS–P CVD proceedings: The definition of Parties factual information (19 CFR Domestic interested parties, as DEPARTMENT OF COMMERCE 351.102(b)(21)), and the time limits for defined in section 771(9)(C), (D), (E), (F), the submission of factual information and (G) of the Act and 19 CFR International Trade Administration 351.102(b), wishing to participate in a 1 See also Antidumping and Countervailing Duty Sunset Review must respond not later Environmental Technologies Trade Proceedings: Electronic Filing Procedures; than 15 days after the date of Administrative Protective Order Procedures, 76 FR Advisory Committee (ETTAC) Public 39263 (July 6, 2011). publication in the Federal Register of Meeting 2 See section 782(b) of the Act. 3 See Certification of Factual Information To 4 See Definition of Factual Information and Time AGENCY: International Trade Import Administration During Antidumping and Limits for Submission of Factual Information: Final Administration, DOC. Countervailing Duty Proceedings, 78 FR 42678 (July Rule, 78 FR 21246 (April 10, 2013). 17, 2013) (Final Rule) (amending 19 CFR 5 See Extension of Time Limits, 78 FR 57790 351.303(g)). (September 20, 2013). 6 See 19 CFR 351.218(d)(1)(iii). VerDate Sep<11>2014 18:16 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00006 Fmt 4703 Sfmt 4703 E:\FR\FM\01NON1.SGM 01NON1 sradovich on DSK3GMQ082PROD with NOTICES 50614 Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Notices ACTION: Notice of Federal Advisory meeting. Minutes will be available China (PRC)), and Denisa Ursu at (202) Committee Meeting. within 30 days of this meeting. 482–2285 or Michael Bowen at (202) Topic To Be considered: The agenda 482–0768 (Italy), AD/CVD Operations, SUMMARY: This notice sets forth the for the November 14, 2017 meeting Enforcement and Compliance, schedule and proposed agenda of a includes briefings from the U.S. International Trade Administration, meeting of the Environmental interagency on ongoing NAFTA U.S. Department of Commerce, 1401 Technologies Trade Advisory negotiations and ITA’s Trade Promotion Constitution Avenue NW., Washington, Committee (ETTAC). Programs. Also during the meeting, the DC 20230. DATES: The meeting is scheduled for three ETTAC subcommittees will SUPPLEMENTARY INFORMATION: Tuesday, November 14, 2017 from 8:30 discuss their top priorities for this a.m.–3:30 p.m. Eastern Daylight Time charter period, with the goal of The Petitions (EDT). The deadline for members of the generating recommendations for the On October 5, 2017, the U.S. public to register or to submit written Secretary of Commerce. Topics under Department of Commerce (the comments for dissemination prior to the discussion include optimizing the U.S. Department) received antidumping duty meeting is 5:00 p.m. EDT on Friday, Government’s trade promotion (AD) Petitions concerning imports of November 3, 2017. The deadline for programs, identifying market access forged steel fittings from the People’s members of the public to request barriers, pros and cons of existing trade Republic of China (PRC), Italy, and auxiliary aids is 5:00 p.m. EDT on agreements, and discussing Taiwan, filed in proper form, on behalf Tuesday, November 7, 2017. procurement policy, including issues of Bonney Forge Corporation and ADDRESSES: The meeting will be held in with financing mechanisms, localization United Steel, Paper and Forestry, Room 6057–59 at the U.S. Department requirements and non-tariff barriers. Rubber, Manufacturing, Energy, Allied of Commerce, Herbert Clark Hoover The ETTAC’s subcommittees are: Trade Industrial and Service Workers Building, 1401 Constitution Avenue Promotion and Export Market International Union (USW) (collectively, NW., Washington, DC 20230. The Development, Professional Services and the petitioners).1 The AD Petitions were address to register, submit comments, or Infrastructure Advancement, and Trade accompanied by a countervailing duty request auxiliary aids is: Ms. Amy Policy and American Competitiveness. (CVD) Petition concerning imports of Kreps, Office of Energy & Environmental Background: The ETTAC is mandated forged steel fittings from the PRC. The Industries (OEEI), International Trade by Section 2313(c) of the Export petitioners are domestic producers of Administration, Room 28018, 1401 Enhancement Act of 1988, as amended, forged steel fittings and a certified union Constitution Avenue NW., Washington, 15 U.S.C. 4728(c), to advise the that represents workers who produce DC 20230 or email: amy.kreps@ Environmental Trade Working Group of forged steel fittings.2 trade.gov. the Trade Promotion Coordinating On October 6 and 10, 2017, the Department requested supplemental FOR FURTHER INFORMATION CONTACT: Ms. Committee, through the Secretary of Commerce, on the development and information pertaining to certain areas Amy Kreps, Office of Energy & 3 Environmental Industries (OEEI), administration of programs to expand of the Petitions. The petitioners filed U.S. exports of environmental responses to these supplemental International Trade Administration, 4 Room 28018, 1401 Constitution Avenue technologies, goods, services, and questions on October 11, 2017. The NW., Washington, DC 20230 (Phone: products. The ETTAC was originally Department also issued second 202–482–3835; Fax: 202–482–5665; chartered in May of 1994. It was most supplemental questionnaires with email: [email protected]). recently re-chartered until August 2018. 1 See Letter to the Secretary of Commerce re: SUPPLEMENTARY INFORMATION: The Dated: October 25, 2017. ‘‘Petitions for the Imposition of Antidumping and meeting will take place on November 14 Man Cho, Countervailing Duties: Forged Steel Fittings from from 8:30 a.m. to 3:30 p.m. EDT. The Deputy Director, Office of Energy and the People’s Republic of China, Italy, and Taiwan’’ Environmental Industries. (October 5, 2017) (the Petitions). general meeting is open to the public 2 and time will be permitted for public See Volume I of the Petitions at 2 and 4. [FR Doc. 2017–23811 Filed 10–31–17; 8:45 am] 3 See Letters from the Department to the comment from 3:00–3:30 p.m. EDT. BILLING CODE 3510–DR–P petitioners re: ‘‘Petitions for the Imposition of Members of the public seeking to attend Antidumping and Countervailing Duties on Imports the meeting are required to register in of Forged Steel Fittings from the People’s Republic advance. Those interested in attending DEPARTMENT OF COMMERCE of China, Italy, and Taiwan: Supplemental Questions,’’ ‘‘Petition for the Imposition of must provide notification by Friday, Antidumping Duties on Imports of Forged Steel November 3, 2017 at 5:00 p.m. EDT, via International Trade Administration Fittings from the People’s Republic of China: the contact information provided above. [A–570–067, A–475–839, and A–583–863] Supplemental Questions,’’ ‘‘Petition for the This meeting is physically accessible to Imposition of Antidumping Duties on Imports of Forged Steel Fittings from Taiwan: Supplemental people with disabilities. Requests for Forged Steel Fittings From the Questions,’’; Letter from the Department to the sign language interpretation or other People’s Republic of China, Italy, and petitioners re: ‘‘Petition for the Imposition of auxiliary aids should be directed to Taiwan: Initiation of Less-Than-Fair- Antidumping Duties on Imports of Forged Steel OEEI at (202) 482–3835 no less than one Fittings from Italy: Supplemental Questions,’’ dated Value Investigations October 10, 2017. week prior to the meeting. Requests 4 AGENCY: Enforcement and Compliance, See Letters from the petitioners, re: ‘‘Forged received after this date will be accepted, Steel Fittings from the People’s Republic of China, but it may not be possible to International Trade Administration, Italy, and Taiwan: Response to Supplemental accommodate them. Department of Commerce. Questions—General Issues’’ (General Issues DATES: Applicable October 25, 2017. Supplement); ‘‘Forged Steel Fittings from Italy: Written comments concerning ETTAC Response to Supplemental Questions,’’ dated affairs are welcome any time before or FOR FURTHER INFORMATION CONTACT: October 11, 2017 (Italy AD Supplemental after the meeting. To be considered Irene Gorelik at (202) 482–6905 or Response); ‘‘Forged Steel Fittings from the People’s during the meeting, written comments Robert Palmer at (202) 482–9068 Republic of China: Response to Supplemental Questions,’’ (PRC AD Supplemental Response); and must be received by Friday, November (Taiwan), Katherine Johnson at (202) ‘‘Forged Steel Fittings from Taiwan: Response to 3, 2017 at 5:00 p.m. EDT to ensure 482–4929 or Renato Barreda at (202) Supplemental Questions,’’ (Taiwan AD transmission to the members before the 482–0317 (the People’s Republic of Supplemental Response), dated October 11, 2017. VerDate Sep<11>2014 18:16 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00007 Fmt 4703 Sfmt 4703 E:\FR\FM\01NON1.SGM 01NON1 sradovich on DSK3GMQ082PROD with NOTICES Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Notices 50615 regard to general issues in Volume I of 30, 2017. Because the PRC is a non- records of each of the concurrent AD the Petition and for issues specific to the market economy (NME) country, the and CVD investigations. PRC and Italy AD petitions.5 The POI for this investigation is April 1, Filing Requirements petitioners filed their second 2017, through September 30, 2017. supplemental response regarding the All submissions to the Department Scope of the Investigations PRC and Italy AD petitions on October must be filed electronically using 17, 2017 and second supplemental The products covered by these Enforcement and Compliance’s response regarding general issues on investigations are forged steel fittings Antidumping Duty and Countervailing October 18, 2017.6 Petitioners also filed from the PRC, Italy, and Taiwan. For a Duty Centralized Electronic Service a revised scope on October 19, 2017.7 full description of the scope of these System (ACCESS).13 An electronically In accordance with section 732(b) of investigations, see the ‘‘Scope of the filed document must be received the Tariff Act of 1930, as amended (the Investigations,’’ in the Appendix to this successfully in its entirety by the time Act), the petitioners allege that imports notice. and date it is due. Documents exempted of forged steel fittings from the PRC, Comments on Scope of the from the electronic submission Italy, and Taiwan are being, or likely to Investigations requirements must be filed manually be, sold in the United States at less than (i.e., in paper form) with Enforcement fair value within the meaning of section During our review of the Petitions, the and Compliance’s APO/Dockets Unit, 731 of the Act, and that such imports Department issued questions to, and Room 18022, U.S. Department of are materially injuring, or threatening received responses from, the petitioners Commerce, 1401 Constitution Avenue material injury to, the domestic industry pertaining to the proposed scope to NW., Washington, DC 20230, and producing forged steel fittings in the ensure that the scope language in the stamped with the date and time of United States. Also, consistent with Petitions would be an accurate receipt by the applicable deadlines. section 732(b)(1) of the Act, the reflection of the products for which the Petitions are accompanied by domestic industry is seeking relief.9 Comments on Product Characteristics information reasonably available to the As discussed in the preamble to the for AD Questionnaires petitioners supporting their allegations. Department’s regulations, we are setting The Department will provide The Department finds that the aside a period for interested parties to interested parties an opportunity to petitioners filed these Petitions on raise issues regarding product coverage comment on the appropriate physical behalf of the domestic industry because (scope).10 The Department will consider characteristics of forged steel fittings to the petitioners are interested parties as all comments received from interested be reported in response to the defined in sections 771(9)(C) and (D) of parties and, if necessary, will consult Department’s AD questionnaires. This the Act. The Department also finds that with interested parties prior to the information will be used to identify the the petitioners demonstrated sufficient issuance of the preliminary key physical characteristics of the industry support with respect to the determinations. If scope comments merchandise under consideration in initiation of the AD investigations that include factual information,11 all such order to report the relevant costs of the petitioners are requesting.8 factual information should be limited to production accurately as well as to public information. To facilitate Periods of Investigation develop appropriate product- preparation of its questionnaires, the comparison criteria. Because the Petitions were filed on Department requests all interested Interested parties may provide any October 5, 2017, the period of parties to submit such comments by information or comments that they feel investigation (POI) for Taiwan and Italy 5:00 p.m. Eastern Time (ET) on are relevant to the development of an is October 1, 2016, through September Tuesday, November 14, 2017, which is accurate list of physical characteristics. 20 calendar days from the signature date Specifically, they may provide 5 See Letter to the petitioners, re: ‘‘Petitions for of this notice. Any rebuttal comments, the Imposition of Antidumping and Countervailing comments as to which characteristics Duties on Imports of Forged Steel Fittings from the which may include factual information, are appropriate to use as: (1) General People’s Republic of China, Italy, and Taiwan: must be filed by 5:00 p.m. ET on Friday, product characteristics and (2) product- Supplemental Questions,’’ dated October 17, 2017; November 24, 2017, which is 10 comparison criteria. We note that it is Letter to the petitioners, re: Petition for the calendar days from the initial comments not always appropriate to use all Imposition of Antidumping Duties on Imports of 12 Forged Steel Fittings from the People’s Republic of deadline. product characteristics as product- China: Second Supplement,’’ dated October 16, The Department requests that any comparison criteria. We base product- 2017; Letter from the Department to the petitioners factual information the parties consider comparison criteria on meaningful re: ‘‘Petition for the Imposition of Antidumping relevant to the scope of the Duties on Imports of Forged Steel Fittings from commercial differences among products. Italy: Second Supplemental Questionnaire,’’ dated investigations be submitted during this In other words, although there may be October 16, 2017. time period. However, if a party some physical product characteristics 6 See Letter from the petitioners re: ‘‘Forged Steel subsequently finds that additional utilized by manufacturers to describe Fittings from the People’s Republic of China: factual information pertaining to the forged steel fittings, it may be that only Response to Second Supplemental Questions, dated scope of the investigations may be October 17, 2017 (PRC AD Second Supplemental a select few product characteristics take Response); Letter from the petitioners re: ‘‘Forged relevant, the party may contact the Steel Fittings from Italy: Response to Second Department and request permission to 13 See Antidumping and Countervailing Duty Supplemental Question,’’ dated October 17, 2017; submit the additional information. All Proceedings: Electronic Filing Procedures; Letter from the petitioners to the Department, scope comments must be filed on the Administrative Protective Order Procedures, 76 FR ‘‘Response to Second Supplemental Question on 39263 (July 6, 2011); see also Enforcement and Industry Support and Cumulation,’’ dated October Compliance; Change of Electronic Filing System 9 18, 2017 (Second General Issues Supplement). See General Issues Supplemental Questionnaire; Name, 79 FR 69046 (November 20, 2014), for details 7 See Letter from the petitioners to the see also General Issues Supplement. of the Department’s electronic filing requirements, Department, ‘‘Forged Steel Fittings from China, 10 See Antidumping Duties; Countervailing which went into effect on August 5, 2011. Italy, and Taiwan: Revised Scope,’’ dated October Duties, Final Rule, 62 FR 27296, 27323 (May 19, Information on help using ACCESS can be found at 19, 2017 (Revised Scope). See also the Appendix to 1997). https://access.trade.gov/help.aspx and a handbook this notice. 11 See 19 CFR 351.102(b)(21) (defining ‘‘factual can be found at https://access.trade.gov/help/ 8 See ‘‘Determination of Industry Support for the information’’). Handbook%20on%20Electronic Petitions’’ section, below. 12 See 19 CFR 351.303(b). %20Filling%20Procedures.pdf. VerDate Sep<11>2014 18:16 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00008 Fmt 4703 Sfmt 4703 E:\FR\FM\01NON1.SGM 01NON1 sradovich on DSK3GMQ082PROD with NOTICES 50616 Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Notices into account commercially meaningful the domestic like product,14 they do so estimated total 2016 production of the physical characteristics. In addition, for different purposes and pursuant to a domestic like product for the entire interested parties may comment on the separate and distinct authority. In domestic industry.18 We relied on the order in which the physical addition, the Department’s data the petitioners provided for characteristics should be used in determination is subject to limitations of purposes of measuring industry matching products. Generally, the time and information. Although this support.19 Department attempts to list the most may result in different definitions of the Our review of the data provided in the important physical characteristics first like product, such differences do not Petitions, supplements to the Petitions, and the least important characteristics render the decision of either agency and other information readily available 15 last. contrary to law. to the Department indicates that the In order to consider the suggestions of Section 771(10) of the Act defines the petitioners have established industry interested parties in developing and domestic like product as ‘‘a product support.20 First, the Petitions issuing the AD questionnaires, all which is like, or in the absence of like, established support from domestic product characteristics comments must most similar in characteristics and uses producers (or workers) accounting for be filed by 5:00 p.m. ET on November with, the article subject to an more than 50 percent of the total 14, 2017. Any rebuttal comments must investigation under this title.’’ Thus, the production of the domestic like product be filed by 5:00 p.m. ET on November reference point from which the and, as such, the Department is not 24, 2017. All comments and domestic like product analysis begins is required to take further action in order submissions to the Department must be ‘‘the article subject to an investigation’’ to evaluate industry support (e.g., filed electronically using ACCESS, as (i.e., the class or kind of merchandise to 21 explained above, on the records of the be investigated, which normally will be polling). Second, the domestic PRC, Italy and Taiwan less-than-fair- the scope as defined in the petition). producers (or workers) have met the value investigations. With regard to the domestic like statutory criteria for industry support product, the petitioners do not offer a under section 732(c)(4)(A)(i) of the Act Determination of Industry Support for definition of the domestic like product because the domestic producers (or the Petitions distinct from the scope of the workers) who support the Petitions Section 732(b)(1) of the Act requires investigations. Based on our analysis of account for at least 25 percent of the that a petition be filed on behalf of the the information submitted on the total production of the domestic like domestic industry. Section 732(c)(4)(A) record, we have determined that forged product.22 Finally, the domestic of the Act provides that a petition meets steel fittings, as defined in the scope, producers (or workers) have met the this requirement if the domestic constitutes a single domestic like statutory criteria for industry support producers or workers who support the product and we have analyzed industry under section 732(c)(4)(A)(ii) of the Act petition account for: (i) At least 25 support in terms of that domestic like because the domestic producers (or percent of the total production of the product.16 workers) who support the Petitions domestic like product; and (ii) more In determining whether the account for more than 50 percent of the than 50 percent of the production of the petitioners have standing under section production of the domestic like product domestic like product produced by that 732(c)(4)(A) of the Act, we considered produced by that portion of the industry portion of the industry expressing the industry support data contained in expressing support for, or opposition to, support for, or opposition to, the the Petitions with reference to the the Petitions.23 Accordingly, the petition. Moreover, section 732(c)(4)(D) domestic like product as defined in the Department determines that the of the Act provides that, if the petition ‘‘Scope of the Investigations,’’ in the Petitions were filed on behalf of the does not establish support of domestic Appendix of this notice.17 The domestic industry within the meaning producers or workers accounting for petitioners provided their own of section 732(b)(1) of the Act. more than 50 percent of the total production of the domestic like product The Department finds that the production of the domestic like product, in 2016 and compared this to the petitioners filed the Petitions on behalf the Department shall: (i) Poll the of the domestic industry because they industry or rely on other information in 14 See section 771(10) of the Act. are interested parties as defined in 15 order to determine if there is support for See USEC, Inc. v. United States, 132 F. Supp. sections 771(9)(C) and (D) of the Act and the petition, as required by 2d 1, 8 (CIT 2001) (citing Algoma Steel Corp., Ltd. v. United States, 688 F. Supp. 639, 644 (CIT 1988), they have demonstrated sufficient subparagraph (A); or (ii) determine aff’d 865 F.2d 240 (Fed. Cir. 1989)). industry support with respect to the AD industry support using a statistically 16 For a discussion of the domestic like product valid sampling method to poll the analysis in this case, see Antidumping Duty 18 See Volume I of the Petitions, at 3–4 and Investigation Initiation Checklist: Forged Steel ‘‘industry.’’ Exhibit I–1; see also General Issues Supplement, at Fittings from the People’s Republic of China (PRC Section 771(4)(A) of the Act defines 1 and Exhibit I–15; and Second General Issues AD Initiation Checklist), at Attachment II, Analysis Supplement, at 1–2. the ‘‘industry’’ as the producers as a of Industry Support for the Antidumping and 19 whole of a domestic like product. Thus, Countervailing Duty Petitions Covering Forged Id. For further discussion, see PRC AD Steel Fittings from the People’s Republic of China, Initiation Checklist, at Attachment II; Italy AD to determine whether a petition has the Initiation Checklist, at Attachment II; and Taiwan requisite industry support, the statute Italy, and Taiwan (Attachment II); Antidumping Duty Investigation Initiation Checklist: Forged Steel AD Initiation Checklist, at Attachment II. directs the Department to look to Fittings from Italy (Italy AD Initiation Checklist), at 20 See PRC AD Initiation Checklist, at Attachment producers and workers who produce the Attachment II; and Antidumping Duty Investigation II; Italy AD Initiation Checklist, at Attachment II; domestic like product. The International Initiation Checklist: Forged Steel Fittings from and Taiwan AD Initiation Checklist, at Attachment II. Trade Commission (ITC), which is Taiwan (Taiwan AD Initiation Checklist), at Attachment II. These checklists are dated 21 See section 732(c)(4)(D) of the Act; see also responsible for determining whether concurrently with, and hereby adopted by, this PRC AD Initiation Checklist, at Attachment II; Italy ‘‘the domestic industry’’ has been notice and on file electronically via ACCESS. AD Initiation Checklist, at Attachment II; and injured, must also determine what Access to documents filed via ACCESS is also Taiwan AD Initiation Checklist, at Attachment II. constitutes a domestic like product in available in the Central Records Unit, Room B8024 22 See PRC AD Initiation Checklist, at Attachment of the main Department of Commerce building. II; Italy AD Initiation Checklist, at Attachment II; order to define the industry. While both 17 As noted above, the petitioners submitted a and Taiwan AD Initiation Checklist, at Attachment the Department and the ITC must apply revised scope on October 19, 2017. See Revised II. the same statutory definition regarding Scope and the Appendix. 23 Id. VerDate Sep<11>2014 18:16 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00009 Fmt 4703 Sfmt 4703 E:\FR\FM\01NON1.SGM 01NON1 sradovich on DSK3GMQ082PROD with NOTICES Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Notices 50617 investigations that they are requesting Where applicable, the petitioners made using the average exchange rate that the Department initiate.24 deductions from U.S. price for obtained from the Department’s Web movement and other expenses, site for April 2017, through June 2017,37 Allegations and Evidence of Material consistent with the terms of sale.30 and from www.exchange-rates.org to Injury and Causation obtain the U.S./Mexican exchange rates Normal Value The petitioners allege that the U.S. for the period July 2017 through industry producing the domestic like With respect to the PRC, the September 2017.38 product is being materially injured, or is petitioners stated that the Department Interested parties will have the threatened with material injury, by has found this country to be a NME opportunity to submit comments reason of the imports of the subject country in prior administrative regarding surrogate country selection merchandise sold at less than normal proceedings.31 In accordance with and, pursuant to 19 CFR value (NV). In addition, the petitioners section 771(18)(C)(i) of the Act, the 351.301(c)(3)(i), will be provided an allege that subject imports exceed the presumption of NME status remains in opportunity to submit publicly available negligibility threshold provided for effect until revoked by the Department. information to value FOPs no later than under section 771(24)(A) of the Act.25 The presumption of NME status for the 30 days before the scheduled date of the The petitioners contend that the PRC has not been revoked by the preliminary determination. industry’s injured condition is Department and, therefore, remains in For Italy, the petitioners based NV on illustrated by a significant and effect for purposes of the initiation of a home market price quote obtained for increasing volume of imports from the this investigation. Accordingly, NV in ten selected forged steel fittings subject countries; reduced market share; the PRC is appropriately based on produced and sold in Italy within the underselling and price depression or factors of production (FOPs) valued in proposed POI. The petitioners adjusted suppression; and a negative impact on a surrogate market economy country, in the price quotes for a distributor markup the domestic industry’s capacity accordance with section 773(c) of the to obtain the ex-factory price.39 utilization, employment, and profits.26 Act.32 In the course of this investigation, For Taiwan, the petitioners provided We have assessed the allegations and all parties, and the public, will have the an affidavit from a foreign market supporting evidence regarding material opportunity to provide relevant researcher with a home market sales injury, threat of material injury, and information related to the granting of offer for forged steel fittings produced causation, and we have determined that separate rates to individual exporters. in, and sold or offered for sale in these allegations are properly supported The petitioners claim that Mexico is Taiwan.40 by adequate evidence, and meet the an appropriate surrogate country for the Fair Value Comparisons statutory requirements for initiation.27 PRC, because it is a market economy country that is at a level of economic Based on the data provided by the Allegations of Sales at Less Than Fair petitioners, there is reason to believe Value development comparable to that of the PRC, it is a significant producer of that imports of forged steel fittings from The following is a description of the comparable merchandise, and public the PRC, Italy, and Taiwan are being, or allegations of sales at less than fair value are likely to be, sold in the United States information from Mexico is available to upon which the Department based its at less than fair value. Based on value all material input factors.33 Based decision to initiate AD investigations of comparisons of EP to NV in accordance on the information provided by the imports of forged steel fittings from the with sections 772 and 773 of the Act, petitioners, we determine that it is PRC, Italy, and Taiwan. The sources of the estimated dumping margins for appropriate to use Mexico as a surrogate data for the deductions and adjustments forged steel fittings for each of the country for initiation purposes.34 relating to U.S. price and NV are Because information regarding the countries covered by this initiation are discussed in greater detail in the 41 volume of inputs consumed by the PRC as follows: (1) PRC—142.72 percent; country-specific initiation checklists. (2) Italy—18.66 to 80.20 percent; 42 and producers/exporters is not available, the 43 Export Price petitioners relied on the production (3) Taiwan—116.17 percent. For the PRC and Taiwan, the experience of a domestic producer of Initiation of Less-Than-Fair-Value petitioners based U.S. price on export forged steel fittings in the United States Investigations price (EP) using an average unit value as an estimate of PRC manufacturers’ 35 Based upon the examination of the (AUV) of publicly available import FOPs. The petitioners valued the AD Petitions, we find that the Petitions data.28 For Italy, the petitioners based estimated FOPs using surrogate values 36 meet the requirements of section 732 of U.S. price on EP, which they calculated from Mexico. Additionally, for the the Act. Therefore, we are initiating AD based on their own prices, reduced to surrogate values denominated in investigations to determine whether meet the price obtained by a U.S. Mexican pesos, the petitioners imports of forged steel fittings from the customer from an Italian producer.29 converted peso prices into U.S. dollars PRC, Italy, and Taiwan are being, or are likely to be, sold in the United States at 30 24 Id. See PRC AD Initiation Checklist, Italy AD less than fair value. In accordance with 25 See Volume I of the Petitions, at 10 and Exhibit Initiation Checklist and Taiwan AD Initiation I–4. Checklist. 31 37 See Volume II of the Petitions at Exhibit II–9. 26 Id. at 10–23 and Exhibits I–4 and I–7 through See Volume II of the Petitions at 1–2. 38 I–13. 32 See PRC AD Initiation Checklist. The petitioners noted that ‘‘the Department’s 33 exchange rate page {on the Department’s Web site} 27 See PRC AD Initiation Checklist, at Attachment See Volume II of the Petitions at 2 and Exhibits only goes through June 2017. We have therefore III, Analysis of Allegations and Evidence of Material II–1 and II–2. used www.exchange-rates.org to obtain the U.S./ Injury and Causation for the Antidumping and 34 See PRC AD Initiation Checklist. Mexican exchange rates. . .’’ See PRC AD Countervailing Duty Petitions Covering Forged 35 See Volume II of the Petitions at 4–6 and Supplemental Response at 2 and Exhibits II–19 Steel Fittings from the People’s Republic of China, Exhibits II–7. See also PRC AD Supplemental through II–22. Italy, and Taiwan (Attachment III); see also Italy AD Response at Exhibit II–18 and PRC AD Second 39 Initiation Checklist, at Attachment III; see also Supplemental Response. See Italy AD Initiation Checklist. 40 Taiwan AD Initiation Checklist, at Attachment III. 36 See Volume II of the Petitions at Exhibits II– See Taiwan AD Initiation Checklist. 28 See PRC Initiation Checklist and Taiwan AD 8 through II–15. see also PRC AD Supplemental 41 See PRC AD Initiation Checklist. Initiation Checklist. Response at Exhibit II–19 and PRC AD Second 42 See Italy AD Initiation Checklist. 29 See Italy AD Initiation Checklist. Supplemental Response. 43 See Taiwan AD Initiation Checklist. VerDate Sep<11>2014 18:16 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00010 Fmt 4703 Sfmt 4703 E:\FR\FM\01NON1.SGM 01NON1 sradovich on DSK3GMQ082PROD with NOTICES 50618 Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Notices section 733(b)(1)(A) of the Act and 19 respondent selection by 5:00 p.m. ET application in the PRC investigation are CFR 351.205(b)(1), unless postponed, seven calendar days after the placement outlined in detail in the application we will make our preliminary of the CBP data on the record of these itself, which is available on the determinations no later than 140 days investigations. Interested parties Department’s Web site at http:// after the date of this initiation. wishing to submit rebuttal comments enforcement.trade.gov/nme/nme-sep- Under the Trade Preferences should submit those comments five rate.html. The separate-rate application Extension Act of 2015, numerous calendar days after the deadline for will be due 30 days after publication of amendments to the AD and CVD law initial comments. this initiation notice.50 Exporters and were made.44 The 2015 law does not Comments must be filed producers who submit a separate-rate specify dates of application for those electronically using ACCESS. An application and have been selected as amendments. On August 6, 2015, the electronically-filed document must be mandatory respondents will be eligible Department published an interpretative received successfully, in its entirety, by for consideration for separate-rate status rule, in which it announced the ACCESS no later than 5:00 p.m. ET on only if they timely respond to all parts applicability dates for each amendment the date noted above. If respondent of the Department’s AD questionnaire as to the Act, except for amendments selection is necessary, within 20 days of mandatory respondents. The contained in section 771(7) of the Act, publication of this notice, we intend to Department requires that companies which relate to determinations of make our decisions regarding from the PRC submit a response to both material injury by the ITC.45 The respondent selection based upon the Q&V questionnaire and the separate- amendments to sections 771(15), 773, comments received from interested rate application by the respective 776, and 782 of the Act are applicable parties and our analysis of the record deadlines in order to receive to all determinations made on or after information. consideration for separate-rate status. August 6, 2015, and, therefore, apply to With respect to the PRC, the Companies not filing a timely Q&V these AD investigations.46 petitioners named 14 producers/ response will not receive separate-rate exporters of forged steel fittings from the consideration. Respondent Selection PRC.48 In accordance with our standard The petitioners named six companies practice for respondent selection in AD Use of Combination Rates in Italy and three companies in Taiwan, cases involving NME countries, we The Department will calculate as producers/exporters of forged steel intend to issue quantity and value combination rates for certain fittings.47 Following standard practice (Q&V) questionnaires to producers/ respondents that are eligible for a in AD investigations involving market exporters of merchandise subject to this separate rate in an NME investigation. economy countries, in the event the investigation and, in the event the The Separate Rates and Combination Department determines that the number Department determines that the number Rates Bulletin states: of companies for any one market of companies is large, base respondent {w}hile continuing the practice of economy country is large, the selection on the responses received. For assigning separate rates only to exporters, all Department intends to review U.S. this investigation, the Department will separate rates that the Department will now Customs and Border Protection (CBP) request Q&V information from known assign in its NME Investigation will be data for U.S. imports of forged steel exporters and producers identified with specific to those producers that supplied the fittings during the respective POI under complete contact information in the exporter during the period of investigation. Petitions. In addition, the Department Note, however, that one rate is calculated for the appropriate Harmonized Tariff the exporter and all of the producers which Schedule of the United States will post the Q&V questionnaires along supplied subject merchandise to it during the subheadings, and if it determines that it with filing instructions on Enforcement period of investigation. This practice applies cannot individually examine each and Compliance’s Web site at http:// both to mandatory respondents receiving an company based upon the Department’s www.trade.gov/enforcement/news.asp. individually calculated separate rate as well resources, then the Department will Producers/exporters of forged steel as the pool of non-investigated firms select respondents based on that data. fittings from the PRC that do not receive receiving the weighted-average of the individually calculated rates. This practice is We intend to release CBP data under Q&V questionnaires by mail may still submit a response to the Q&V referred to as the application of ‘‘combination Administrative Protective Order (APO) rates’’ because such rates apply to specific to all parties with access to information questionnaire and can obtain a copy of combinations of exporters and one or more protected by APO within five business the Q&V questionnaire from producers. The cash-deposit rate assigned to days of the announcement of the Enforcement & Compliance’s Web site. an exporter will apply only to merchandise initiation of these investigations. The Q&V response must be submitted both exported by the firm in question and by the relevant PRC exporters/producers produced by a firm that supplied the exporter Interested parties must submit 51 applications for disclosure under APO no later than 5:00 p.m. ET on November during the period of investigation. in accordance with 19 CFR 351.305(b). 9, 2017. All Q&V responses must be Distribution of Copies of the Petitions filed electronically via ACCESS. Instructions for filing such applications In accordance with section may be found on the Department’s Web Separate Rates 732(b)(3)(A) of the Act and 19 CFR site at http://enforcement.trade.gov/apo. In order to obtain separate-rate status 351.202(f), copies of the public version Interested parties may submit of the Petitions have been provided to comments regarding the CBP data and in an NME investigation, exporters and producers must submit a separate-rate the governments of the PRC, Italy, and 49 Taiwan via ACCESS. To the extent 44 See Trade Preferences Extension Act of 2015, application. The specific requirements Public Law No. 114–27, 129 Stat. 362 (2015). for submitting a separate-rate practicable, we will attempt to provide 45 See Dates of Application of Amendments to the a copy of the public version of the Antidumping and Countervailing Duty Laws Made 48 See Volume I of the Petitions at Exhibit I–3. by the Trade Preferences Extension Act of 2015, 80 49 See Policy Bulletin 05.1: Separate-Rates 50 Although in past investigations this deadline FR 46793 (August 6, 2015). Practice and Application of Combination Rates in was 60 days, consistent with 19 CFR 351.301(a), 46 Id. at 46794–95. The 2015 amendments may be Antidumping Investigation involving Non-Market which states that ‘‘the Secretary may request any found at: https://www.congress.gov/bill/114th- Economy Countries (April 5, 2005), available at person to submit factual information at any time congress/house-bill/1295/text/pl. http://enforcement.trade.gov/policy/bull05-1.pdf during a proceeding,’’ this deadline is now 30 days. 47 See Volume I of the Petitions at Exhibit I–3. (Policy Bulletin 05.1). 51 See Policy Bulletin 05.1 at 6 (emphasis added). VerDate Sep<11>2014 18:16 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00011 Fmt 4703 Sfmt 4703 E:\FR\FM\01NON1.SGM 01NON1 sradovich on DSK3GMQ082PROD with NOTICES Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Notices 50619 Petitions to each exporter named in the request will be considered untimely if it in these investigations should ensure Petitions, as provided under 19 CFR is filed after the expiration of the time that they meet the requirements of these 351.203(c)(2). limit established under 19 CFR 351.301. procedures (e.g., the filing of letters of For submissions that are due from ITC Notification appearance as discussed at 19 CFR multiple parties simultaneously, an 351.103(d)). We will notify the ITC of our extension request will be considered This notice is issued and published initiation, as required by section 732(d) untimely if it is filed after 10:00 a.m. ET of the Act. on the due date. Under certain pursuant to sections 732(c)(2) and 777(i) circumstances, we may elect to specify of the Act, and 19 CFR 351.203(c). Preliminary Determinations by the ITC a different time limit by which Dated: October 25, 2017. The ITC will preliminarily determine, extension requests will be considered Gary Taverman, within 45 days after the date on which untimely for submissions which are due Deputy Assistant Secretary for Antidumping the Petitions were filed, whether there from multiple parties simultaneously. In and Countervailing Duty Operations, is a reasonable indication that imports such a case, we will inform parties in performing the non-exclusive functions and of forged steel fittings from the PRC, the letter or memorandum setting forth duties of the Assistant Secretary for Italy, and/or Taiwan, are materially the deadline (including a specified time) Enforcement and Compliance. injuring, or threatening material injury by which extension requests must be to, a U.S. industry.52 A negative ITC filed to be considered timely. An Appendix determination for any country will extension request must be made in a Scope of the Investigations result in the investigation being separate, stand-alone submission; under The merchandise covered by these terminated with respect to that limited circumstances we will grant country.53 Otherwise, these investigations is carbon and alloy forged steel untimely-filed requests for the extension fittings, whether unfinished (commonly investigations will proceed according to of time limits. Parties should review statutory and regulatory time limits. known as blanks or rough forgings) or Extension of Time Limits; Final Rule, 78 finished. Such fittings are made in a variety Submission of Factual Information FR 57790 (September 20, 2013), of shapes including, but not limited to, available at http://www.gpo.gov/fdsys/ Factual information is defined in 19 elbows, tees, crosses, laterals, couplings, pkg/FR-2013-09-20/html/2013- reducers, caps, plugs, bushings and unions. CFR 351.102(b)(21) as: (i) Evidence 22853.htm, prior to submitting factual submitted in response to questionnaires; Forged steel fittings are covered regardless of information in these investigations. end finish, whether threaded, socket-weld or (ii) evidence submitted in support of other end connections. allegations; (iii) publicly available Certification Requirements While these fittings are generally information to value factors under 19 Any party submitting factual manufactured to specifications ASME CFR 351.408(c) or to measure the information in an AD or CVD B16.11, MSS SP–79, and MSS SP–83, ASTM adequacy of remuneration under 19 CFR proceeding must certify to the accuracy A105, ASTM A350 and ASTM A182, the 56 351.511(a)(2); (iv) evidence placed on and completeness of that information. scope is not limited to fittings made to these the record by the Department; and (v) Parties are hereby reminded that revised specifications. evidence other than factual information certification requirements are in effect The term forged is an industry term used described in (i)–(iv). 19 CFR 351.301(b) for company/government officials, as to describe a class of products included in 57 requires any party, when submitting well as their representatives. applicable standards, and does not reference factual information, to specify under Investigations initiated on the basis of an exclusive manufacturing process. Forged which subsection of 19 CFR petitions filed on or after August 16, steel fittings are not manufactured from 351.102(b)(21) the information is being 2013, and other segments of any AD or casting. Pursuant to the applicable standards, 54 submitted and, if the information is CVD proceedings initiated on or after fittings may also be machined from bar stock submitted to rebut, clarify, or correct August 16, 2013, should use the formats or machined from seamless pipe and tube. factual information already on the for the revised certifications provided in All types of fittings are included in the record, to provide an explanation 19 CFR 351.303(g). The Department scope regardless of nominal pipe size (which identifying the information already on intends to reject factual submissions if may or may not be expressed in inches of the record that the factual information the submitting party does not comply nominal pipe size), pressure rating (usually, seeks to rebut, clarify, or correct.55 Time with applicable revised certification but not necessarily expressed in pounds of limits for the submission of factual requirements. pressure, e.g., 2,000 or 2M; 3,000 or 3M; information are addressed in 19 CFR Notification to Interested Parties 6,000 or 6M; 9,000 or 9M), wall thickness, 351.301, which provides specific time and whether or not heat treated. limits based on the type of factual Interested parties must submit Excluded from this scope are all fittings information being submitted. Interested applications for disclosure under APO entirely made of stainless steel. Also parties should review the regulations in accordance with 19 CFR 351.305. On excluded are flanges, butt weld fittings, and prior to submitting factual information January 22, 2008, the Department nipples. in these investigations. published Antidumping and Subject carbon and alloy forged steel Countervailing Duty Proceedings: fittings are normally entered under HTSUS Extensions of Time Limits Documents Submission Procedures; 7307.99.1000, 7307.99.3000, 7307.99.5045, Parties may request an extension of APO Procedures, 73 FR 3634 (January and 7307.99.5060. They also may be entered time limits before the expiration of a 22, 2008). Parties wishing to participate under HTSUS 7307.92.3010, 7307.92.3030, time limit established under 19 CFR 7307.92.9000, and 7326.19.0010. 351.301, or as otherwise specified by the 56 See section 782(b) of the Act. The HTSUS subheadings and Secretary. In general, an extension 57 See Certification of Factual Information to specifications are provided for convenience Import Administration during Antidumping and and customs purposes; the written Countervailing Duty Proceedings, 78 FR 42678 (July 52 See section 733(a) of the Act. 17, 2013) (Final Rule); see also frequently asked description of the scope is dispositive. 53 Id. questions regarding the Final Rule, available at [FR Doc. 2017–23760 Filed 10–31–17; 8:45 am] 54 See 19 CFR 351.301(b). http://enforcement.trade.gov/tlei/notices/factual_ 55 See 19 CFR 351.301(b)(2). info_final_rule_FAQ_07172013.pdf. BILLING CODE 3510–DS–P VerDate Sep<11>2014 18:16 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00012 Fmt 4703 Sfmt 9990 E:\FR\FM\01NON1.SGM 01NON1 sradovich on DSK3GMQ082PROD with NOTICES 50620 Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Notices DEPARTMENT OF COMMERCE notice and to make our decision Quantity and Value Questionnaire for regarding respondent selection within purposes of respondent selection, in International Trade Administration 21 days of publication of the initiation general each company must report Federal Register notice. Therefore, we volume and value data separately for Antidumping or Countervailing Duty encourage all parties interested in itself. Parties should not include data Order, Finding, or Suspended commenting on respondent selection to for any other party, even if they believe Investigation; Opportunity To Request submit their APO applications on the they should be treated as a single entity Administrative Review date of publication of the initiation with that other party. If a company was AGENCY: Enforcement and Compliance, notice, or as soon thereafter as possible. collapsed with another company or International Trade Administration, The Department invites comments companies in the most recently Department of Commerce. regarding the CBP data and respondent completed segment of a proceeding FOR FURTHER INFORMATION CONTACT: selection within five days of placement where the Department considered Brenda E. Waters, Office of AD/CVD of the CBP data on the record of the collapsing that entity, complete quantity Operations, Customs Liaison Unit, review. and value data for that collapsed entity Enforcement and Compliance, In the event the Department decides must be submitted. International Trade Administration, it is necessary to limit individual Deadline for Withdrawal of Request for U.S. Department of Commerce, 1401 examination of respondents and Administrative Review Constitution Avenue NW., Washington, conduct respondent selection under Pursuant to 19 CFR 351.213(d)(1), a DC 20230, telephone: (202) 482–4735. section 777A(c)(2) of the Act: In general, the Department finds that party that requests a review may Background determinations concerning whether withdraw that request within 90 days of Each year during the anniversary particular companies should be the date of publication of the notice of month of the publication of an ‘‘collapsed’’ (i.e., treated as a single initiation of the requested review. The antidumping or countervailing duty entity for purposes of calculating regulation provides that the Department order, finding, or suspended antidumping duty rates) require a may extend this time if it is reasonable investigation, an interested party, as substantial amount of detailed to do so. In order to provide parties defined in section 771(9) of the Tariff information and analysis, which often additional certainty with respect to Act of 1930, as amended (the Act), may require follow-up questions and when the Department will exercise its request, in accordance with 19 CFR analysis. Accordingly, the Department discretion to extend this 90-day 351.213, that the Department of will not conduct collapsing analyses at deadline, interested parties are advised Commerce (the Department) conduct an the respondent selection phase of a that, with regard to reviews requested administrative review of that review and will not collapse companies on the basis of anniversary months on antidumping or countervailing duty at the respondent selection phase unless or after November 2017, the Department order, finding, or suspended there has been a determination to does not intend to extend the 90-day investigation. collapse certain companies in a deadline unless the requestor All deadlines for the submission of previous segment of this antidumping demonstrates that an extraordinary comments or actions by the Department proceeding (i.e., investigation, circumstance prevented it from discussed below refer to the number of administrative review, new shipper submitting a timely withdrawal request. calendar days from the applicable review or changed circumstances Determinations by the Department to starting date. review). For any company subject to a extend the 90-day deadline will be review, if the Department determined, made on a case-by-case basis. Respondent Selection or continued to treat, that company as The Department is providing this In the event the Department limits the collapsed with others, the Department notice on its Web site, as well as in its number of respondents for individual will assume that such companies ‘‘Opportunity to Request Administrative examination for administrative reviews continue to operate in the same manner Review’’ notices, so that interested initiated pursuant to requests made for and will collapse them for respondent parties will be aware of the manner in the orders identified below, the selection purposes. Otherwise, the which the Department intends to Department intends to select Department will not collapse companies exercise its discretion in the future. respondents based on U.S. Customs and for purposes of respondent selection. OPPORTUNITY TO REQUEST A REVIEW: Not Border Protection (CBP) data for U.S. Parties are requested to (a) identify later than the last day of November imports during the period of review. We which companies subject to review 2017,1 interested parties may request intend to release the CBP data under previously were collapsed, and (b) administrative review of the following Administrative Protective Order (APO) provide a citation to the proceeding in orders, findings, or suspended to all parties having an APO within five which they were collapsed. Further, if investigations, with anniversary dates in days of publication of the initiation companies are requested to complete a November for the following periods: Period of review Antidumping Duty Proceedings BRAZIL: Circular Welded Non-Alloy Steel Pipe A–351–809 ...... 11/1/16–10/31/17 INDIA: Welded Stainless Pressure Pipe A–533–867 ...... 5/10/16–10/31/17 INDONESIA: Certain Coated Paper Suitable for High-Quality Print Graphics Using Sheet-Fed Presses A–560–823 ...... 11/1/16–10/31/17 Monosodium Glutamate A–560–826 ...... 11/1/16–10/31/17 MEXICO: 1 Or the next business day, if the deadline falls on a weekend, federal holiday or any other day when the Department is closed. VerDate Sep<11>2014 18:16 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00013 Fmt 4703 Sfmt 4703 E:\FR\FM\01NON1.SGM 01NON1 sradovich on DSK3GMQ082PROD with NOTICES Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Notices 50621 Period of review Certain Circular Welded Non-Alloy Steel Pipe A–201–805 ...... 11/1/16–10/31/17 Seamless Refined Copper Pipe and Tube A–201–838 ...... 11/1/16–10/31/17 Steel Concrete Reinforcing Bar A–201–844 ...... 11/1/16–10/31/17 REPUBLIC OF KOREA: Certain Circular Welded Non-Alloy Steel Pipe A–580–809 11/1/16–10/31/17 TAIWAN: Certain Circular Welded Non-Alloy Steel Pipe A–583–814 ...... 11/1/16–10/31/17 Certain Hot-Rolled Carbon Steel Flat Products A–583–835 ...... 11/1/16–10/31/17 THAILAND: Certain Hot-Rolled Carbon Steel Flat Products A–549–817 ...... 11/1/16–10/31/17 THE PEOPLE’S REPUBLIC OF CHINA: Certain Cut-To-Length Carbon Steel A–570–849 ...... 11/1/16–10/31/17 Certain Hot-Rolled Carbon Steel Flat Products A–570–865 ...... 11/1/16–10/31/17 Coated Paper Suitable for High-Quality Print Graphics Using Sheet-Fed Presses A–570–958 ...... 11/1/16–10/31/17 Diamond Sawblades and Parts Thereof A–570–900 ...... 11/1/16–10/31/17 Fresh Garlic A–570–831 ...... 11/1/16–10/31/17 Lightweight Thermal Paper A–570–920 ...... 11/1/16–10/31/17 Monosodium Glutamate A–570–992 ...... 11/1/16–10/31/17 Paper Clips A–570–826 ...... 11/1/16–10/31/17 Polyethylene Terephthalate (Pet) Film A–570–924 ...... 11/1/16–10/31/17 Pure Magnesium in Granular Form A–570–864 ...... 11/1/16–10/31/17 Refined Brown Aluminum Oxide A–570–882 ...... 11/1/16–10/31/17 Seamless Carbon and Alloy Steel Standard, Line, and Pressure Pipe A–570–956 ...... 11/1/16–10/31/17 Seamless Refined Copper Pipe and Tube A–570–964 ...... 11/1/16–10/31/17 UKRAINE: Certain Hot-Rolled Carbon Steel Flat Products A–823–811 ...... 11/1/16–10/31/17 UNITED ARAB EMIRATES: Polyethylene Terephthalate (Pet) Film A–520–803 ...... 11/1/16–10/31/17 Countervailing Duty Proceedings: INDIA: Welded Stainless Pressure Pipe C–533–868 ...... 3/11/16–12/31/16 INDONESIA: Certain Coated Paper Suitable for High-Quality Print Graphics Using Sheet-Fed Presses C–560–824 ...... 1/1/16–12/31/16 THE PEOPLE’S REPUBLIC OF CHINA: Certain Coated Paper Suitable for High-Quality Print Graphics Using Sheet-Fed Presses C–570–959 ...... 1/1/16–12/31/16 Chlorinated Isocyanurates C–570–991 ...... 1/1/16–12/31/16 Lightweight Thermal Paper C–570–921 ...... 1/1/16–12/31/16 Seamless Carbon and Alloy Steel Standard, Line, and Pressure Pipe C–570–957 ...... 1/1/16–12/31/16 TURKEY: Steel Concrete Reinforcing Bar C–489–819 ...... 1/1/16–12/31/16 Suspension Agreements: UKRAINE: Certain Cut-To-Length Carbon Steel A–823–808 ...... 11/1/16–10/31/17 In accordance with 19 CFR prior segments, the Department will not merchandise subject to antidumping 351.213(b), an interested party as accept a request for an administrative findings and orders.2 defined by section 771(9) of the Act may review of that party absent new The Department no longer considers request in writing that the Secretary information as to the party’s location. the non-market economy (NME) entity conduct an administrative review. For Moreover, if the interested party who as an exporter conditionally subject to both antidumping and countervailing files a request for review is unable to an antidumping duty administrative duty reviews, the interested party must locate the producer or exporter for reviews.3 Accordingly, the NME entity specify the individual producers or which it requested the review, the will not be under review unless the exporters covered by an antidumping interested party must provide an Department specifically receives a finding or an antidumping or explanation of the attempts it made to request for, or self-initiates, a review of countervailing duty order or suspension locate the producer or exporter at the the NME entity.4 In administrative agreement for which it is requesting a same time it files its request for review, reviews of antidumping duty orders on review. In addition, a domestic in order for the Secretary to determine merchandise from NME countries where interested party or an interested party if the interested party’s attempts were a review of the NME entity has not been described in section 771(9)(B) of the Act reasonable, pursuant to 19 CFR initiated, but where an individual must state why it desires the Secretary 351.303(f)(3)(ii). exporter for which a review was to review those particular producers or As explained in Antidumping and initiated does not qualify for a separate exporters. If the interested party intends Countervailing Duty Proceedings: rate, the Department will issue a final for the Secretary to review sales of Assessment of Antidumping Duties, 68 decision indicating that the company in merchandise by an exporter (or a FR 23954 (May 6, 2003), and Non- question is part of the NME entity. producer if that producer also exports Market Economy Antidumping 2 See also the Enforcement and Compliance Web merchandise from other suppliers) Proceedings: Assessment of site at http://trade.gov/enforcement/. which was produced in more than one Antidumping Duties, 76 FR 65694 3 See Antidumping Proceedings: Announcement country of origin and each country of (October 24, 2011), the Department of Change in Department Practice for Respondent origin is subject to a separate order, then clarified its practice with respect to the Selection in Antidumping Duty Proceedings and Conditional Review of the Nonmarket Economy the interested party must state collection of final antidumping duties Entity in NME Antidumping Duty Proceedings, 78 specifically, on an order-by-order basis, on imports of merchandise where FR 65963 (November 4, 2013). which exporter(s) the request is intermediate firms are involved. The 4 In accordance with 19 CFR 351.213(b)(1), parties intended to cover. public should be aware of this should specify that they are requesting a review of entries from exporters comprising the entity, and to Note that, for any party the clarification in determining whether to the extent possible, include the names of such Department was unable to locate in request an administrative review of exporters in their request. VerDate Sep<11>2014 18:16 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00014 Fmt 4703 Sfmt 4703 E:\FR\FM\01NON1.SGM 01NON1 sradovich on DSK3GMQ082PROD with NOTICES 50622 Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Notices However, in that situation, because no Dated: October 17, 2017. determination. Under 19 CFR review of the NME entity was James Maeder, 351.205(e), the petitioner must submit a conducted, the NME entity’s entries Senior Director perfoming the duties of request for postponement 25 days or were not subject to the review and the Deputy Assistant Secretary for Antidumping more before the scheduled date of the rate for the NME entity is not subject to and Countervailing Duty Operations. preliminary determination and must change as a result of that review [FR Doc. 2017–23761 Filed 10–31–17; 8:45 am] state the reasons for the request. The (although the rate for the individual BILLING CODE 3510–DS–P Department will grant the request unless exporter may change as a function of the it finds compelling reasons to deny the finding that the exporter is part of the request. See 19 CFR 351.205(e). NME entity). DEPARTMENT OF COMMERCE Following initiation of an On October 11, 2017, Archer Daniels antidumping administrative review International Trade Administration Midland Company (ADM); Cargill when there is no review requested of the [A–423–813, A–301–803, A–549–833] Incorporated (Cargill); and Tate & Lyle NME entity, the Department will Ingredients America LLC (Tate & Lyle) instruct CBP to liquidate entries for all Citric Acid and Certain Citrate Salts (collectively, the petitioners) submitted exporters not named in the initiation From Belgium, Colombia, and timely requests pursuant to section notice, including those that were Thailand: Postponement of Preliminary 703(c)(1)(A) of the Act and 19 CFR suspended at the NME entity rate. Determinations of Less-Than-Fair- 351.205(e) to postpone the preliminary All requests must be filed Value Investigations determinations in these LTFV electronically in Enforcement and investigations.2 The petitioners stated AGENCY: Enforcement and Compliance, Compliance’s Antidumping and that they request postponement because Countervailing Duty Centralized International Trade Administration, Department of Commerce. the Department is still gathering data Electronic Service System (ACCESS) on and questionnaire responses from the Enforcement and Compliance’s ACCESS DATES: Applicable November 1, 2017. foreign producers in these Web site at http://access.trade.gov.5 FOR FURTHER INFORMATION CONTACT: Paul investigations, and additional time is Further, in accordance with 19 CFR Stolz at (202) 482–4474 (Belgium); necessary for the Department and 351.303(f)(l)(i), a copy of each request Stephanie Moore at (202) 482–3692 interested parties to fully and properly must be served on the petitioner and (Colombia); and Joy Zhang at (202) 482– analyze all questionnaire responses. each exporter or producer specified in 1168 (Thailand), AD/CVD Operations, the request. Enforcement and Compliance, U.S. For the reasons stated above and The Department will publish in the Department of Commerce, 1401 because there are no compelling reasons Federal Register a notice of ‘‘Initiation Constitution Avenue NW., Washington, to deny the request, the Department, in of Administrative Review of DC 20230. accordance with section 733(c)(1)(A) of Antidumping or Countervailing Duty SUPPLEMENTARY INFORMATION: the Act, is postponing the deadline for Order, Finding, or Suspended the preliminary determinations by 50 Investigation’’ for requests received by Background days (i.e., 190 days after the date on the last day of November 2017. If the On June 22, 2017, the Department of which these investigations were Department does not receive, by the last Commerce (the Department) initiated initiated). As a result, the Department day of November 2017, a request for less-than-fair- value (LTFV) will issue its preliminary review of entries covered by an order, investigations of imports of citric acid determinations no later than December finding, or suspended investigation and certain citrate salts (citric acid) from 29, 2017. In accordance with section listed in this notice and for the period Belgium, Colombia, and Thailand.1 735(a)(1) of the Act and 19 CFR identified above, the Department will Currently, the preliminary 351.210(b)(1), the deadline for the final instruct CBP to assess antidumping or determinations are due no later than determinations of these investigations countervailing duties on those entries at November 9, 2017. will continue to be 75 days after the a rate equal to the cash deposit of (or Section 733(b)(1)(A) of the Tariff Act date of publication of the preliminary of 1930, as amended (the Act), requires bond for) estimated antidumping or determinations, unless postponed at a countervailing duties required on those the Department to issue the preliminary later date. entries at the time of entry, or determination in a LTFV investigation withdrawal from warehouse, for within 140 days after the date on which This notice is issued and published consumption and to continue to collect the Department initiated the pursuant to section 733(c)(2) of the Act the cash deposit previously ordered. investigation. However, section and 19 CFR 351.205(f)(1). For the first administrative review of 733(c)(1)) of the Act permits the Dated: October 20, 2017. any order, there will be no assessment Department to postpone the preliminary Carole Showers, of antidumping or countervailing duties determination until no later than 190 on entries of subject merchandise days after the date on which the Executive Director, Office of Policy entered, or withdrawn from warehouse, Department initiated the investigation performing the duties of the Deputy Assistant Secretary for Enforcement and Compliance. for consumption during the relevant if: (A) The petitioner makes a timely provisional-measures ‘‘gap’’ period of request for a postponement; or (B) the [FR Doc. 2017–23753 Filed 10–31–17; 8:45 am] the order, if such a gap period is Department concludes that the parties BILLING CODE 3510–DS–P applicable to the period of review. concerned are cooperating, that the This notice is not required by statute investigation is extraordinarily but is published as a service to the complicated, and that additional time is international trading community. necessary to make a preliminary 2 See letters from the petitioners, ‘‘Antidumping Duty Investigations of Citric Acid and Certain 5 See Antidumping and Countervailing Duty 1 See Citric Acid and Certain Citrate Salts From Citrate Salts From Belgium, Colombia and Proceedings: Electronic Filing Procedures; Belgium, Colombia, and Thailand: Initiation of Thailand: Petitioners’ Request for Postponement of Administrative Protective Order Procedures, 76 FR Less-Than-Fair-Value Investigations, 82 FR 29828 Preliminary Determinations,’’ dated October 11, 39263 (July 6, 2011). (June 30, 2017). 2017. VerDate Sep<11>2014 18:16 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00015 Fmt 4703 Sfmt 9990 E:\FR\FM\01NON1.SGM 01NON1 sradovich on DSK3GMQ082PROD with NOTICES Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Notices 50623 DEPARTMENT OF COMMERCE responses to these requests on October Comments on Scope of the Investigation 4 11, 12 and 18, 2017, respectively. The During our review of the Petition, the International Trade Administration petitioners filed revised scope language Department issued questions to, and 5 [C–570–068] on October 19, 2017. received responses from, the petitioners In accordance with section 702(b)(1) pertaining to the proposed scope to Forged Steel Fittings From the of the Tariff Act of 1930, as amended ensure that the scope language in the People’s Republic of China: Initiation (the Act), the petitioners allege that the Petition would be an accurate reflection of Countervailing Duty Investigation Government of the PRC is providing of the products for which the domestic countervailable subsidies, within the industry is seeking relief.7 AGENCY: Enforcement and Compliance, meaning of sections 701 and 771(5) of As discussed in the preamble to the International Trade Administration, the Act, to imports of forged steel Department’s regulations, we are setting Department of Commerce. fittings from the PRC, and that such aside a period for interested parties to DATES: Applicable November 1, 2017. imports are materially injuring, or raise issues regarding product coverage FOR FURTHER INFORMATION CONTACT: threatening material injury to, the (scope).8 The Department will consider Brian Smith at (202) 482–1766 or Jaron domestic industry producing forged all comments received from interested Moore at (202) 482–3640, AD/CVD steel fittings in the United States. Also, parties and, if necessary, will consult Operations, Enforcement and consistent with section 702(b)(1) of the with the interested parties prior to the Compliance, International Trade Act and 19 CFR 351.202(b), for those issuance of the preliminary Administration, U.S. Department of alleged programs on which we are determination. If scope comments initiating a CVD investigation, the Commerce, 1401 Constitution Avenue include factual information,9 all such Petition is accompanied by information NW., Washington, DC 20230. factual information should be limited to reasonably available to the petitioners SUPPLEMENTARY INFORMATION: public information. To facilitate supporting their allegations. preparation of its questionnaires, the The Petition The Department finds that the Department requests that all interested petitioners filed the Petition on behalf of On October 5, 2017, the U.S. parties submit such comments by 5:00 the domestic industry because the p.m. Eastern Time (ET) on Tuesday, Department of Commerce (the petitioners are interested parties as Department) received a countervailing November 14, 2017, which is 20 defined in sections 771(9)(C) and (D) of calendar days from the signature date of duty (CVD) Petition concerning imports the Act. The Department also finds that of forged steel fittings from the People’s this notice. Any rebuttal comments, the petitioners demonstrated sufficient which may include factual information, Republic of China (the PRC), filed in industry support with respect to the proper form on behalf of Bonney Forge must be filed by 5:00 p.m. ET on Friday, initiation of the CVD investigation that November 24, 2017, which is 10 Corporation and the United Steel, Paper the petitioners are requesting.6 and Forestry, Rubber, Manufacturing, calendar days from the initial comments 10 Energy, Allied Industrial and Service Period of Investigation deadline. Workers International Union Because the Petition was filed on The Department requests that any (collectively, the petitioners). The CVD October 5, 2017, the period of factual information the parties consider Petition was accompanied by investigation (POI) is January 1, 2016, relevant to the scope of the investigation antidumping duty (AD) Petitions through December 31, 2016. be submitted during this time period. concerning imports of forged steel However, if a party subsequently finds Scope of the Investigation fittings from the PRC, Italy, and that additional factual information Taiwan.1 The petitioners consist of a The product covered by this pertaining to the scope of the domestic producer of forged steel investigation is forged steel fittings from investigation may be relevant, the party fittings and a certified union that the PRC. For a full description of the may contact the Department and request represents workers produce forged steel scope of this investigation, see the permission to submit the additional fittings.2 ‘‘Scope of the Investigation,’’ in the information. All scope comments must On October 6, 10, and 17, 2017, the Appendix to this notice. be filed on the records of each of the Department requested supplemental concurrent AD and CVD investigations. information pertaining to certain areas Republic of China: Supplemental Questions’’ Filing Requirements 3 (October 17, 2017) (PRC CVD Second Supplemental of the Petition. The petitioners filed Questionnaire). All submissions to the Department 4 See Letter to the Secretary of Commerce from must be filed electronically using 1 See Letter to the Secretary of Commerce from the petitioners, ‘‘Petition for the Imposition of the petitioners re: ‘‘Petitions for the Imposition of Countervailing Duties on Imports of Forged Steel Enforcement and Compliance’s Antidumping and Countervailing Duties: Forged Fittings from the People’s Republic of China: Antidumping Duty and Countervailing Steel Fittings from the People’s Republic of China, Response to Supplemental Questions’’ (October 12, Duty Centralized Electronic Service Italy, and Taiwan’’ (October 5, 2017) (the Petitions). 2017) (PRC CVD Supplement); see also Letter to the System (ACCESS).11 An electronically 2 Id., Volume I of the Petitions, at 1 and Exhibit Secretary of Commerce from the petitioners, I–1. ‘‘Forged Steel Fittings from the People’s Republic 7 See General Issues Supplemental Questionnaire; 3 See Letter to the petitioners from the of China, Italy, and Taiwan: Response to see also General Issues Supplement. Department, ‘‘Petitions for the Imposition of Supplemental Questions—General Issues’’ (October 8 Antidumping and Countervailing Duties on Imports 11, 2017) (General Issues Supplement); and Letter See Antidumping Duties; Countervailing Duties; of Forged Steel Fittings from the People’s Republic to the Secretary of Commerce from the petitioners, Final Rule, 62 FR 27296, 27323 (May 19, 1997). of China, Italy, and Taiwan: Supplemental ‘‘Forged Steel Fittings from the People’s Republic 9 See 19 CFR 351.102(b)(21) (defining ‘‘factual Questions’’ (October 6, 2017)(General Issues of China, Italy, and Taiwan: Response to Second information’’). Supplemental Questionnaire); Letter to the Supplemental Question on Industry Support and 10 See 19 CFR 351.303(b). petitioners from the Department, ‘‘Petition for the Cumulation’’ (October 18, 2017) (Second General 11 See Antidumping and Countervailing Duty Imposition of Countervailing Duties on Imports of Issues Supplement). Proceedings: Electronic Filing Procedures; Forged Steel Fittings from the People’s Republic of 5 See Letter to the Secretary of Commerce from Administrative Protective Order Procedures, 76 FR China: Supplemental Questions’’ (October 10, 2017) the petitioners, ‘‘Forged Steel Fittings from China, 39263 (July 6, 2011), see also Enforcement and (PRC CVD Supplemental Questionnaire); and Letter Italy, and Taiwan: Revised Scope’’ (October 19, Compliance: Change of Electronic Filing System to the petitioners from the Department, ‘‘Petitions 2017). Name, 79 FR 69046 (November 20, 2014) for details for the Imposition of Countervailing Duties on 6 See ‘‘Determination of Industry Support for the of the Department’s electronic filing requirements, Imports of Forged Steel Fittings from the People’s Petition’’ section below. Continued VerDate Sep<11>2014 18:16 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00016 Fmt 4703 Sfmt 4703 E:\FR\FM\01NON1.SGM 01NON1 sradovich on DSK3GMQ082PROD with NOTICES 50624 Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Notices filed document must be received whole of a domestic like product. Thus, the Petition with reference to the successfully in its entirety by the time to determine whether a petition has the domestic like product as defined in the and date it is due. Documents exempted requisite industry support, the statute ‘‘Scope of the Investigation,’’ in the from the electronic submission directs the Department to look to Appendix of this notice. The petitioners requirements must be filed manually producers and workers who produce the provided their own production of the (i.e., in paper form) with Enforcement domestic like product. The International domestic like product in 2016 and and Compliance’s APO/Dockets Unit, Trade Commission (ITC), which is compared this to the total 2016 Room 18022, U.S. Department of responsible for determining whether production of the domestic like product Commerce, 1401 Constitution Avenue ‘‘the domestic industry’’ has been for the entire domestic industry.17 We NW., Washington, DC 20230, and injured, must also determine what relied on the data the petitioners stamped with the date and time of constitutes a domestic like product in provided for purposes of measuring receipt by the applicable deadlines. order to define the industry. While both industry support.18 the Department and the ITC must apply Consultations Our review of the data provided in the the same statutory definition regarding Petition, the supplements to the Pursuant to sections 702(b)(4)(A)(i) the domestic like product,14 they do so and (ii) of the Act, the Department for different purposes and pursuant to a Petition, and other information readily notified representatives of the separate and distinct authority. In available to the Department indicates Government of the PRC of the receipt of that the petitioners have established addition, the Department’s 19 the Petition, and provided them the determination is subject to limitations of industry support. First, the Petition opportunity for consultations with time and information. Although this established support from domestic respect to the CVD Petition.12 These may result in different definitions of the producers (or workers) accounting for consultations were held via like product, such differences do not more than 50 percent of the total teleconference on October 20, 2017.13 render the decision of either agency production of the domestic like product contrary to law.15 and, as such, the Department is not Determination of Industry Support for required to take further action in order the Petition Section 771(10) of the Act defines the domestic like product as ‘‘a product to evaluate industry support (e.g., Section 702(b)(1) of the Act requires which is like, or in the absence of like, polling).20 Second, the domestic that a petition be filed on behalf of the most similar in characteristics and uses producers (or workers) have met the domestic industry. Section 702(c)(4)(A) with, the article subject to an statutory criteria for industry support of the Act provides that a petition meets investigation under this title.’’ Thus, the under section 702(c)(4)(A)(i) of the Act this requirement if the domestic reference point from which the because the domestic producers (or producers or workers who support the domestic like product analysis begins is workers) who support the Petition petition account for: (i) At least 25 ‘‘the article subject to an investigation’’ account for at least 25 percent of the percent of the total production of the (i.e., the class or kind of merchandise to total production of the domestic like domestic like product; and (ii) more be investigated, which normally will be product.21 Finally, the domestic than 50 percent of the production of the the scope as defined in the petition). producers (or workers) have met the domestic like product produced by that With regard to the domestic like statutory criteria for industry support portion of the industry expressing product, the petitioners do not offer a under section 702(c)(4)(A)(ii) of the Act support for, or opposition to, the definition of the domestic like product because the domestic producers (or petition. Moreover, section 702(c)(4)(D) distinct from the scope of this workers) who support the Petition of the Act provides that, if the petition investigation. Based on our analysis of account for more than 50 percent of the does not establish support of domestic the information submitted on the production of the domestic like product producers or workers accounting for record, we have determined that forged produced by that portion of the industry more than 50 percent of the total steel fittings, as defined in the scope, expressing support for, or opposition to, production of the domestic like product, constitutes a single domestic like the Petition.22 Accordingly, the the Department shall: (i) Poll the product and we have analyzed industry Department determines that the Petition industry or rely on other information in support in terms of that domestic like was filed on behalf of the domestic order to determine if there is support for product.16 industry within the meaning of section the petition, as required by In determining whether the 702(b)(1) of the Act. subparagraph (A); or (ii) determine petitioners have standing under section industry support using a statistically The Department finds that the 702(c)(4)(A) of the Act, we considered valid sampling method to poll the petitioners filed the Petition on behalf of the industry support data contained in ‘‘industry.’’ the domestic industry because they are Section 771(4)(A) of the Act defines interested parties as defined in sections 14 the ‘‘industry’’ as the producers as a See section 771(10) of the Act. 771(9)(C) and (D) of the Act and they 15 See USEC, Inc. v. United States, 132 F. Supp. 2d 1, 8 (CIT 2001) (citing Algoma Steel Corp., Ltd. have demonstrated sufficient industry which went into effect on August 5, 2011. v. United States, 688 F. Supp. 639, 644 (CIT 1988), support with respect to the CVD Information on help using ACCESS can be found at aff’d 865 F.2d 240 (Fed. Cir. 1989)). https://access.trade.gov/help.aspx, and a handbook 16 For a discussion of the domestic like product 17 can be found at https://access.trade.gov/help/ See Volume I of the Petition, at 3–4 and Exhibit analysis in this case, see Countervailing Duty I–1; see also General Issues Supplement, at 1 and Handbook%20on%20Electronic%20Filling%20 Investigation Initiation Checklist: Forged Steel Procedures.pdf. Exhibit I–15; and Second General Issues Fittings from the People’s Republic of China (PRC Supplement, at 1–2. 12 See Letter to the Embassy of the People’s CVD Initiation Checklist), at Attachment II, 18 Id. For further discussion, see PRC CVD Republic of China, ‘‘Countervailing Duty Petition Analysis of Industry Support for the Antidumping Initiation Checklist, at Attachment II. on Forged Steel Fittings from the People’s Republic and Countervailing Duty Petitions Covering Forged 19 of China: Invitation for Consultations to Discuss the Steel Fittings from the People’s Republic of China, See PRC CVD Initiation Checklist, at Countervailing Duty Petition’’ (October 6, 2017). Italy, and Taiwan (Attachment II). The checklist is Attachment II. 13 See Memorandum to the File, ‘‘Consultations dated concurrently with this notice and on file 20 See section 702(c)(4)(D) of the Act; see also with Officials from the Government of China electronically via ACCESS. Access to documents PRC CVD Initiation Checklist, at Attachment II. Regarding the Countervailing Duty Petition filed via ACCESS is also available in the Central 21 See PRC CVD Initiation Checklist, at Concerning Forged Steel Fittings’’ (October 20, Records Unit, Room B8024 of the main Department Attachment II. 2017). of Commerce building. 22 Id. VerDate Sep<11>2014 18:16 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00017 Fmt 4703 Sfmt 4703 E:\FR\FM\01NON1.SGM 01NON1 sradovich on DSK3GMQ082PROD with NOTICES Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Notices 50625 investigation that they are requesting Under the Trade Preferences On October 19, 2017, the Department the Department initiate.23 Extension Act of 2015, numerous released CBP data under Administrative amendments to the AD and CVD laws Protective Order (APO) to all parties Injury Test were made.27 The 2015 law does not with access to information protected by Because the PRC is a ‘‘Subsidies specify dates of application for those APO and indicated that interested Agreement Country’’ within the amendments. On August 6, 2015, the parties wishing to comment regarding meaning of section 701(b) of the Act, Department published an interpretative the CBP data and respondent selection section 701(a)(2) of the Act applies to rule, in which it announced the must do so within three business days this investigation. Accordingly, the ITC applicability dates for each amendment of the publication date of the notice of must determine whether imports of the to the Act, except for amendments initiation of this CVD investigation.31 subject merchandise from the PRC contained in section 771(7) of the Act, The Department will not accept rebuttal materially injure, or threaten material which relate to determinations of comments regarding the CBP data or injury to, a U.S. industry. material injury by the ITC.28 The respondent selection. amendments to sections 776 and 782 of Interested parties must submit Allegations and Evidence of Material applications for disclosure under APO Injury and Causation the Act are applicable to all determinations made on or after August in accordance with 19 CFR 351.305(b). The petitioners allege that imports of 6, 2015, and, therefore, apply to this Instructions for filing such applications the subject merchandise are benefitting CVD investigation.29 may be found on the Department’s Web from countervailable subsidies and that site at http://enforcement.trade.gov/apo. such imports are causing, or threaten to Subsidy Allegations Comments must be filed cause, material injury to the U.S. Based on our review of the Petition, electronically using ACCESS. An industry producing the domestic like we find that there is sufficient electronically filed document must be product. In addition, the petitioners information to initiate a CVD received successfully, in its entirety, by allege that subject imports exceed the investigation on 23 alleged programs. ACCESS no later than 5:00 p.m. ET on negligibility threshold provided for For a full discussion of the basis for our the date noted above. We intend to under section 771(24)(A) of the Act.24 decision to initiate on each program, see finalize our decisions regarding The petitioners contend that the the PRC CVD Initiation Checklist. A respondent selection within 20 days of industry’s injured condition is public version of the initiation checklist publication of this notice. illustrated by a significant and for this investigation is available on Distribution of Copies of the Petition increasing volume of imports from the ACCESS. In accordance with section subject country; reduced market share; In accordance with section 703(b)(1) 702(b)(4)(A)(i) of the Act and 19 CFR underselling and price depression or of the Act and 19 CFR 351.205(b)(1), 351.202(f), copies of the public version suppression; and a negative impact on unless postponed, we will make our of the Petition has been provided to the the domestic industry’s capacity preliminary determination no later than Government of the PRC via ACCESS. To utilization, employment, and profits.25 65 days after the date of this initiation. We have assessed the allegations and the extent practicable, we will attempt Respondent Selection supporting evidence regarding material to provide a copy of the public version injury, threat of material injury, and The petitioners named 14 companies of the Petition to each exporter named causation, and we have determined that as producers/exporters of forged steel in the Petition, as provided under 19 these allegations are properly supported fittings in the PRC.30 The Department CFR 351.203(c)(2). by adequate evidence, and meet the intends to follow its standard practice in ITC Notification 26 statutory requirements for initiation. CVD investigations and calculate We will notify the ITC of our company-specific subsidy rates in this Initiation of CVD Investigation initiation, as required by section 702(d) investigation. In the event the of the Act. Based on the examination of the CVD Department determines that the number Petition, we find that the Petition meets of companies is large and it cannot Preliminary Determination by the ITC the requirements of section 702 of the individually examine each company The ITC will preliminarily determine, Act. Therefore, we are initiating a CVD based upon the Department’s resources, within 45 days after the date on which investigation to determine whether where appropriate, the Department the Petition was filed, whether there is imports of forged steel fittings from the intends to select mandatory respondents a reasonable indication that imports of PRC benefit from countervailable based on U.S. Customs and Border forged steel fittings from the PRC are subsidies conferred by the Government Protection (CBP) data for U.S. imports of materially injuring, or threatening of the PRC. In accordance with section forged steel fittings from the PRC during material injury to, a U.S. industry.32 A 703(b)(1) of the Act and 19 CFR the POI under the appropriate negative ITC determination will result 351.205(b)(1), unless postponed, we will Harmonized Tariff Schedule of the in the investigation being terminated.33 make our preliminary determination no United States numbers listed in the Otherwise, this investigation will later than 65 days after the date of this ‘‘Scope of the Investigation,’’ in the proceed according to statutory and initiation. Appendix. regulatory time limits. 23 Id. 27 See Trade Preferences Extension Act of 2015, Submission of Factual Information 24 See Volume I of the Petition, at 10 and Exhibit Public Law 114–27, 129 Stat. 362 (2015). Factual information is defined in 19 I–4. 28 See Dates of Application of Amendments to the CFR 351.102(b)(21) as: (i) Evidence 25 Id. at 10–23 and Exhibits I–4 and I–7 through Antidumping and Countervailing Duty Laws Made submitted in response to questionnaires; I–13. by the Trade Preferences Extension Act of 2015, 80 26 See PRC CVD Initiation Checklist, at FR 46793 (August 6, 2015) (Applicability Notice). Attachment III, Analysis of Allegations and The 2015 amendments may be found at https:// 31 See Memorandum, ‘‘Forged Steel Fittings from Evidence of Material Injury and Causation for the www.congress.gov/bill/114th-congress/house-bill/ the PRC: U.S. Customs Data for Respondent Antidumping and Countervailing Duty Petitions 1295/text/pl. Selection’’ (October 19, 2017). Covering Forged Steel Fittings from the People’s 29 See Applicability Notice, 80 FR at 46794–95. 32 See section 703(a)(2) of the Act. Republic of China, Italy, and Taiwan. 30 See Volume I of the Petition at Exhibit I–3. 33 See section 703(a)(1) of the Act. VerDate Sep<11>2014 18:16 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00018 Fmt 4703 Sfmt 4703 E:\FR\FM\01NON1.SGM 01NON1 sradovich on DSK3GMQ082PROD with NOTICES 50626 Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Notices (ii) evidence submitted in support of Certification Requirements B16.11, MSS SP–79, and MSS SP–83, ASTM A105, ASTM A350 and ASTM A182, the allegations; (iii) publicly available Any party submitting factual information to value factors under 19 scope is not limited to fittings made to these information in an AD or CVD specifications. CFR 351.408(c) or to measure the proceeding must certify to the accuracy The term forged is an industry term used adequacy of remuneration under 19 CFR and completeness of that information.36 to describe a class of products included in 351.511(a)(2); (iv) evidence placed on Parties are hereby reminded that revised applicable standards, and does not reference the record by the Department; and (v) certification requirements are in effect an exclusive manufacturing process. Forged evidence other than factual information for company/government officials, as steel fittings are not manufactured from described in (i)–(iv). 19 CFR 351.301(b) well as their representatives.37 casting. Pursuant to the applicable standards, requires any party, when submitting fittings may alsobe machined from bar stock Investigations initiated on the basis of or machined from seamless pipe and tube. factual information, to specify under the petition filed on or after August 16, All types of fittings are included in the which subsection of 19 CFR 2013, and other segments of any AD or scope regardless of nominal pipe size (which 351.102(b)(21) the information is being CVD proceedings initiated on or after may or may not be expressed in inches of submitted 34 and, if the information is August 16, 2013, should use the formats nominal pipe size), pressure rating (usually, submitted to rebut, clarify, or correct for the revised certifications provided in but not necessarily expressed in pounds of factual information already on the 19 CFR 351.303(g). The Department pressure, e.g., 2,000 or 2M; 3,000 or 3M; record, to provide an explanation intends to reject factual submissions if 6,000 or 6M; 9,000 or 9M), wall thickness, the submitting party does not comply and whether or not heat treated. identifying the information already on Excluded from this scope are all fittings the record that the factual information with the applicable revised certification entirely made of stainless steel. Also seeks to rebut, clarify, or correct.35 Time requirements. excluded are flanges, butt weld fittings, and limits for the submission of factual Notification to Interested Parties nipples. information are addressed in 19 CFR Subject carbon and alloy forged steel 351.301, which provides specific time Interested parties must submit fittings are normally entered under HTSUS applications for disclosure under APO 7307.99.1000, 7307.99.3000, 7307.99.5045, limits based on the type of factual in accordance with 19 CFR 351.305. On and 7307.99.5060. They also may be entered information being submitted. Interested January 22, 2008, the Department under HTSUS 7307.92.3010, 7307.92.3030, parties should review the regulations published Antidumping and 7307.92.9000, and 7326.19.0010. prior to submitting factual information Countervailing Duty Proceedings: The HTSUS subheadings and in this investigation. specifications are provided for convenience Documents Submission Procedures; and customs purposes; the written Extensions of Time Limits APO Procedures, 73 FR 3634 (January description of the scope is dispositive. 22, 2008). Parties wishing to participate [FR Doc. 2017–23759 Filed 10–31–17; 8:45 am] Parties may request an extension of in this investigation should ensure that time limits before the expiration of a they meet the requirements of these BILLING CODE 3510–DS–P time limit established under 19 CFR procedures (e.g., the filing of letters of 351.301, or as otherwise specified by the appearance as discussed at 19 CFR DEPARTMENT OF COMMERCE Secretary. In general, an extension 351.103(d)). request will be considered untimely if it This notice is issued and published National Institute of Standards and is filed after the expiration of the time pursuant to sections 702 and 777(i) of Technology limit established under 19 CFR 351.301. the Act, and 19 CFR 351.203(c). For submissions that are due from Dated: October 25, 2017. Notice of Localization and Tracking multiple parties simultaneously, an Gary Taverman, System Testing Consortium extension request will be considered Deputy Assistant Secretary for Antidumping AGENCY: National Institute of Standards untimely if it is filed after 10:00 a.m. ET and Countervailing Duty Operations, and Technology, Commerce. on the due date. Under certain performing the non-exclusive functions and ACTION: Notice of Research Consortium. circumstances, we may elect to specify duties of the Assistant Secretary for a different time limit by which Enforcement and Compliance. SUMMARY: The National Institute of extension requests will be considered Appendix Standards and Technology (NIST), an untimely for submissions which are due agency of the United States Department from multiple parties simultaneously. In Scope of the Investigation of Commerce, is establishing the such a case, we will inform parties in The merchandise covered by this Localization and Tracking System (LTS) the letter or memorandum setting forth investigation is carbon and alloy forged steel Testing Consortium and invites the deadline (including a specified time) fittings, whether unfinished (commonly organizations to participate in this by which extension requests must be known as blanks or rough forgings) or finished. Such fittings are made in a variety Consortium. Participants in this filed to be considered timely. An of shapes including, but not limited to, Consortium will have the opportunity to extension request must be made in a elbows, tees, crosses, laterals, couplings, test their LTS leveraging a unique separate, stand-alone submission; under reducers, caps, plugs, bushings and unions. capability on the NIST Gaithersburg limited circumstances we will grant Forged steel fittings are covered regardless of campus. The goals of the LTS Testing untimely-filed requests for the extension end finish, whether threaded, socket-weld or Consortium are to demonstrate and of time limits. Parties should review other end connections. further develop standardized While these fittings are generally Extension of Time Limits; Final Rule, 78 manufactured to specifications ASME localization and tracking system testing FR 57790 (September 20, 2013), procedures, and to assess current state available at http://www.gpo.gov/fdsys/ 36 See section 782(b) of the Act. of the art. The LTS Testing Consortium pkg/FR-2013-09-20/html/2013- 37 See Certification of Factual Information to will not evaluate whether any 22853.htm, prior to submitting factual Import Administration During Antidumping and individual system is commercially information in this investigation. Countervailing Duty Proceedings, 78 FR 42678 (July feasible. Participants in the Consortium 17, 2013) (‘‘Final Rule’’); see also frequently asked questions regarding the Final Rule, available at will be required to sign a Cooperative 34 See 19 CFR 351.301(b). http://enforcement.trade.gov/tlei/notices/factual_ Research and Development Agreement 35 See 19 CFR 351.301(b)(2). info_final_rule_FAQ_07172013.pdf. (CRADA). VerDate Sep<11>2014 18:16 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00019 Fmt 4703 Sfmt 4703 E:\FR\FM\01NON1.SGM 01NON1 sradovich on DSK3GMQ082PROD with NOTICES Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Notices 50627 DATES: Letters of interest for improve the performance of LTS Considering the complexities of participation in this LTS Testing technologies. indoor localization testing above, Consortium will be accepted until Background Information: Indoor vendors may not have the opportunity December 15, 2017. LTS testing is localization is the capability to to test their LTS in a thorough and expected to occur in April or May 2018, determine/estimate the location of an comprehensive manner. Therefore, with a pre-event workshop in February, entity to be localized or tracked (ELT), potential users may be unable to however dates are subject to change. such as a person, a robot, or some other determine whether a given LTS meets ADDRESSES: Letters of interest and object equipped with an appropriate their needs. These issues demonstrate 2 requests for additional information can electronic device in buildings and the need for standardized testing be directed to the NIST LTS Testing subterranean structures such as tunnels, procedures that can be used to test and Consortium Manager, Nader Moayeri, of caves, and underground mines. compare localization and tracking the Advanced Network Technologies Tracking is the capability to estimate the systems. Division of NIST’s Information location of such ELT on an ongoing Test and Evaluation (T&E) Activities: Technology Laboratory. Nader basis and making the location NIST intends to hold a pre-event Moayeri’s contact information are NIST, information available to a tracking workshop for participants of the 100 Bureau Drive, Stop 8920, authority. Localization and tracking, Consortium to prepare for the T&E Gaithersburg, MD 20899–8920, USA, whether indoors or outdoors, has activities. NIST anticipates the test email: [email protected], and applications in a wide range of domains event will take place over a period of two weeks (ten business days) about two telephone: +1 301–975–3767. including public safety, manufacturing, construction, health care, entertainment, months after the workshop. Each LTS FOR FURTHER INFORMATION CONTACT: For social networking, building automation, will be tested over the course of 3–5 further information regarding the terms and defense. days during one of the two weeks. and conditions of NIST’s CRADA, Testing a LTS is complicated for During the two-week T&E event, each please contact Jeffrey DiVietro, CRADA several reasons: LTS will be tested under NIST and License Officer, NIST’s Technology • There are many categories of LTS. supervision by the participating Partnerships Office, by mail to 100 Some rely on presence of electronic company staff members according to the Bureau Drive, Mail Stop 2200, infrastructure in the environment procedures of ISO/IEC 18305. Lessons Gaithersburg, Maryland 20899–2200, by (building/tunnel/cave/underground learned from testing will be used to email to [email protected], or by mine) to facilitate localization and make modifications to the testing telephone at +1 301–975–8779. tracking. Some systems require site- procedures and corresponding future SUPPLEMENTARY INFORMATION: specific training and calibration before revisions in ISO/IEC 18305. Going Consortium Objectives: ISO/IEC JTC 1/ they can be used. Some systems need to forward, NIST intends to use the same SC 31 1 has developed the international have access to the floor plans of the set of buildings so that future testing standard, ISO/IEC 18305, ‘‘Test and building or need to know the global will indicate the industry’s evaluation of localization and tracking coordinates of its boundaries to operate. improvements in performance of indoor systems’’ that addresses test methods Therefore, one must be careful when localization and tracking systems. with performance metrics and considers comparing the performance of various Participation in this LTS Testing environmental factors and usage systems to ensure the comparisons are Consortium does not guarantee scenarios expected in the field. NIST’s fair. participation in future testing activities. • objectives under this LTS Testing A LTS often has RF components. RF Methodology: To the extent possible, Consortium are to plan and conduct propagation can vary considerably from NIST has chosen structures on its Test and Evaluation (T&E) activities one building to another depending on Gaithersburg, MD campus according to based on ISO/IEC 18305. Goals of the the construction material used in the the guidelines specified in ISO/IEC T&E activities include: building, its floor plans, and objects 18305. NIST has instrumented the 1. Assessment of ISO/IEC 18305 to present in the building. Therefore, the structures with one-inch diameter, identify improvements that can be LTS must be tested in a variety of circular floor markers. Locations of the incorporated into the next version of the buildings, including a high rise, because floor markers have been surveyed by a standard; and a LTS typically has more difficulty in professional surveying company using 2. Assessment of LTS technologies estimating the floor where the ELT is precision laser surveying equipment. In ∼ using the standardized test methods of located than in estimating its horizontal addition, the locations of 200 Wi-Fi location. Access Points (APs) in these buildings ISO/IEC 18305 for the dual purposes of • comparing technologies to identify Given that the inertial sensors have been surveyed and the Wi-Fi AP strengths and weaknesses of various present in ubiquitous smartphones and location information will be made technological approaches and solutions, other devices used for localization suffer available to Consortium Members solely and to make it possible for Consortium from ‘‘drift’’ that worsens over time, it for use in the Consortium and by each Members to use that information as a is important to test the LTS using long Consortium Member’s LTS that will be basis for further developing their LTS. test scenarios, complex paths, different tested at the T&E event. Multiple tracks, The results from the LTS Testing modes of mobility (e.g., walking, each consisting of a set of floor markers, Consortium will allow the validation of running, sidestepping, walking will be used to test each LTS. By ISO/IEC 18305. The results will also backwards, and crawling) and speeds of comparing the ground truth 3D allow setting minimum performance movement. Therefore, the use of large coordinates of each floor marker with requirements for various applications of buildings is a prerequisite for a well- the estimate of the 3D location provided LTS technology and enable comparisons designed testing procedure. by the LTS under test, the estimation based on common test methods. Results error can be computed and statistical 2 from this research are expected to It is also possible to have such capability using analysis on the error done using the cameras installed in the environment. In that case, performance metrics specified in ISO/ there is no need for the person, robot, or other 1 International Organization of Standardization/ object to be equipped with an electronic device. IEC 18305. International Electrotechnical Commission/Joint However, such imaging-based techniques are Application Process: Interested Technical Committee 1/Subcommittee 31. beyond the scope of the LTS Testing Consortium. parties should contact NIST using the VerDate Sep<11>2014 18:16 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00020 Fmt 4703 Sfmt 4703 E:\FR\FM\01NON1.SGM 01NON1 sradovich on DSK3GMQ082PROD with NOTICES 50628 Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Notices information provided in the ADDRESSES received prior to the closing date incidental/construction.htm. In case of section. NIST will then provide each provided in the DATES section. problems accessing these documents, interested party with a letter of interest Eligibility will be determined based on please call the contact listed above. template, which the party must the information provided by the SUPPLEMENTARY INFORMATION: complete and submit to NIST. Each organization in response to the above party’s letter of interest must include request for specific information. NIST Background the following information: will notify an applicant in writing of its Sections 101(a)(5)(A) and (D) of the 1. Whether the LTS to be tested is eligibility to participate in the LTS MMPA (16 U.S.C. 1361 et seq.) direct commercially available now or at an Testing Consortium. To participate, the the Secretary of Commerce to allow, advanced productization stages so that eligible applicant will be required to upon request, the incidental, but not it would be commercially available by sign a Cooperative Research and intentional, taking of small numbers of the end of 2018. Development Agreement (CRADA) with marine mammals by U.S. citizens who 2. Market the indoor LTS is targeting. NIST. Each participant’s CRADA will engage in a specified activity (other than 3. Given that large buildings will be have identical terms and conditions that commercial fishing) within a specified used for testing, whether the number of are consistent with the requirements of geographical region if certain findings units available to install in these Title 15, United States Code, Chapter are made and either regulations are buildings is sufficient for the system to 63, Section 3710a (Cooperative Research issued or, if the taking is limited to go through a suite of tests, one building and Development Agreements). NIST harassment, a notice of a proposed at a time. (As a point of information, the does not guarantee participation or any authorization is provided to the public largest building to be used for testing other collaboration to any organization for review. covers 100,000 square feet of space.) submitting a Letter of Interest. An authorization for incidental 4. The willingness and ability to send Authority: 15 U.S.C. 3710a. takings shall be granted if NMFS finds an adequate number of staff members to that the taking will have a negligible install and uninstall the indoor LTS in Kevin Kimball, impact on the species or stock(s), will test buildings and operate the Chief of Staff. not have an unmitigable adverse impact equipment to administer the tests under [FR Doc. 2017–23807 Filed 10–31–17; 8:45 am] on the availability of the species or NIST supervision for a period of about BILLING CODE 3510–13–P stock(s) for subsistence uses (where 3 days. If for any reason a LTS runs into relevant), and if the permissible technical problems and cannot complete methods of taking and requirements the tests in each building in the allotted DEPARTMENT OF COMMERCE pertaining to the mitigation, monitoring time slot, NIST has designated the last and reporting of such takings are set two days of the week as ‘‘make-up National Oceanic and Atmospheric forth. days’’, where tests that were not Administration NMFS has defined ‘‘negligible completed in their allotted time slots RIN 0648–XF574 impact’’ in 50 CFR 216.103 as an impact can be redone. NIST will not be resulting from the specified activity that responsible for shipping equipment to Takes of Marine Mammals Incidental to cannot be reasonably expected to, and is NIST and back to your company. Specified Activities; Taking Marine not reasonably likely to, adversely affect 5. Willingness to provide all data form Mammals Incidental to U.S. 101/ the species or stock through effects on T&E activities to the NIST Consortium Chehalis River Bridge—Scour Repair annual rates of recruitment or survival. Manager for purposes of this project. in Washington State The MMPA states that the term ‘‘take’’ 6. A statement regarding whether the means to harass, hunt, capture, kill or LTS requires deployment of equipment AGENCY: National Marine Fisheries attempt to harass, hunt, capture, or kill inside/outside a building in order to be Service (NMFS), National Oceanic and any marine mammal. tested; please specify the types of Atmospheric Administration (NOAA), Except with respect to certain equipment that need to be deployed and Commerce. activities not pertinent here, the MMPA how many per every 10,000 square feet ACTION: Notice; issuance of an incidental defines ‘‘harassment’’ as: Any act of of space. harassment authorization. pursuit, torment, or annoyance which (i) 7. If the LTS uses RF technology, has the potential to injure a marine SUMMARY: In accordance with the please specify the frequency band(s) and mammal or marine mammal stock in the regulations implementing the Marine power levels the LTS uses. wild (Level A harassment); or (ii) has Mammal Protection Act (MMPA) as 8. Whether the installation, the potential to disturb a marine amended, notification is hereby given uninstallation, or operation of the LTS mammal or marine mammal stock in the that we have issued an incidental is likely to cause damage of any type to wild by causing disruption of behavioral harassment authorization (IHA) to the buildings or furnishing during patterns, including, but not limited to, Washington State Department of testing. migration, breathing, nursing, breeding, Transportation (WSDOT) to take small Letters of interest may be submitted to feeding, or sheltering (Level B numbers of marine mammals, by the LTS Testing Consortium Manager harassment). electronically using the email address harassment, incidental to U.S. 101/ provided in the ADDRESSES section. Chehalis River Bridge—Scour Repair in National Environmental Policy Act Letters of interest must include the Washington State. Issuance of an MMPA 101(a)(5)(D) name of the organization and the name DATES: This authorization is valid from authorization requires compliance with and contact information for an official July 1, 2018, through June 30, 2019. the National Environmental Policy Act. representing the organization. Letters of FOR FURTHER INFORMATION CONTACT: NMFS determined the issuance of the interest must not include any Shane Guan, Office of Protected proposed IHA is consistent with confidential information. NIST will not Resources, NMFS, (301) 427–8401. categories of activities identified in CE treat any information provided in the Electronic copies of the application and B4 (issuance of incidental harassment letters of interest as confidential or supporting documents, as well as the authorizations under section proprietary. NIST will review the letters issued IHA, may be obtained online at: 101(a)(5)(A) and (D) of the MMPA for of interest from each organization www.nmfs.noaa.gov/pr/permits/ which no serious injury or mortality is VerDate Sep<11>2014 18:16 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00021 Fmt 4703 Sfmt 4703 E:\FR\FM\01NON1.SGM 01NON1 sradovich on DSK3GMQ082PROD with NOTICES Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Notices 50629 anticipated) of the Companion Manual (Eschrichtius robustus); and harbor work timing restrictions to protect ESA- for NAO 216–6A and we have not porpoise (Phocoena phocoena). listed salmonids, planned WSDOT in- identified any extraordinary water construction is limited each year Description of Proposed Activity circumstances listed in Chapter 4 of the to July 16 through February 15. For this Companion Manual for NAO 216–6A Overview project, in-water construction is that would preclude this categorical WSDOT is proposing to repair an area planned to take place between July 16 exclusion. of scour associated with Pier 14 of the to September 30, 2018. The total worst- Summary of Request U.S. 101 Chehalis River Bridge (Figures case time for pile installation and 1–3 and 1–4 in the IHA application). removal is 50 hours over 12 days (Table NMFS received a request from The bridge foundation at Pier 14 is 1). WSDOT for an IHA to take marine ‘‘scour critical’’ due to the bridge Specified Geographic Region mammals incidental to U.S. 101/ foundation being unstable for calculated Chehalis River Bridge—Scour Repair in scour depths. The southwest quadrant The U.S. 101 Chehalis River Bridge is the State of Washington. WSDOT’s of Pier 14 is undermined by scour void located in the City of Aberdeen, Grays request was for harassment only and as much as 8 feet deep, and some of the Harbor County, Washington (Figure 1–1 NMFS concurs that serious injury or untreated timber pilings have been mortality is not expected to result from in the IHA application). The bridge is directly exposed to river/estuary water located in Township 17 North, Range 9 this activity. Therefore, an IHA is since 2008. Marine borers may weaken appropriate. West, Section 9, where the Chehalis enough pilings to require more River enters Grays Harbor. Land use in In November 2016, WSDOT submitted extensive pier repair if this project is not a request to NMFS requesting an IHA for the Aberdeen area is a mix of built in the near future. In addition, the residential, commercial, industrial, and the possible harassment of small footing and seal are exposed at the other numbers of marine mammal species open space and/or undeveloped lands three quadrants of Pier 14. (Figure 1–2 in the IHA application). incidental to U.S. 101/Chehalis River The purpose of the U.S. 101/Chehalis Bridge-Scour Repair in Washington River Bridge Project is to make the Detailed Description of In-Water Pile State, between July 16 to September 30, bridge foundation stable for calculated Driving Associated With the U.S. 101 2018. WSDOT subsequently updated its scour depths, protect the foundation Chehalis River Bridge Repair Project project scope and submitted a revised from further scour by removing debris, IHA application on July 5, 2017. NMFS filling the scour void under Pier 14 with The proposed project involves noise determined the IHA application was cementitious material (to protect the production that may affect marine complete on July 14, 2017. NMFS issued pilings from marine borers), and filling mammals: Vibratory hammer driving an IHA to WSDOT to take by Level B the scour hole and protecting the pier and removal. Details of the pile driving harassment of the following marine with scour resistant material. and pile removal activities are provided mammal species: Harbor seal (Phoca in the Federal Register notice (82 FR vitulina); California sea lion (Zalophus Dates and Duration 37426; August 10, 2017) for the californianus); Steller sea lion Due to NMFS and the U.S. Fish and proposed IHA and is summarized in (Eumetopias jubatus); gray whale Wildlife Service (USFWS) in-water Table 1 below. TABLE 1—SUMMARY OF IN-WATER PILE DRIVING AND REMOVAL DURATIONS Duration Method Pile type Pile size Pile No. (min) Duration (inch) per pile (days) Vibratory driving ...... Steel H pile ...... 12 6 30 1 Vibratory driving ...... Sheet pile ...... 44 30 5 Vibratory removal ...... Steel H pile ...... 12 6 30 1 Vibratory removal ...... Sheet pile ...... 44 30 5 Total ...... 12 Comments and Responses standard mitigation, monitoring, and with all authorizations involving in- reporting measures consistently for all water pile driving. A notice of NMFS’ proposal to issue an IHA was published in the Federal authorizations involving those actions. Comment 2: The Commission states Register on August 10, 2017 (82 FR Response: As stated in the Federal that the method NMFS used to estimate 37426). During the 30-day public Register notice for the proposed IHA (82 the numbers of takes during the comment period, NMFS received a FR 37426, August 10, 2017), WSDOT is proposed activities, which summed comment letter from the Marine required to implement delay and fractions of takes for each species across Mammal Commission (Commission). No shutdown measures if a marine mammal project days, does not account for and other comments were received. Specific is detected to approach the exclusion negates the intent of NMFS’s 24-hour comments and responses are provided zone. The language is further clarified reset policy. The Commission states that below. that after a shutdown measure, the it noted NMFS developed criteria Comment 1: The Commission construction cannot be resumed until associated with rounding and recommends that NMFS (1) determine the animal is seen leaving the exclusion recommend that NMFS share these with the Commission. whether action proponents would be zone, or 30 minutes have passed since required to implement delay or shut- the last sight of the animal within the Response: While for certain projects down procedures for vibratory pile zone. These measures are consistent NMFS has rounded to the whole driving and removal and (2) include number for daily takes, for projects like VerDate Sep<11>2014 18:16 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00022 Fmt 4703 Sfmt 4703 E:\FR\FM\01NON1.SGM 01NON1 sradovich on DSK3GMQ082PROD with NOTICES 50630 Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Notices this one, when the objective of take reader to Sections 3 and 4 of the population, is considered in concert estimation is to provide more accurate applications, as well as to NMFS’s Stock with known sources of ongoing assessments of potential impacts to Assessment Reports (SAR; anthropogenic mortality to assess the marine mammals for the entire project, www.nmfs.noaa.gov/pr/sars/), instead of population-level effects of the rounding in the middle of a calculation reprinting all of the information here. anticipated mortality from a specific would introduce large errors into the Additional general information about project (as described in NMFS’s SARs). process. In addition, while NMFS uses these species (e.g., physical and While no mortality is anticipated or a 24-hour reset for its take calculation to behavioral descriptions) may be found authorized here, PBR and annual ensure that individual animals are not on NMFS’s Web site serious injury and mortality are counted as a take more than once per (www.nmfs.noaa.gov/pr/species/ included here as gross indicators of the day, that fact does not make the mammals/), or in the U.S. Navy’s status of the species and other threats. calculation and subsequent rounding of Marine Resource Assessments (MRA) Marine mammal abundance estimates take across the entire activity period for relevant operating areas. The MRAs presented in this document represent inherently incorrect. There is no need are available online at: the total number of individuals that for daily (24-hour) rounding in this case www.navfac.navy.mil/products_and_ make up a given stock or the total because there is no daily limit of takes, services/ev/products_and_services/ number estimated within a particular as long as total authorized takes of marine_resources/marine_resource_ study area. NMFS’s stock abundance marine mammal are not exceeded. assessments.html. Table 2 lists all estimates for most species represent the NMFS is working on general guidance species with expected potential for total estimate of individuals within the for take calculation and will share it geographic area, if known, that with the Commission in the near future. occurrence in Chehalis Bridge project area and summarizes information comprises that stock. Description of Marine Mammals in the related to the population or stock, Five species (with five managed Area of Specified Activities including potential biological removal stocks) are considered to have the We have reviewed the applicants’ (PBR), where known. For taxonomy, we potential to co-occur with the proposed species information—which follow Committee on Taxonomy (2016). construction activities. All values summarizes available information PBR, defined by the MMPA as the presented in Table 2 are the most recent regarding status and trends, distribution maximum number of animals, not available at the time of publication and and habitat preferences, behavior and including natural mortalities, that may are available in the 2015 SARs (Carretta life history, and auditory capabilities of be removed from a marine mammal et al., 2016) and draft 2016 SARs the potentially affected species—for stock while allowing that stock to reach (available online at: accuracy and completeness and refer the or maintain its optimum sustainable www.nmfs.noaa.gov/pr/sars/draft.htm). TABLE 2—MARINE MAMMALS WITH POTENTIAL PRESENCE WITHIN THE PROPOSED PROJECT AREA ESA/ Stock MMPA abundance Common name Scientific name Stock status; (CV, Nmin, PBR Annual most recent M/SI 3 strategic abundance (Y/N) 1 survey) 2 Order Cetartiodactyla—Cetacea—Superfamily Mysticeti (baleen whales) Family Eschrichtiidae Gray whale ...... Eschrichtius robustus ...... Eastern North Pacific ...... N 20,990 624 132 Family Phocoenidae (porpoises) Harbor porpoise ...... Phocoena phocoena ...... Washington inland waters ... N 11,233 66 7.2 Order Carnivora—Superfamily Pinnipedia Family Otariidae (eared seals and sea lions) California sea lion ...... Zalophus californianus ...... U.S ...... N 296,750 9,200 389 Steller sea lion ...... Eumetopias jubatus ...... Eastern U.S...... N 71,562 2,498 108 Family Phocidae (earless seals) Harbor seal ...... Phoca vitulina ...... Washington northern inland N 4 11,036 1,641 43 waters. 1 Endangered Species Act (ESA) status: Endangered (E), Threatened (T)/MMPA status: Depleted (D). A dash (-) indicates that the species is not listed under the ESA or designated as depleted under the MMPA. Under the MMPA, a strategic stock is one for which the level of direct human-caused mortality exceeds PBR or which is determined to be declining and likely to be listed under the ESA within the foreseeable future. Any species or stock listed under the ESA is automatically designated under the MMPA as depleted and as a strategic stock. 2 NMFS marine mammal stock assessment reports online at: www.nmfs.noaa.gov/pr/sars/. CV is coefficient of variation; Nmin is the minimum estimate of stock abundance. 3 These values, found in NMFS’s SARs, represent annual levels of human-caused mortality plus serious injury from all sources combined (e.g., commercial fisheries, ship strike). Annual M/SI often cannot be determined precisely and is in some cases presented as a minimum value or range. A CV associated with estimated mortality due to commercial fisheries is presented in some cases. 4 Harbor seal estimate is based on data that are 8 years old, but this is the best available information for use here. VerDate Sep<11>2014 18:16 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00023 Fmt 4703 Sfmt 4703 E:\FR\FM\01NON1.SGM 01NON1 sradovich on DSK3GMQ082PROD with NOTICES Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Notices 50631 Potential Effects of Specified Activities exception for lower limits for low- driving and pile removal could on Marine Mammals and Their Habitat frequency cetaceans where the lower adversely affect marine mammal species This section includes a summary and bound was deemed to be biologically and stocks by exposing them to elevated discussion of the ways that components implausible and the lower bound from noise levels in the vicinity of the of the specified activity may impact Southall et al. (2007) retained. The activity area. Exposure to high intensity sound for marine mammals and their habitat. The functional groups and the associated a sufficient duration may result in ‘‘Estimated Take by Incidental frequencies are indicated below (note auditory effects such as a noise-induced Harassment’’ section later in this that these frequency ranges correspond to the range for the composite group, threshold shift (TS)—an increase in the document will include a quantitative with the entire range not necessarily auditory threshold after exposure to analysis of the number of individuals reflecting the capabilities of every noise (Finneran et al., 2005). Factors that are expected to be taken by this species within that group): that influence the amount of threshold activity. The ‘‘Negligible Impact • Low-frequency cetaceans shift include the amplitude, duration, Analysis and Determination’’ section (mysticetes): Generalized hearing is frequency content, temporal pattern, will consider the content of this section, estimated to occur between and energy distribution of noise the ‘‘Estimated Take by Incidental approximately 7 Hertz (Hz) and 35 exposure. The magnitude of hearing Harassment’’ section, and the kilohertz (kHz), with best hearing threshold shift normally decreases over ‘‘Mitigation’’ section, to draw estimated to be from 100 Hz to 8 kHz; time following cessation of the noise conclusions regarding the likely impacts • Mid-frequency cetaceans (larger exposure. The amount of TS just after of these activities on the reproductive toothed whales, beaked whales, and exposure is the initial TS. If the TS success or survivorship of individuals most delphinids): Generalized hearing is eventually returns to zero (i.e., the and how those impacts on individuals estimated to occur between threshold returns to the pre-exposure are likely to impact marine mammal approximately 150 Hz and 160 kHz, value), it is a temporary threshold shift species or stocks. with best hearing from 10 to less than (TTS) (Southall et al., 2007). Potential impacts to marine mammals 100 kHz; Threshold Shift (noise-induced loss of from the proposed US 101/Chehalis • High-frequency cetaceans hearing)—When animals exhibit Bridge repair project are from noise (porpoises, river dolphins, and members reduced hearing sensitivity (i.e., sounds generated during in-water pile driving of the genera Kogia and must be louder for an animal to detect and pile removal activities. Cephalorhynchus; including two them) following exposure to an intense Acoustic Effects members of the genus Lagenorhynchus, sound or sound for long duration, it is on the basis of recent echolocation data referred to as a noise-induced TS. An Here, we first provide background and genetic data): Generalized hearing animal can experience TTS) or information on marine mammal hearing is estimated to occur between permanent threshold shift (PTS). TTS before discussing the potential effects of approximately 275 Hz and 160 kHz. can last from minutes or hours to days the use of active acoustic sources on • Pinnipeds in water; Phocidae (true (i.e., there is complete recovery), can marine mammals. seals): Generalized hearing is estimated occur in specific frequency ranges (i.e., Marine Mammal Hearing—Hearing is to occur between approximately 50 Hz an animal might only have a temporary the most important sensory modality for to 86 kHz, with best hearing between 1– loss of hearing sensitivity between the marine mammals underwater, and 50 kHz; frequencies of 1 and 10 kHz), and can exposure to anthropogenic sound can • Pinnipeds in water; Otariidae be of varying amounts (for example, an have deleterious effects. To (eared seals): Generalized hearing is animal’s hearing sensitivity might be appropriately assess the potential effects estimated to occur between 60 Hz and reduced initially by only 6 dB or of exposure to sound, it is necessary to 39 kHz, with best hearing between 2–48 reduced by 30 dB). PTS is permanent, understand the frequency ranges marine kHz. but some recovery is possible. PTS can mammals are able to hear. Current data The pinniped functional hearing also occur in a specific frequency range indicate that not all marine mammal group was modified from Southall et al. and amount as mentioned above for species have equal hearing capabilities (2007) on the basis of data indicating TTS. (e.g., Richardson et al., 1995; Wartzok that phocid species have consistently For marine mammals, published data and Ketten, 1999; Au and Hastings, demonstrated an extended frequency are limited to the captive bottlenose 2008). To reflect this, Southall et al. range of hearing compared to otariids, dolphin, beluga, harbor porpoise, and (2007) recommended that marine especially in the higher frequency range Yangtze finless porpoise (Finneran et mammals be divided into functional (Hemila¨ et al., 2006; Kastelein et al., al., 2000, 2002, 2003, 2005, 2007, 2010a, hearing groups based on directly 2009; Reichmuth and Holt, 2013). 2010b; Finneran and Schlundt, 2010; measured or estimated hearing ranges For more detail concerning these Lucke et al., 2009; Mooney et al., 2009a, on the basis of available behavioral groups and associated frequency ranges, 2009b; Popov et al., 2011a, 2011b; response data, audiograms derived please see NMFS (2016) for a review of Kastelein et al., 2012a; Schlundt et al., using auditory evoked potential available information. Five marine 2000; Nachtigall et al., 2003, 2004). For techniques, anatomical modeling, and mammal species (2 cetacean and 3 pinnipeds in water, data are limited to other data. Note that no direct pinniped (2 otariid and 1 phocid) measurements of TTS in harbor seals, an measurements of hearing ability have species) have the reasonable potential to elephant seal, and California sea lions been successfully completed for co-occur with the proposed construction (Kastak et al., 1999, 2005; Kastelein et mysticetes (i.e., low-frequency activities. Please refer to Table 2. Of the al., 2012b). cetaceans). Subsequently, NMFS (2016) cetacean species that may be present, Lucke et al. (2009) found a TS of a described generalized hearing ranges for one species is classified as low- harbor porpoise after exposing it to these marine mammal hearing groups. frequency cetaceans (i.e., gray whale), airgun noise with a received sound Generalized hearing ranges were chosen and one is classified as high-frequency pressure level (SPL) at 200.2 dB (peak– based on the approximately 65 decibel cetaceans (i.e., harbor porpoise). to-peak) re: 1 micropascal (mPa), which (dB) threshold from the normalized The WSDOT’s US 101 Chehalis River corresponds to a sound exposure level composite audiograms, with the Bridge Project using in-water pile of 164.5 dB re: 1 mPa2 s after integrating VerDate Sep<11>2014 18:16 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00024 Fmt 4703 Sfmt 4703 E:\FR\FM\01NON1.SGM 01NON1 sradovich on DSK3GMQ082PROD with NOTICES 50632 Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Notices exposure. Because the airgun noise is a marine mammals. Therefore, under The onset of behavioral disturbance broadband impulse, one cannot directly certain circumstances, marine mammals from anthropogenic noise depends on determine the equivalent of root mean whose acoustical sensors or both external factors (characteristics of square (rms) SPL from the reported environment are being severely masked noise sources and their paths) and the peak-to-peak SPLs. However, applying a could also be impaired from maximizing receiving animals (hearing, motivation, conservative conversion factor of 16 dB their performance fitness in survival experience, demography) and is also for broadband signals from seismic and reproduction. difficult to predict (Southall et al., surveys (McCauley, et al., 2000) to Masking occurs at the frequency band 2007). Currently NMFS uses a received correct for the difference between peak- that the animals utilize. Therefore, since level of 160 dB re 1 mPa (rms) to predict to-peak levels reported in Lucke et al. noise generated from vibratory pile the onset of behavioral harassment from (2009) and rms SPLs, the rms SPL for driving is mostly concentrated at low impulse noises (such as impact pile TTS would be approximately 184 dB re: frequency ranges, it may have less effect driving), and 120 dB re 1 mPa (rms) for 1 mPa, and the received levels associated on high frequency echolocation sounds continuous noises (such as vibratory with PTS (Level A harassment) would by odontocetes (toothed whales). pile driving). For the WSDOT’s US 101 be higher. Therefore, based on these However, lower frequency man-made Chehalis River Bridge Project, only the studies, NMFS recognizes that TTS of noises are more likely to affect detection 120-dB level is considered for effects harbor porpoises is lower than other of communication calls and other analysis because WSDOT plans to use cetacean species empirically tested potentially important natural sounds vibratory pile driving and pile removal. (Finneran & Schlundt, 2010; Finneran et such as surf and prey noise. It may also The biological significance of many of al., 2002; Kastelein and Jennings, 2012). affect communication signals when they these behavioral disturbances is difficult Marine mammal hearing plays a occur near the noise band and thus to predict, especially if the detected critical role in communication with reduce the communication space of disturbances appear minor. However, conspecifics, and interpretation of animals (e.g., Clark et al., 2009) and the consequences of behavioral environmental cues for purposes such cause increased stress levels (e.g., Foote modification could be biologically as predator avoidance and prey capture. et al., 2004; Holt et al., 2009). significant if the change affects growth, Depending on the degree (elevation of survival, and/or reproduction, which Unlike TS, masking, which can occur threshold in dB), duration (i.e., recovery depends on the severity, duration, and over large temporal and spatial scales, time), and frequency range of TTS, and context of the effects. can potentially affect the species at the context in which it is experienced, population, community, or even Potential Effects on Marine Mammal TTS can have effects on marine ecosystem levels, as well as individual Habitat mammals ranging from discountable to levels. Masking affects both senders and serious (similar to those discussed in The primary potential impacts to receivers of the signals and could have auditory masking, below). For example, marine mammal habitat are associated long-term chronic effects on marine a marine mammal may be able to readily with elevated sound levels produced by mammal species and populations. compensate for a brief, relatively small vibratory pile removal and pile driving amount of TTS in a non-critical Recent science suggests that low in the area. However, other potential frequency range that occurs during a frequency ambient sound levels have impacts to the surrounding habitat from time where ambient noise is lower and increased by as much as 20 dB (more physical disturbance are also possible. there are not as many competing sounds than three times in terms of sound With regard to fish as a prey source present. Alternatively, a larger amount pressure level) in the world’s ocean for cetaceans and pinnipeds, fish are and longer duration of TTS sustained from pre-industrial periods, and most of known to hear and react to sounds and during time when communication is these increases are from distant to use sound to communicate (Tavolga critical for successful mother/calf shipping (Hildebrand, 2009). For et al., 1981) and possibly avoid interactions could have more serious WSDOT’s Chehalis Bridge repair predators (Wilson and Dill, 2002). impacts. Also, depending on the degree activities, noises from vibratory pile Experiments have shown that fish can and frequency range, the effects of PTS driving and pile removal contribute to sense both the strength and direction of on an animal could range in severity, the elevated ambient noise levels in the sound (Hawkins, 1981). Primary factors although it is considered generally more project area, thus increasing potential determining whether a fish can sense a serious because it is a permanent for or severity of masking. Baseline sound signal, and potentially react to it, condition. Of note, reduced hearing ambient noise levels in the vicinity of are the frequency of the signal and the sensitivity as a simple function of aging project area are high due to ongoing strength of the signal in relation to the has been observed in marine mammals, shipping, construction and other natural background noise level. as well as humans and other taxa activities in the Puget Sound. The level of sound at which a fish (Southall et al., 2007), so one can infer Finally, marine mammals’ exposure to will react or alter its behavior is usually that strategies exist for coping with this certain sounds could lead to behavioral well above the detection level. Fish condition to some degree, though likely disturbance (Richardson et al., 1995), have been found to react to sounds not without cost. such as: Changing durations of surfacing when the sound level increased to about In addition, chronic exposure to and dives, number of blows per 20 dB above the detection level of 120 excessive, though not high-intensity, surfacing, or moving direction and/or dB (Ona, 1988); however, the response noise could cause masking at particular speed; reduced/increased vocal threshold can depend on the time of frequencies for marine mammals, which activities; changing/cessation of certain year and the fish’s physiological utilize sound for vital biological behavioral activities (such as socializing condition (Engas et al., 1993). In functions (Clark et al., 2009). Acoustic or feeding); visible startle response or general, fish react more strongly to masking is when other noises such as aggressive behavior (such as tail/fluke pulses of sound (such as noise from from human sources interfere with slapping or jaw clapping); avoidance of impact pile driving) rather than animal detection of acoustic signals areas where noise sources are located; continuous signals (such as noise from such as communication calls, and/or flight responses (e.g., pinnipeds vibratory pile driving) (Blaxter et al., echolocation sounds, and flushing into water from haulouts or 1981), and a quicker alarm response is environmental sounds important to rookeries). elicited when the sound signal intensity VerDate Sep<11>2014 18:16 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00025 Fmt 4703 Sfmt 4703 E:\FR\FM\01NON1.SGM 01NON1 sradovich on DSK3GMQ082PROD with NOTICES Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Notices 50633 rises rapidly compared to sound rising mitigation measures (i.e., shutdown and measurable for most activities, more slowly to the same level. measures—discussed in detail below in NMFS uses a generalized acoustic During the coastal construction only a Mitigation section), Level A harassment threshold based on received level to small fraction of the available habitat is neither anticipated nor authorized. estimate the onset of behavioral would be ensonified at any given time. As described previously, no mortality harassment. NMFS predicts that marine Disturbance to fish species would be is anticipated or authorized for this mammals are likely to be behaviorally short-term and fish would return to activity. Below we describe how the harassed in a manner we consider Level their pre-disturbance behavior once the take is estimated. B harassment when exposed to pile driving activity ceases. Thus, the Described in the most basic way, we underwater anthropogenic noise above proposed construction would have estimate take by considering: (1) received levels of 120 dB re 1 mPa (rms) little, if any, impact on marine Acoustic thresholds above which NMFS for continuous (e.g. vibratory pile- mammals’ prey availability in the area believes the best available science driving, drilling) and above 160 dB re 1 where construction work is planned. indicates marine mammals will be mPa (rms) for non-explosive impulsive Finally, the time of the proposed behaviorally harassed or incur some (e.g., seismic airguns) or intermittent construction activity would avoid the degree of permanent hearing (e.g., scientific sonar) sources. spawning season of the ESA-listed impairment; (2) the area or volume of salmonid species. water that will be ensonified above Applicant’s proposed activity these levels in a day; (3) the density or includes the use of continuous Estimated Take occurrence of marine mammals within (vibratory pile driving and removal) This section provides an estimate of these ensonified areas; and, (4) and the source, and therefore the 120 dB re 1 the number of incidental takes number of days of activities. Below, we mPa (rms) is applicable. authorized through this IHA, which will describe these components in more Level A harassment for non-explosive inform both NMFS’ consideration of detail and present the take estimate. sources—NMFS’ Technical Guidance whether the number of takes is ‘‘small’’ Acoustic Thresholds for Assessing the Effects of and the negligible impact Anthropogenic Sound on Marine determination. Using the best available science, Mammal Hearing (Technical Guidance, Harassment is the only type of take NMFS has developed acoustic 2016) identifies dual criteria to assess expected to result from these activities. thresholds that identify the received auditory injury (Level A harassment) to Except with respect to certain activities level of underwater sound above which five different marine mammal groups not pertinent here, section 3(18) of the exposed marine mammals would be (based on hearing sensitivity) as a result MMPA defines ‘‘harassment’’ as: Any reasonably expected to be behaviorally of exposure to noise from two different act of pursuit, torment, or annoyance harassed (equated to Level B types of sources (impulsive or non- which (i) has the potential to injure a harassment) or to incur PTS of some marine mammal or marine mammal degree (equated to Level A harassment). impulsive). Applicant’s proposed stock in the wild (Level A harassment); Level B Harassment for non-explosive activity includes the use non-impulsive or (ii) has the potential to disturb a sources—Though significantly driven by (vibratory pile driving and pile removal) marine mammal or marine mammal received level, the onset of behavioral source. stock in the wild by causing disruption disturbance from anthropogenic noise These thresholds were developed by of behavioral patterns, including, but exposure is also informed to varying compiling and synthesizing the best not limited to, migration, breathing, degrees by other factors related to the available science and soliciting input nursing, breeding, feeding, or sheltering source (e.g., frequency, predictability, multiple times from both the public and (Level B harassment). duty cycle), the environment (e.g., peer reviewers to inform the final Authorized takes would be by Level B bathymetry), and the receiving animals product, and are provided in the table harassment only, in the form of (hearing, motivation, experience, below. The references, analysis, and disruption of behavioral patterns for demography, behavioral context) and methodology used in the development individual marine mammals resulting can be difficult to predict (Southall et of the thresholds are described in NMFS from exposure to noise generated from al., 2007, Ellison et al., 2011). Based on 2016 Technical Guidance, which may vibratory pile driving and removal. what the available science indicates and be accessed at: http:// Based on the nature of the activity and the practical need to use a threshold www.nmfs.noaa.gov/pr/acoustics/ the anticipated effectiveness of the based on a factor that is both predictable guidelines.htm. TABLE 3—CURRENT ACOUSTIC EXPOSURE CRITERIA FOR NON-EXPLOSIVE SOUND UNDERWATER PTS onset thresholds Behavioral thresholds Hearing group Impulsive Non-impulsive Impulsive Non-impulsive Low-Frequency (LF) Cetaceans ...... Lpk,flat: 219 dB,LE,LF,24h: 183 dB ...... LE,LF,24h: 199 dB .. Lrms,flat: 160 dB ..... Lrms,flat: 120 dB. Mid-Frequency (MF) Cetaceans ...... Lpk,flat: 230 dB,LE,MF,24h: 185 dB ...... LE,MF,24h: 198 dB. High-Frequency (HF) Cetaceans ...... Lpk,flat: 202 dB,LE,HF,24h: 155 dB ...... LE,HF,24h: 173 dB. Phocid Pinnipeds (PW) (Underwater) .. Lpk,flat: 218 dB,LE,PW,24h: 185 dB ...... LE,PW,24h: 201 dB. Otariid Pinnipeds (OW) (Underwater) .. Lpk,flat: 232 dB,LE,OW,24h: 203 dB ...... LE,OW,24h: 219 dB. * Dual metric acoustic thresholds for impulsive sounds: Use whichever results in the largest isopleth for calculating PTS onset. If a non-impul- sive sound has the potential of exceeding the peak sound pressure level thresholds associated with impulsive sounds, these thresholds should also be considered. VerDate Sep<11>2014 18:16 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00026 Fmt 4703 Sfmt 4703 E:\FR\FM\01NON1.SGM 01NON1 sradovich on DSK3GMQ082PROD with NOTICES 50634 Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Notices Note: Peak sound pressure (Lpk) has a reference value of 1 μPa, and cumulative sound exposure level (LE) has a reference value of 1μPa2s. In this Table, thresholds are abbreviated to reflect American National Standards Institute standards (ANSI 2013). However, peak sound pressure is defined by ANSI as incorporating frequency weighting, which is not the intent for this Technical Guidance. Hence, the subscript ‘‘flat’’ is being included to indicate peak sound pressure should be flat weighted or unweighted within the generalized hearing range. The subscript associated with cumulative sound exposure level thresholds indicates the designated marine mammal auditory weighting function (LF, MF, and HF cetaceans, and PW and OW pinnipeds) and that the recommended accumulation period is 24 hours. The cumulative sound exposure level thresholds could be exceeded in a multitude of ways (i.e., varying exposure levels and durations, duty cycle). When possible, it is valuable for action proponents to indicate the conditions under which these acoustic thresholds will be exceeded. Ensonified Area sheet piles. The dimension of the H measurements at the Elliot Bay Seawall Here, we describe operational and piles is unknown, but not is expected to Project (The Greenbush Group, 2015), environmental parameters of the activity be more than 12 inches (in). which is 165 dBrms and 180 dBpeak re 1 that will feed into identifying the area Source levels for the steel H pile mPa at 10 m. For vibratory pile removal, ensonified above the acoustic vibratory driving are based on in-water the source levels are conservatively thresholds. measurements reported by CALTRANS estimated using the pile driving source (2015) of 12-in steel H pile, which are levels as proxies. Source Levels 150 dBrms and 165 dBpeak re 1 mPa at 10 A summary of source levels from The project includes vibratory pile meters (m). Source levels for the sheet different pile driving and pile removal driving and removal of steel H piles and pile are based on in-water activities is provided in Table 4. TABLE 4—SUMMARY OF IN-WATER PILE DRIVING SOURCE LEVELS [At 10 m from source] SPL Method Pile type/size SEL rms (dB re 1 μPa 2-s) (dB re 1 μPa) Vibratory driving/removal ...... 12-in steel H pile ...... 150 150 Vibratory driving/removal ...... Sheet pile ...... 165 165 These source levels are used to developed a User Spreadsheet that these tools, and will qualitatively compute the Level A injury zones and includes tools to help predict a simple address the output where appropriate. to estimate the Level B harassment isopleth that can be used in conjunction For cumulative SEL (LE), distances to zones. For Level A harassment zones, with marine mammal density or marine mammal injury thresholds were since the peak source levels for both occurrence to help predict takes. We estimated using NMFS Optional User pile driving are below the injury note that because of some of the Spreadsheet based on the noise thresholds, cumulative SEL were used assumptions included in the methods exposure guidance. to do the calculations using the NMFS used for these tools, we anticipate that acoustic guidance (NMFS 2016). isopleths produced are typically going Isopleths to Level B behavioral zones to be overestimates of some degree, are based on rms SPL (SPLrms) that are Estimating Injury Zones which will result in some degree of specific for non-impulse (vibratory pile When NMFS Technical Guidance overestimate of Level A take. However, driving) sources. Distances to marine (2016) was published, in recognition of these tools offer the best way to predict mammal behavior thresholds were the fact that ensonified area/volume appropriate isopleths when more calculated using practical spreading. could be more technically challenging sophisticated 3D modeling methods are A summary of the measured and to predict because of the duration not available, and NMFS continues to modeled harassment zones is provided component in the new thresholds, we develop ways to quantitatively refine in Table 5. TABLE 5—DISTANCES TO HARASSMENT ZONES Injury zone (m) Behavior Pile type, size and pile driving method LF MF HF zone cetacean cetacean cetacean Phocid Otariid (m) Vibratory driving & removal, sheet pile, 10 piles/day ...... 36.9 3.3 54.6 22.4 1.6 10,000 Vibratory driving & removal, steel H pile, 6 piles/day ...... 2.6 0.2 3.9 1.6 0.1 1,000 Marine Mammal Occurrence Jeffries, et al. (2000), the estimated The Navy Marine Species Density In this section we provide the density of harbor seals in the US 101 Database (U.S. Navy 2015) estimates the information about the presence, density, Chehalis River Bridge project area is density of Steller sea lions in the waters or group dynamics of marine mammals 29.4 animals per square kilometer (km2). offshore of Grays Harbor as 0.0145 2 that will inform the take calculations. The Navy Marine Species Density animals/km . This estimate will be used as a surrogate for Grays Harbor. In most cases, marine mammal Database (U.S. Navy 2015) estimates the density data are from the U.S. Navy density of California sea lions in the The Navy Marine Species Density Marine Species Density Database (U.S. waters offshore of Grays Harbor as 0.033 Database (U.S. Navy 2015) estimates the Navy 2015). Harbor seal density is based animals/km2. This estimate will be used density of harbor porpoises in the on a counts of harbor seals at 44 low- as a surrogate for Grays Harbor. waters offshore of Grays Harbor as a tide haul outs in Grays Harbor by range between 0.69 and 1.67 animals VerDate Sep<11>2014 18:16 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00027 Fmt 4703 Sfmt 4703 E:\FR\FM\01NON1.SGM 01NON1 sradovich on DSK3GMQ082PROD with NOTICES Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Notices 50635 per square kilometer. According to period during the months of July gray whale, estimated takes are Evenson, et al. (2016), the maximum through September (the proposed period calculated based on ensonified area for harbor porpoise density in the Strait of of project activities). Based on this data, a specific pile driving activity Juan de Fuca (approximately 105 miles an average of 2.25 gray whales may be multiplied by the marine mammal north of Grays Harbor) in 2014 was present in Grays Harbor/south density in the action area, multiplied by 0.768 animals/km2. The higher density Washington coast during the 3-month the number of pile driving (or removal) estimate for waters offshore of Grays period. days. Distances to and areas of different Harbor (1.67) will be used for this Take Calculation and Estimation harassment zones are listed in Tables 5 analysis. Here we describe how the information and 6. Total days for sheet pile driving According to counts conducted by provided above is brought together to and removal are five days each, and the Calambokidis et al. (2012), 29 gray produce a quantitative take estimate. total day for steel H pile driving and whales were observed over a 12-year For all marine mammal species except removal is one day each. TABLE 6—AREAS OF HARASSMENT ZONES 2 Injury zone (km ) Behavior Pile type, size and pile driving method zone LF MF HF 2 cetacean cetacean cetacean Phocid Otariid (km ) Vibratory driving & removal, sheet pile, 10 piles/day ...... 0.004 0.000 0.009 0.002 0.000 2.13 Vibratory driving & removal, steel H pile, 6 piles/day ...... 0.000 0.000 0.000 0.000 0.000 0.67 The results predicted that a total of the project area, we adjusted the take Due to the extreme small injury zones 666 harbor seals, 1 California sea lion, number of these species to 10. (maximum zone is 0.009 km2 for high- 0 Steller sea lion, and 38 harbor For gray whales, the Level B takes frequency cetacean), the calculation porpoise could be exposure to received were estimate based on an average predicted no animals would be exposed levels that would cause Level B sighting of 2.25 whales in Grays Harbor/ to noise levels that could cause Level A harassment. However, owing to the south Washington Coast during the harassment, and therefore no Level A prior observations that California sea months of July through September take is authorized. A summary of lion and Steller sea lion’s presence in (Calambokidis et al., (2012) adjusted estimated marine mammal Level B takes upwards to 3 animals. is listed in Table 7. TABLE 7—ESTIMATED NUMBERS OF MARINE MAMMALS THAT MAY BE EXPOSED TO RECEIVED NOISE LEVELS THAT CAUSE LEVEL B HARASSMENT Species Density Estimated Abundance Percentage (animals/km2) Level B take Pacific harbor seal ...... 29.4 666 11,036 6.03 California sea lion ...... 0.033 10 296,750 0.00 Steller sea lion ...... 0.0145 10 71,562 0.00 Gray whale ...... NA 3 20,990 0.00 Harbor porpoise ...... 1.67 38 11,233 0.34 Mitigation stocks and their habitat (50 CFR of effective implementation (probability 216.104(a)(11)). implemented as planned) and; In order to issue an IHA under section In evaluating how mitigation may or 101(a)(5)(D) of the MMPA, NMFS must (2) The practicability of the measures may not be appropriate to ensure the for applicant implementation, which set forth the permissible methods of least practicable adverse impact on may consider such things as cost, taking pursuant to such activity, and species or stocks and their habitat, as impact on operations, and, in the case other means of effecting the least well as subsistence uses where of a military readiness activity, practicable impact on such species or applicable, we carefully consider two personnel safety, practicality of stock and its habitat, paying particular primary factors: implementation, and impact on the attention to rookeries, mating grounds, (1) The manner in which, and the effectiveness of the military readiness and areas of similar significance, and on degree to which, the successful activity. the availability of such species or stock implementation of the measure(s) is for taking for certain subsistence uses expected to reduce impacts to marine Mitigation for Marine Mammals and (latter not applicable for this action). mammals, marine mammal species or Their Habitat NMFS regulations require applicants for stocks, and their habitat. This considers 1. Time Restriction incidental take authorizations to include the nature of the potential adverse information about the availability and impact being mitigated (likelihood, Work would occur only during feasibility (economic and technological) scope, range). It further considers the daylight hours, when visual monitoring of equipment, methods, and manner of likelihood that the measure will be of marine mammals can be conducted. conducting such activity or other means effective if implemented (probability of In addition, all in-water construction of effecting the least practicable adverse accomplishing the mitigating result if will be limited to the period between impact upon the affected species or implemented as planned) the likelihood July 16, 2018, and September 30, 2018. VerDate Sep<11>2014 18:16 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00028 Fmt 4703 Sfmt 4703 E:\FR\FM\01NON1.SGM 01NON1 sradovich on DSK3GMQ082PROD with NOTICES 50636 Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Notices 2. Establishing and Monitoring Level A, underwater SELcum could cause PTS (see WSDOT shall establish exclusion Level B Harassment Zones, and above). zones within which marine mammals Exclusion Zones WSDOT shall also establish Level B could be taken by Level A harassment. For Level A harassment zones that is Before the commencement of in-water harassment zones where received underwater SPLs are higher than 120 less than 10 m from the source, a construction activities, which include minimum of 10 m distance should be dB re 1 mPa for non-impulsive noise vibratory pile driving and pile removal, rms established as an exclusion zone. sources (vibratory pile driving and pile WSDOT shall establish Level A A summary of exclusion zones is harassment zones where received removal). provided in Table 8. TABLE 8—EXCLUSION ZONES FOR VARIOUS PILE DRIVING ACTIVITIES AND MARINE MAMMAL HEARING GROUPS Exclusion zone (m) Pile type, size and pile driving method LF cetacean MF cetacean HF cetacean Phocid Otariid Vibratory driving and removal, sheet pile, 10 piles/day ...... 37 10 55 22 10 Vibratory driving & removal, steel H pile, 6 piles/day ...... 10 10 10 10 10 NMFS-approved protected species Level B harassment zone during in- history, dive patterns); (3) co-occurrence observers (PSO) shall conduct an initial water construction activities. of marine mammal species with the survey of the exclusion zones to ensure Based on our evaluation of the action; or (4) biological or behavioral that no marine mammals are seen required measures, NMFS has context of exposure (e.g., age, calving or within the Level A zones before pile determined that the prescribed feeding areas); driving and pile removal of a pile mitigation measures provide the means • Individual marine mammal segment begins. If marine mammals are effecting the least practicable impact on responses (behavioral or physiological) found within the exclusion zone, pile the affected species or stocks and their to acoustic stressors (acute, chronic, or driving of the segment would be habitat, paying particular attention to cumulative), other stressors, or delayed until they move out of the area. rookeries, mating grounds, and areas of cumulative impacts from multiple If a marine mammal is seen above water similar significance. stressors; • and then dives below, the contractor How anticipated responses to Monitoring and Reporting would wait 30 minutes. If no marine stressors impact either: (1) Long-term mammals are seen by the observer in In order to issue an IHA for an fitness and survival of individual that time it can be assumed that the activity, section 101(a)(5)(D) of the marine mammals; or (2) populations, MMPA states that NMFS must set forth, species, or stocks; animal has moved beyond the exclusion • zone. ‘‘requirements pertaining to the Effects on marine mammal habitat monitoring and reporting of such (e.g., marine mammal prey species, If pile driving of a segment ceases for acoustic habitat, or other important 30 minutes or more and a marine taking.’’ The MMPA implementing regulations at 50 CFR 216.104 (a)(13) physical components of marine mammal is sighted within the mammal habitat); and designated exclusion zone prior to indicate that requests for authorizations • must include the suggested means of Mitigation and monitoring commencement of pile driving, the effectiveness. observer(s) must notify the pile driving accomplishing the necessary monitoring operator (or other authorized and reporting that will result in Monitoring Measures individual) immediately and continue increased knowledge of the species and WSDOT shall employ NMFS- to monitor the exclusion zone. of the level of taking or impacts on approved PSOs to conduct marine Operations may not resume until the populations of marine mammals that are mammal monitoring for its U.S. 101/ marine mammal has exited the expected to be present in the proposed Chehalis Bridge Repair Project. The exclusion zone or 30 minutes have action area. Effective reporting is critical purposes of marine mammal monitoring elapsed since the last sighting. both to compliance as well as ensuring are to implement mitigation measures that the most value is obtained from the and learn more about impacts to marine 3. Shutdown Measures required monitoring. mammals from WSDOT’s construction Monitoring and reporting WSDOT shall implement shutdown activities. The PSOs will observe and requirements prescribed by NMFS collect data on marine mammals in and measures if a marine mammal is should contribute to improved detected within an exclusion zone or is around the project area for 30 minutes understanding of one or more of the before, during, and for 30 minutes after about to enter an exclusion zone listed following: in Table 8. In-water pile driving may not • all pile removal and pile installation Occurrence of marine mammal work. NMFS-approved PSOs shall meet resume until the animal is seen leaving species or stocks in the area in which the exclusion zone, or 30 minutes have the following requirements: take is anticipated (e.g., presence, 1. Independent observers (i.e., not passed since the sighting of the animal abundance, distribution, density); within the exclusion zone. construction personnel) are required; • Nature, scope, or context of likely 2. At least one observer must have Further, WSDOT shall implement marine mammal exposure to potential prior experience working as an observer; shutdown measures if the number of stressors/impacts (individual or 3. Other observers may substitute authorized takes for any particular cumulative, acute or chronic), through education (undergraduate degree in species reaches the limit under the IHA better understanding of: (1) Action or biological science or related field) or (if issued) and if such marine mammals environment (e.g., source training for experience; are sighted within the vicinity of the characterization, propagation, ambient 4. Where a team of three or more project area and are approaching the noise); (2) affected species (e.g., life observers are required, one observer VerDate Sep<11>2014 19:11 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00029 Fmt 4703 Sfmt 4703 E:\FR\FM\01NON1.SGM 01NON1 sradovich on DSK3GMQ082PROD with NOTICES Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Notices 50637 should be designated as lead observer or listed above to NMFS as soon as hours pile driving or pile removal per monitoring coordinator. The lead operationally feasible. day). Marine mammals present in the observer must have prior experience vicinity of the action area and taken by Negligible Impact Analysis and working as an observer; and Level B harassment would most likely Determination 5. NMFS will require submission and show overt brief disturbance (startle approval of observer CVs. NMFS has defined negligible impact reaction) and avoidance of the area from Monitoring of marine mammals as an impact resulting from the elevated noise levels during pile driving around the construction site shall be specified activity that cannot be and pile removal. For these reasons, conducted using high-quality binoculars reasonably expected to, and is not these behavioral impacts are not (e.g., Zeiss, 10 × 42 power). Due to the reasonably likely to, adversely affect the expected to affect marine mammals’ different sizes of ZOIs from different species or stock through effects on growth, survival, and reproduction, pile types, two different ZOIs and annual rates of recruitment or survival especially considering the limited different monitoring protocols (50 CFR 216.103). A negligible impact geographic area that would be affected corresponding to a specific pile type finding is based on the lack of likely in comparison to the much larger will be established. adverse effects on annual rates of habitat for marine mammals in the • For vibratory pile driving and pile recruitment or survival (i.e., population- Pacific Northwest. removal of sheet piles, a total of four level effects). An estimate of the number The project also is not expected to land-based PSOs will monitor the of takes alone is not enough information have significant adverse effects on exclusion zones and Level B harassment on which to base an impact affected marine mammals’ habitat, as zone. determination. In addition to • analyzed in detail in the ‘‘Anticipated For vibratory pile driving and pile considering estimates of the number of Effects on Marine Mammal Habitat’’ removal of H piles, a total of three land- marine mammals that might be ‘‘taken’’ section. There is no ESA designated based PSOs will monitor the exclusion through harassment, NMFS considers critical area in the vicinity of the zones and Level B harassment zone. other factors, such as the likely nature Chehalis Bridge Project area. The project Locations of the land-based PSOs and of any responses (e.g., intensity, activities would not permanently duration), the context of any responses routes of monitoring vessels are shown modify existing marine mammal habitat. (e.g., critical reproductive time or in WSDOT’s Marine Mammal The activities may kill some fish and location, migration), as well as effects Monitoring Plan, which is available cause other fish to leave the area on habitat, and the likely effectiveness online at www.nmfs.noaa.gov/pr/ temporarily, thus impacting marine of the mitigation. We also assess the permits/incidental/construction.htm. mammals’ foraging opportunities in a To verify the required monitoring number, intensity, and context of limited portion of the foraging range; distance, the exclusion zones and ZOIs estimated takes by evaluating this but, because of the short duration of the will be determined by using a range information relative to population activities and the relatively small area of finder or hand-held global positioning status. Consistent with the 1989 the habitat that may be affected, the system device. preamble for NMFS’s implementing regulations (54 FR 40338; September 29, impacts to marine mammal habitat are Reporting Measures 1989), the impacts from other past and not expected to cause significant or WSDOT is required to submit a draft ongoing anthropogenic activities are long-term negative consequences. monitoring report within 90 days after incorporated into this analysis via their Therefore, given the consideration of completion of the construction work or impacts on the environmental baseline potential impacts to marine mammal the expiration of the IHA, whichever (e.g., as reflected in the regulatory status prey species and their physical comes earlier. This report would detail of the species, population size and environment, WSDOT’s proposed the monitoring protocol, summarize the growth rate where known, ongoing construction activity at Chehalis Bridge data recorded during monitoring, and sources of human-caused mortality, or would not adversely affect marine estimate the number of marine ambient noise levels). mammal habitat. mammals that may have been harassed. To avoid repetition, this introductory In summary and as described above, NMFS would have an opportunity to discussion of our analyses applies to all the following factors primarily support provide comments on the report, and if the species listed in Table 7, given that our determination that the impacts NMFS has comments, WSDOT would the anticipated effects of WSDOT’s resulting from this activity are not address the comments and submit a Chehalis Bridge repair project activities expected to adversely affect the species final report to NMFS within 30 days. involving pile driving and pile removal or stock through effects on annual rates In addition, NMFS would require on marine mammals are expected to be of recruitment or survival: WSDOT to notify NMFS’ Office of relatively similar in nature. There is no • No injury, series injury, or mortality Protected Resources and NMFS’ West information about the nature or severity is anticipated or authorized; Coast Stranding Coordinator within 48 of the impacts, or the size, status, or • All harassment is Level B hours of sighting an injured or dead structure of any species or stock that harassment in the form of short-term marine mammal in the construction site. would lead to a different analysis by behavioral modification; and WSDOT shall provide NMFS and the species for this activity, or else species- • No areas of specific importance to Stranding Network with the species or specific factors would be identified and affected species are impacted. description of the animal(s), the analyzed. Based on the analysis contained condition of the animal(s) (including For all marine mammal species, takes herein of the likely effects of the carcass condition, if the animal is dead), that are anticipated and authorized are specified activity on marine mammals location, time of first discovery, expected to be limited to short-term and their habitat, and taking into observed behaviors (if alive), and photo Level B harassment (behavioral) because consideration the implementation of the or video. of the small scale (only a total of 100 prescribed monitoring and mitigation In the event that WSDOT finds an piles to be installed and removed), measures, NMFS finds that the total take injured or dead marine mammal that is lower source levels (small piles by from the proposed activity will have a not in the construction area, WSDOT vibratory pile driving and pile removal), negligible impact on all affected marine would report the same information as and short durations (maximum five mammal species or stocks. VerDate Sep<11>2014 18:16 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00030 Fmt 4703 Sfmt 4703 E:\FR\FM\01NON1.SGM 01NON1 sradovich on DSK3GMQ082PROD with NOTICES 50638 Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Notices Small Numbers DEPARTMENT OF DEFENSE Authority: 5 U.S.C. 552b Dated: October 26, 2017. As noted above, only small numbers Department of the Navy of incidental take may be authorized E.K. Baldini, under section 101(a)(5)(D) of the MMPA Meeting of the U.S. Naval Academy Lieutenant Commander, Judge Advocate Board of Visitors General’s Corps, U.S. Navy, Federal Register for specified activities other than Liaison Officer. military readiness activities. The MMPA AGENCY: Department of the Navy, DoD. [FR Doc. 2017–23809 Filed 10–31–17; 8:45 am] does not define small numbers and so, ACTION: Notice of partially closed BILLING CODE 3810–FF–P in practice, NMFS compares the number meeting. of individuals taken to the most appropriate estimation of abundance of SUMMARY: The U.S. Naval Academy DEPARTMENT OF EDUCATION the relevant species or stock in our Board of Visitors will meet to make such determination of whether an inquiry, as the Board shall deem National Assessment Governing Board authorization is limited to small necessary, into the state of morale and Quarterly Board Meeting numbers of marine mammals. discipline, the curriculum, instruction, AGENCY: National Assessment The estimated takes are below seven physical equipment, fiscal affairs, and academic methods of the Naval Governing Board, U.S. Department of percent of the population for all marine Education. mammals (Table 7). Academy. ACTION: Announcement of open and DATES: The open session of the meeting Based on the analysis contained closed meetings. herein of the proposed activity will be held on December 4, 2017, from (including the prescribed mitigation and 9:00 a.m. to 11:15 a.m. The executive SUMMARY: This notice sets forth the monitoring measures) and the session held from 11:15 a.m. to 12:00 agenda for the November 16–18, 2017 anticipated take of marine mammals, p.m., will be the closed portion of the Quarterly Board Meeting of the National NMFS finds that small numbers of meeting. Assessment Governing Board (hereafter marine mammals will be taken relative ADDRESSES: The meeting will be held at referred to as Governing Board). This to the population size of the affected the United States Naval Academy in notice provides information to members species or stocks. Annapolis, MD. The meeting will be of the public who may be interested in handicap accessible. attending the meeting or providing Unmitigable Adverse Impact FOR FURTHER INFORMATION CONTACT: written comments related to the work of Subsistence Analysis and Lieutenant Commander Lawrence the Governing Board. Notice of this Determination Heyworth IV, USN, Executive Secretary meeting is required under § 10(a)(2) of to the Board of Visitors, Office of the the Federal Advisory Committee Act There are no relevant subsistence uses (FACA). of the affected marine mammal stocks or Superintendent, U.S. Naval Academy, species implicated by this action. Annapolis, MD 21402–5000, 410–293– DATES: The Quarterly Board Meeting 1503. will be held on the following dates: Therefore, NMFS has determined that • the total taking of affected species or SUPPLEMENTARY INFORMATION: This November 16, 2017 from 11:15 a.m. stocks would not have an unmitigable notice of meeting is provided per the to 6:00 p.m. • November 17, 2017 from 8:30 a.m. adverse impact on the availability of Federal Advisory Committee Act, as to 4:30 p.m. such species or stocks for taking for amended (5 U.S.C. App.). The executive • November 18, 2017 from 7:30 a.m. subsistence purposes. session of the meeting from 11:15 a.m. to 12:00 p.m. on December 4, 2017, will to 12:00 p.m. Endangered Species Act (ESA) consist of discussions of new and ADDRESSES: Washington Marriott pending administrative/minor Georgetown, 1221 22nd Street NW., No incidental take of ESA-listed disciplinary infractions and non-judicial Washington, DC 20037. species is authorized or expected to punishments involving midshipmen FOR FURTHER INFORMATION CONTACT: result from this activity. Therefore, attending the Naval Academy to include Munira Mwalimu, Executive Officer/ NMFS has determined that formal but not limited to, individual honor/ Designated Federal Official for the consultation under section 7 of the ESA conduct violations within the Brigade, Governing Board, 800 North Capitol is not required for this action. the disclosure of which would Street NW., Suite 825, Washington, DC Authorization constitute a clearly unwarranted 20002, telephone: (202) 357–6938, fax: invasion of personal privacy. For this (202) 357–6945, email: As a result of these determinations, reason, the executive session of this [email protected]. NMFS has issued an IHA to the meeting will be closed to the public, as SUPPLEMENTARY INFORMATION: Washington State Department of the discussion of such information Statutory Authority and Function: Transportation for the U.S. 101/Chehalis cannot be adequately segregated from The Governing Board is established River Bridge—Scour Repair in other topics, which precludes opening under the National Assessment of Washington State, provided the the executive session of this meeting to Educational Progress Authorization Act, previously described mitigation, the public. Accordingly, the Department Title III of Public Law 107–279. Written monitoring, and reporting requirements of the Navy/Assistant for comments may be submitted are incorporated. Administration has determined in electronically or in hard copy to the writing that the meeting shall be Dated: October 26, 2017. attention of the Executive Officer/ partially closed to the public because Designated Federal Official (see contact Donna S. Wieting, the discussions during the executive information noted above). Information Director, Office of Protected Resources, session from 11:15 a.m. to 12:00 p.m. on the Governing Board and its work National Marine Fisheries Service. will be concerned with matters can be found at www.nagb.gov. [FR Doc. 2017–23748 Filed 10–31–17; 8:45 am] protected under sections 552b(c) (5), (6), The Governing Board is established to BILLING CODE 3510–22–P and (7) of title 5, United States Code. formulate policy for the National VerDate Sep<11>2014 18:16 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00031 Fmt 4703 Sfmt 4703 E:\FR\FM\01NON1.SGM 01NON1 sradovich on DSK3GMQ082PROD with NOTICES Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Notices 50639 Assessment of Educational Progress in open session from 1:45 p.m. to 3:45 On Friday November 17, 2017, (NAEP). The Governing Board’s p.m. The Executive Committee will COSDAM will meet in open session responsibilities include the following: convene in open session from 4:30 p.m. from 12:45 p.m. to 2:30 p.m. and in Selecting subject areas to be assessed, to 5:00 p.m. and in closed session from closed session from 2:30 p.m. to 3:15 developing assessment frameworks and 5:00 p.m. to 6:00 p.m. During the closed p.m. During the closed session, specifications, developing appropriate session, the Executive Committee will COSDAM will discuss information student achievement levels for each receive and discuss cost estimates for regarding analyses of the 2017 bridge grade and subject tested, developing implementing NAEP’s Assessment studies for paper-and-pencil and digital- standards and procedures for interstate Schedule for 2014–2024, and the based assessments, and discuss secure and national comparisons, improving implications of cost and funding NAEP Reading and Mathematics data. the form and use of NAEP, developing estimates for the NAEP Assessment This part of the meeting must be guidelines for reporting and Schedule in relation to the Governing conducted in closed session because the disseminating results, and releasing Board’s Strategic Vision and draft policy analysis involves the use of secure data initial NAEP results to the public. priorities for the NAEP Assessment for the NAEP Reading and Mathematics Schedule. This meeting must be assessments on digital-based platforms. November 16–17, 2017 Committee conducted in closed session because Public disclosure of secure data would Meetings public disclosure of this information significantly impede implementation of The Governing Board’s standing would likely have an adverse financial the NAEP assessment program if committees will meet to conduct effect on the NAEP program by conducted in open session. Such regularly scheduled work based on providing confidential cost details and matters are protected by exemption 9(B) agenda items planned for this Quarterly proprietary contract costs of current of § 552b of Title 5 U.S.C. Board Meeting and follow-up items as contractors to the public. Discussion of Following the committee meetings, reported in the Governing Board’s this information would be likely to from 3:15 p.m. to 3:30 p.m., the committee meeting minutes available at significantly impede implementation of Governing Board will take a 15 minute http://nagb.gov/what-we-do/board- a proposed agency action if conducted break and thereafter meet in open committee-reports-and-agendas.html. in open session. Such matters are session from 3:30 p.m. to 4:30 p.m. protected by exemption 9(B) of section From 3:30 p.m. to 4:00 p.m., the Detailed Meeting Agenda: November 552b of Title 5 U.S.C. 16–18, 2017 Board will hear remarks from new On Friday, November 17, 2017, the members. The Governing Board will November 16: Committee Meetings Governing Board will meet in open then receive their annual ethics briefing session and also via webcast from 8:30 Assessment Development Committee conducted by the U.S. Department of a.m. to 12:30 p.m. Education, Office of General Counsel (ADC): Open Session: 11:15 a.m. to 1:30 From 8:30 a.m. to 8:45 a.m., the Ethics Division staff from 4:00 p.m. to p.m. Governing Board will review and Ad Hoc Committee on Measures of approve the November 17–18, 2017 4:30 p.m. Postsecondary Preparedness: Open Governing Board meeting agenda and The November 17, 2017 session will Session: 1:45 p.m. to 3:45 p.m. meeting minutes from the August 2017 adjourn at 4:30 p.m. Executive Committee: Open Session: Quarterly Board Meeting. Thereafter, the On November 18, 2017, the 4:30 p.m. to 5:00 p.m.; Closed Session: Governing Board Chairman will provide Nominations Committee will meet in 5:00 p.m. to 6:00 p.m. remarks. From 8:45 a.m. to 9:15 a.m., closed session from 7:30 a.m. to 8:15 November 17: Full Governing Board and the Secretary of Education, Betsy DeVos, a.m. The Committee will discuss Committee Meetings will administer the oath of office to five nominees for Governing Board vacancies for terms beginning October 1, Full Governing Board: Open Session: new members and one reappointed member and provide remarks. See the 2018. The Nominations Committee’s 8:30 a.m. to 12:30 p.m.; 3:30 p.m. to 4:30 discussions pertain solely to internal p.m. news release at the following link: https://www.nagb.org/news-and-events/ personnel rules and practices of an Committee Meetings news-releases/2017/release-20170928- agency and information of a personal nature where disclosure would ADC: Open Session: 12:45 p.m. to six-leaders-named.html. constitute a clearly unwarranted 2:15 p.m. On Friday, November 17, 2017, the invasion of personal privacy. As such, Reporting and Dissemination (R&D): Governing Board will hear from a panel the discussions are protected by Open Session 12:45 p.m. to 2:15 p.m. of experts on international assessments, ADC and R&D Joint Session: Open Thinking Beyond Borders: The Future of exemptions 2 and 6 of § 552b(c) of Title Session: 2:15 p.m. to 3:15 p.m. Student Assessment, from 9:15 a.m. to 5 of the United States Code. Committee on Standards, Design and 12:30 p.m. This session will be available The Governing Board will meet in Methodology (COSDAM): Open Session: via webcast online at www.nagb.gov on open session on November 18, 2017 12:45 p.m. to 2:30 p.m.; Closed Session: the day of the event. Members of the from 8:30 a.m. to 12:00 p.m. From 8:30 2:30 p.m. to 3:15 p.m. public may view the session in person a.m. to 9:30 a.m. the Governing Board on a first come, first serve basis, with an will engage in discussion on the November 18: Full Governing Board and overflow room also available as needed. international assessment panel that was Committee Meetings At 12:30 p.m., the Governing Board convened on Friday, November 17, Nominations Committee: Closed will recess for a 15 minute break and 2017. Then, from 9:30 a.m. to 10:30 Session: 7:30 a.m. to 8:15 a.m. convene for standing committee a.m., the Governing Board will discuss Full Governing Board: Open Session: meetings which will take place from the draft resolution on Governing Board 8:30 a.m. to 12:00 p.m. 12:45 p.m. to 3:15 p.m. The ADC and priorities for the NAEP Assessment On Thursday, November 16, 2017, R&D Committees will meet in open Schedule vis-a-vis the Governing ADC will meet in open session from session to conduct regular business. Board’s Strategic Vision #9, which is to 11:15 a.m. to 1:30 p.m. Thereafter, the Thereafter, the two committees will develop policy approaches to revise the Ad Hoc Committee on Measures of meet in an open joint session from 2:15 NAEP assessment subjects and Postsecondary Preparedness will meet p.m. to 3:15 p.m. schedule. VerDate Sep<11>2014 18:16 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00032 Fmt 4703 Sfmt 4703 E:\FR\FM\01NON1.SGM 01NON1 sradovich on DSK3GMQ082PROD with NOTICES 50640 Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Notices Following this session, the Governing Dated: October 27, 2017. DEPARTMENT OF ENERGY Board will take a break from 10:30 a.m. William J. Bushaw, to 10:45 a.m. Executive Director, National Assessment DOE/NSF High Energy Physics Advisory Panel From 10:45 a.m. to 11:15 a.m. the Governing Board (NAGB), U.S. Department Governing Board will receive committee of Education. AGENCY: Office of Science, Department reports and take action on the Release [FR Doc. 2017–23751 Filed 10–31–17; 8:45 am] of Energy. Plan for the 2017 NAEP Reading and BILLING CODE 4000–01–P ACTION: Notice of open meeting. Mathematics Report Cards for Grades 4 and 8. SUMMARY: This notice announces a DEPARTMENT OF EDUCATION meeting of the DOE/NSF High Energy From 11:15 a.m. to 12:00 p.m., the Physics Advisory Panel (HEPAP). The Governing Board will engage in State Educational Agency and Local Federal Advisory Committee Act discussion on the NAEP Framework Educational Agency—School Data requires that public notice of these Policy Revision pursuant to the Collection and Reporting Under ESEA, meetings be announced in the Federal Governing Board’s Strategic Vision #5, Title I, Part A; ED–2017–ICCD–0130; Register. which is to develop new approaches to Correction DATES: Thursday, November 30, 2017; update NAEP subject area frameworks. 8:30 a.m. to 6:00 p.m. and Friday, The November 18, 2017 meeting will AGENCY: Department of Education. December 1, 2017; 8:30 a.m. to 4:00 p.m. adjourn at 12:00 p.m. ACTION: Correction notice. ADDRESSES: Hilton Washington, DC Access to Records of the Meeting: North/Gaithersburg, 620 Perry Parkway, Pursuant to FACA requirements, the SUMMARY: On October 26, 2017, the U.S. Gaithersburg, MD 20877. public may also inspect the meeting Department of Education published a FOR FURTHER INFORMATION CONTACT: John materials at www.nagb.gov beginning on 60-day comment period notice in the Kogut, Executive Secretary; High Energy Thursday, November 16, 2017 by 10:00 Federal Register (Page 49602, Column Physics Advisory Panel (HEPAP); U.S. a.m. ET. The official verbatim 1; FR DOC #2017–23222) seeking public Department of Energy; Office of Science; SC–25/Germantown Building, 1000 transcripts of the public meeting comment for an information collection Independence Avenue SW., sessions will be available for public entitled, ‘‘State Educational Agency and Washington, DC 20585; Telephone: inspection no later than 30 calendar Local Educational Agency—School Data Collection and Reporting Under ESEA, (301) 903–1298; email: john.kogut@ days following the meeting. Title I, Part A’’. The abstract was science.doe.gov. Reasonable Accommodations: The incorrect, and is corrected as follows: SUPPLEMENTARY INFORMATION: meeting site is accessible to individuals Although the U.S. Department of Purpose of Meeting: To provide with disabilities. If you will need an Education (ED) determines Title I, Part advice and guidance on a continuing auxiliary aid or service to participate in A allocations for Local Educational basis to the Department of Energy and the meeting (e.g., interpreting service, Agencies (LEAs), the Elementary and the National Science Foundation on assistive listening device, or materials in Secondary Education Act, as amended scientific priorities within the field of an alternate format), notify the contact by the Every Student Succeeds Act, high energy physics research. person listed in this notice no later than requires State Educational Agencies 21 days prior to the meeting. Tentative Agenda: Agenda Will Include (SEAs) to adjust ED-determined Title I, Discussions of the Following Electronic Access to this Document: Part A LEA allocations to account for The official version of this document is newly created LEAs and LEA boundary November 30–December 1, 2017 the document published in the Federal changes, to redistribute Title I, Part A • Discussion of Department of Energy Register. Internet access to the official funds to small LEAs (under 20,000 total High Energy Physics Program edition of the Federal Register and the population) using alternative poverty • Discussion of National Science Code of Federal Regulations is available data (if an SEA has ED’s approval to do Foundation Elementary Particle via the Federal Digital System at: so), and to reserve funds for school Physics Program • www.gpo.gov/fdsys. At this site you can improvement, State administration, and, Reports on and Discussions of Topics view this document, as well as all other if applicable, Direct Student Services. of General Interest in High Energy This control number covers only the documents of this Department Physics burden associated with the actual • Public Comment (10-minute rule) published in the Federal Register, in procedures an SEA must follow when text or Adobe Portable Document Public Participation: The meeting is adjusting ED-determined LEA open to the public. A webcast of this Format (PDF). To use PDF, you must allocations. meeting will be available. Please check have Adobe Acrobat Reader, which is the Web site below for updates and available free at the Adobe Web site. The Acting Director, Information Collection Clearance Division, Office of information on how to view the You may also access documents of the meeting. If you would like to file a Department published in the Federal the Chief Privacy Officer, Office of Management, hereby issues a correction written statement with the Committee, Register by using the article search notice as required by the Paperwork you may do so either before or after the feature at: www.federalregister.gov. Reduction Act of 1995. meeting. If you would like to make oral Specifically, through the advanced statements regarding any of these items search feature at this site, you can limit Dated: October 26, 2017. on the agenda, you should contact John your search to documents published by Tomakie Washington, Kogut, (301) 903–1298 or by email at: the Department. Acting Director, Information Collection [email protected]. You must Clearance Division, Office of the Chief Privacy Authority: Pub. L. 107–279, Title III— make your request for an oral statement Officer, Office of Management. National Assessment of Educational Progress at least five business days before the § 301. [FR Doc. 2017–23710 Filed 10–31–17; 8:45 am] meeting. Reasonable provision will be BILLING CODE 4000–01–P made to include the scheduled oral VerDate Sep<11>2014 18:16 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00033 Fmt 4703 Sfmt 4703 E:\FR\FM\01NON1.SGM 01NON1 sradovich on DSK3GMQ082PROD with NOTICES Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Notices 50641 statements on the agenda. The utility, and clarity of the information 140 as amended (42 U.S.C. 17151 et Chairperson of the Panel will conduct being collected; and (d) ways to further seq.). the meeting to facilitate the orderly minimize the burden regarding the Issued in Washington, DC, October 26, conduct of business. Public comment collection of information on 2017. will follow the 10-minute rule. respondents, including through the use James Carlisle, Minutes: The minutes of the meeting of automated collection techniques or Supervisory Policy Advisor, Weatherization will be available on the U.S. Department other forms of information technology. and Intergovernmental Program, Office of of Energy’s Office of High Energy DATES: Comments regarding this Energy Efficiency and Renewable Energy. Physics Advisory Panel Web site: http:// revision to an approved information [FR Doc. 2017–23762 Filed 10–31–17; 8:45 am] science.energy.gov/hep/hepap/ collection must be received on or before BILLING CODE 6450–01–P meetings/. January 2, 2018. If you anticipate Issued at Washington, DC, on October 27, difficulty in submitting comments 2017. within that period, contact the person DEPARTMENT OF ENERGY LaTanya R. Butler, listed in ADDRESSES as soon as possible. Federal Energy Regulatory Deputy Committee Management Officer. ADDRESSES: Written comments may be Commission [FR Doc. 2017–23767 Filed 10–31–17; 8:45 am] sent to: Sallie Glaize, EE–5W, U.S. BILLING CODE 6450–01–P Department of Energy, 1000 [Docket No. ER18–157–000] Independence Ave. SW., Washington, DC 20585, Email: Sallie.Glaize@ DV Trading, LLC; Supplemental Notice DEPARTMENT OF ENERGY ee.doe.gov. That Initial Market-Based Rate Filing FOR FURTHER INFORMATION CONTACT: Includes Request for Blanket Section Office of Energy Efficiency and 204 Authorization Renewable Energy Requests for additional information or copies of the information collection This is a supplemental notice in the Revision of a Currently Approved instrument and instructions should be above-referenced proceeding of DV Information Collection for the Energy directed to: James Carlisle, U.S. Trading, LLC‘s application for market- Efficiency and Conservation Block Department of Energy, 1000 based rate authority, with an Grant Financing Programs Independence Ave. SW., Washington, accompanying rate tariff, noting that DC 20585, Phone: (202) 287–1724, Fax: AGENCY: Office of Energy Efficiency and such application includes a request for (412) 386–5835, Email: blanket authorization, under 18 CFR Renewable Energy, Department of [email protected]. Energy. part 34, of future issuances of securities Additional information and reporting and assumptions of liability. ACTION: Submission for Office of guidance concerning the Energy Any person desiring to intervene or to Management and Budget (OMB) review; Efficiency and Conservation Block Grant protest should file with the Federal public comment request. Program (EECBG) is available for review Energy Regulatory Commission, 888 SUMMARY: The Department of Energy at the following Web site: https:// First Street NE., Washington, DC 20426, (DOE) invites public comment on a energy.gov/eere/wipo/articles/energy- in accordance with Rules 211 and 214 revision of a currently approved efficiency-and-conservation-block-grant- of the Commission’s Rules of Practice collection of information that DOE is financing-programs-after-grant. and Procedure (18 CFR 385.211 and developing for submission to the Office SUPPLEMENTARY INFORMATION: This 385.214). Anyone filing a motion to of Management and Budget (OMB) information collection request contains: intervene or protest must serve a copy pursuant to the Paperwork Reduction (1) OMB No. 1910–5150; (2) Information of that document on the Applicant. Act of 1995. The information collection Collection Request Title: Energy Notice is hereby given that the requests a revision and three-year Efficiency and Conservation Block Grant deadline for filing protests with regard extension of its Energy Efficiency and Program Financing Programs; (3) Type to the applicant’s request for blanket Conservation Block Grant Program, of Review: Revision of a Currently authorization, under 18 CFR part 34, of OMB Control Number 1910–5150. Approved Information Collection; (4) future issuances of securities and The proposed action will continue the Purpose: To collect information on the assumptions of liability, is November collection of information on the status status of Financing Program activities, 15, 2017. of financing program activities, expenditures, and results, to ensure that The Commission encourages expenditures, and results, to ensure that program funds are being used electronic submission of protests and program funds are being used appropriately, effectively and interventions in lieu of paper, using the appropriately, effectively and expeditiously; (5) Annual Estimated FERC Online links at http:// expeditiously. No changes to the Number of Respondents: 108; (6) www.ferc.gov. To facilitate electronic collection instrument are being Annual Estimated Number of Total service, persons with Internet access proposed. Responses: 175; (7) Annual Estimated who will eFile a document and/or be Comments are invited on: (a) Whether Number of Burden Hours: 525; (8) listed as a contact for an intervenor the revision of the currently approved Annual Estimated Reporting and must create and validate an collection of information is necessary Recordkeeping Cost Burden: $21,000. eRegistration account using the for the proper performance of the Respondents, total responses, burden eRegistration link. Select the eFiling functions of the agency, including hours and the annual cost burden have link to log on and submit the whether the information shall have all been significantly reduced because of intervention or protests. practical utility; (b) the accuracy of the the retirement of grants, fewer programs Persons unable to file electronically agency’s estimate of the burden and a lessened burden on reporting and should submit an original and 5 copies pertaining to the approved collection of recordkeeping costs. of the intervention or protest to the information, including the validity of Statutory Authority: Title V, Subtitle Federal Energy Regulatory Commission, the methodology and assumptions used; E of the Energy Independence and 888 First Street NE., Washington, DC (c) ways to further enhance the quality, Security Act (EISA), Public Law 110– 20426. VerDate Sep<11>2014 18:16 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00034 Fmt 4703 Sfmt 4703 E:\FR\FM\01NON1.SGM 01NON1 sradovich on DSK3GMQ082PROD with NOTICES 50642 Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Notices The filings in the above-referenced to section 206(b) of the FPA, will be the Accession Number: 20171023–5482. proceeding are accessible in the date of publication of this notice in the Comments Due: 5 p.m. ET 11/6/17. Commission’s eLibrary system by Federal Register. Docket Numbers: RP18–53–000. clicking on the appropriate link in the Any interested person desiring to be above list. They are also available for heard in Docket No. EL18–21–000 must Applicants: El Paso Natural Gas electronic review in the Commission’s file a notice of intervention or motion to Company, L.L.C. Public Reference Room in Washington, intervene, as appropriate, with the Description: § 4(d) Rate Filing: Update DC. There is an eSubscription link on Federal Energy Regulatory Commission, to Fuel Exemption Routes to be effective the Web site that enables subscribers to 888 First Street NE., Washington, DC 12/1/2017. receive email notification when a 20426, in accordance with Rule 214 of Filed Date: 10/23/17. document is added to a subscribed the Commission’s Rules of Practice and Accession Number: 20171023–5485. docket(s). For assistance with any FERC Procedure, 18 CFR 385.214, within 21 Comments Due: 5 p.m. ET 11/6/17. Online service, please email days of the date of issuance of the order. The filings are accessible in the [email protected]. or call Dated: October 26, 2017. Commission’s eLibrary system by (866) 208–3676 (toll free). For TTY, call clicking on the links or querying the (202) 502–8659. Nathaniel J. Davis, Sr., Deputy Secretary. docket number. Dated: October 26, 2017. [FR Doc. 2017–23779 Filed 10–31–17; 8:45 am] Any person desiring to intervene or Nathaniel J. Davis, Sr., BILLING CODE 6717–01–P protest in any of the above proceedings Deputy Secretary. must file in accordance with Rules 211 [FR Doc. 2017–23780 Filed 10–31–17; 8:45 am] and 214 of the Commission’s BILLING CODE 6717–01–P DEPARTMENT OF ENERGY Regulations (18 CFR 385.211 and § 385.214) on or before 5:00 p.m. Eastern Federal Energy Regulatory time on the specified comment date. DEPARTMENT OF ENERGY Commission Protests may be considered, but intervention is necessary to become a Federal Energy Regulatory Combined Notice of Filings party to the proceeding. Commission Take notice that the Commission has eFiling is encouraged. More detailed [Docket No. EL18–21–000] received the following Natural Gas information relating to filing Pipeline Rate and Refund Report filings: requirements, interventions, protests, Alabama Power Company; Notice of service, and qualifying facilities filings Institution of Section 206 Proceeding Filings Instituting Proceedings can be found at: http://www.ferc.gov/ and Refund Effective Date Docket Numbers: RP18–51–000. docs-filing/efiling/filing-req.pdf. For On October 25, 2017, the Commission Applicants: Natural Gas Pipeline other information, call (866) 208–3676 issued an order in Docket No. EL18–21– Company of America. (toll free). For TTY, call (202) 502–8659. 000, pursuant to section 206 of the Description: § 4(d) Rate Filing: Targa Dated: October 25, 2017. Federal Power Act (FPA), 16 U.S.C. Gas Marketing Negotiated Rate to be Nathaniel J. Davis, Sr., effective 11/1/2017. 824e (2012), instituting an investigation Deputy Secretary. 1 Filed Date: 10/23/17. into whether Southern Companies’ [FR Doc. 2017–23778 Filed 10–31–17; 8:45 am] market-based rate authority in the South Accession Number: 20171023–5300. BILLING CODE 6717–01–P Carolina Electric and Gas Co., City of Comments Due: 5 p.m. ET 11/6/17. Tallahassee, and Santee Cooper Docket Numbers: RP18–52–000. balancing authority areas may be unjust, Applicants: Kern River Gas DEPARTMENT OF ENERGY unreasonable, unduly discriminatory or Transmission Company. preferential. Alabama Power Company, Description: § 4(d) Rate Filing: 2017 Federal Energy Regulatory 161 FERC 61,102 (2017). October Negotiated Rates to be effective Commission The refund effective date in Docket 10/23/2017. No. EL18–21–000, established pursuant Filed Date: 10/23/17. Notice of Petition for Declaratory Order Docket No. IGS ORIX Solar I, LLC, IGS Solar I, LLC ...... Docket No. EL18–24–000. IGS ORIX Solar I, LLC ...... Docket Nos. QF17–1029–002, QF17–1030–001, QF17–1337–001, QF17–1338–001, QF17– 1357–001, QF17–1455–001, QF17–1532–001, QF17–1537–001, QF17–1538–001. IGS Solar I, LLC ...... Docket Nos. QF17–1256–002, QF17–1257–002, QF17–1258–002. Take notice that on October 24, 2017, Commission grant certain of Applicants’ Certification of Qualifying Facility pursuant to Rule 207 of the Federal solar generating projects limited waivers Status to be filed for such project, all as Energy Regulatory Commission’s of the qualifying facility certification more fully explained in the petition. (Commission) Rules of Practice and requirement set forth in section Any person desiring to intervene or to Procedure, 18 CFR 385.207 (2017), IGS 292.203(a)(3) 1 for the period of time protest in this proceeding must file in ORIX Solar I, LLC and IGS Solar I, LLC during which each project commenced accordance with Rules 211 and 214 of (together Applicants) filed a petition for operation to the date Applicants caused the Commission’s Rules of Practice and declaratory order requesting the a FERC Form 556 Notice of Self- Procedure (18 CFR 385.211 and 1 Southern Companies include the following: Power Company; Gulf Power Company; Oleander Company—Florida LLC; and Mankato Energy Alabama Power Company; Southern Power Power Project, Limited Partnership; Southern Center, LLC. Company; Mississippi Power Company; Georgia 1 18 CFR 292.203(a)(3) (2017). VerDate Sep<11>2014 18:16 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00035 Fmt 4703 Sfmt 4703 E:\FR\FM\01NON1.SGM 01NON1 sradovich on DSK3GMQ082PROD with NOTICES Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Notices 50643 385.214) on or before 5:00 p.m. Eastern Filings Instituting Proceedings Filed Date: 10/18/17. time on the specified comment date. Docket Number: PR17–57–001. Accession Number: 20171018–5157. Protests will be considered by the Applicants: Houston Pipe Line Comments Due: 5 p.m. ET 10/30/17. Commission in determining the Company LP. Docket Numbers: RP18–45–000. appropriate action to be taken, but will Description: Tariff filing per Applicants: Midcontinent Express not serve to make protestants parties to 284.123(b), (e)+(g): Amended Rate Pipeline LLC. the proceeding. Any person wishing to Election of Houston Pipe Line Company Description: § 4(d) Rate Filing: Fuel become a party must file a notice of LP to be effective 11/1/2017; Filing Tracker Filing 10/19/17 to be effective intervention or motion to intervene, as Type: 1270. 12/1/2017. appropriate. Such notices, motions, or Filed Date: 10/13/17. Filed Date: 10/19/17. protests must be filed on or before the Accession Number: 201710135143. Accession Number: 20171019–5010. comment date. Anyone filing a motion Comments Due: 5 p.m. ET 11/3/17. Comments Due: 5 p.m. ET 10/31/17. to intervene or protest must serve a copy 284.123(g) Protests Due: 5 p.m. ET 12/ The filings are accessible in the of that document on the Petitioner. 12/17. Commission’s eLibrary system by The Commission encourages Docket Number: PR18–3–000. clicking on the links or querying the electronic submission of protests and Applicants: New Mexico Gas docket number. interventions in lieu of paper, using the Company, Inc. Any person desiring to intervene or FERC Online links at http:// Description: Tariff filing per protest in any of the above proceedings www.ferc.gov. To facilitate electronic 284.123(b), (e)+(g): Amended Statement must file in accordance with Rules 211 service, persons with Internet access of Operating Conditions to be effective and 214 of the Commission’s who will eFile a document and/or be 9/15/2017; Filing Type: 1300. Regulations (18 CFR 385.211 and listed as a contact for an intervenor Filed Date: 10/16/17. § 385.214) on or before 5:00 p.m. Eastern must create and validate an Accession Number: 201710165206. time on the specified date(s). Protests Comments Due: 5 p.m. ET 11/6/17. eRegistration account using the may be considered, but intervention is 284.123(g) Protests Due: 5 p.m. ET 12/ eRegistration link. Select the eFiling necessary to become a party to the 15/17. link to log on and submit the proceeding. intervention or protests. Docket Numbers: RP18–40–000. eFiling is encouraged. More detailed Applicants: Natural Gas Pipeline information relating to filing Persons unable to file electronically Company of America. requirements, interventions, protests, should submit an original and 5 copies Description: § 4(d) Rate Filing: service, and qualifying facilities filings of the intervention or protest to the Macquarie Energy LLC NRFiling to be can be found at: http://www.ferc.gov/ Federal Energy Regulatory Commission, effective 11/1/2017. docs-filing/efiling/filing-req.pdf. For 888 First Street NE., Washington, DC Filed Date: 10/18/17. other information, call (866) 208–3676 20426. Accession Number: 20171018–5050. (toll free). For TTY, call (202) 502–8659. Comments Due: 5 p.m. ET 10/30/17. The filings in the above proceeding Dated: October 19, 2017. Docket Numbers: RP18–41–000. are accessible in the Commission’s Nathaniel J. Davis, Sr., eLibrary system by clicking on the Applicants: Natural Gas Pipeline Deputy Secretary. appropriate link in the above list. They Company of America. are also available for review in the Description: § 4(d) Rate Filing: [FR Doc. 2017–23776 Filed 10–31–17; 8:45 am] Commission’s Public Reference Room in Amendment to NRAFiling BILLING CODE 6717–01–P Washington, DC. There is an MercuriaEnergy America, Inc. to be eSubscription link on the Web site that effective 11/1/2017. DEPARTMENT of ENERGY enables subscribers to receive email Filed Date: 10/18/17. notification when a document is added Accession Number: 20171018–5052. Comments Due: 5 p.m. ET 10/30/17. Federal Energy Regulatory to a subscribed docket(s). For assistance Commission with any FERC Online service, please Docket Numbers: RP18–42–000. email [email protected] Applicants: Algonquin Gas Combined Notice of Filings call (866) 208–3676 (toll free). For TTY, Transmission, LLC. call (202) 502–8659. Description: § 4(d) Rate Filing: Take notice that the Commission has Addition of Exit Fee language to be received the following Natural Gas Comment Date: 5:00 p.m. Eastern time effective 11/17/2017. Pipeline Rate and Refund Report filings: on November 24, 2017. Filed Date: 10/18/17. Filings Instituting Proceedings Dated: October 25, 2017. Accession Number: 20171018–5053. Nathaniel J. Davis, Sr., Comments Due: 5 p.m. ET 10/30/17. Docket Numbers: RP12–1093–001. Deputy Secretary. Docket Numbers: RP18–43–000. Applicants: Northern Border Pipeline Applicants: Algonquin Gas Company. [FR Doc. 2017–23773 Filed 10–31–17; 8:45 am] Transmission, LLC. Description: Petition of Northern BILLING CODE 6717–01–P Description: § 4(d) Rate Filing: Border Pipeline Company to Amend Negotiated Rates—Key Span Release to Language in the Settlement Agreement, DEPARTMENT OF ENERGY Emera 794830 to be effective 11/1/2017. et al. under RP12–1093. Filed Date: 10/18/17. Filed Date: 10/20/17. Federal Energy Regulatory Accession Number: 20171018–5082. Accession Number: 20171020–5150. Commission Comments Due: 5 p.m. ET 10/30/17. Comments Due: 5 p.m. ET 10/26/17. Docket Numbers: RP18–44–000. Docket Numbers: RP18–46–000. Combined Notice of Filings Applicants: Centra Pipelines Applicants: Equitrans, L.P. Minnesota Inc. Description: § 4(d) Rate Filing: Non- Take notice that the Commission has Description: § 4(d) Rate Filing: Update Conforming Negotiated Rate Service received the following Natural Gas Shipper Index Oct 2017 to be effective Agreements—PTWP Name Change to be Pipeline Rate and Refund Report filings: 12/1/2017. effective 7/12/2017. VerDate Sep<11>2014 18:16 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00036 Fmt 4703 Sfmt 4703 E:\FR\FM\01NON1.SGM 01NON1 sradovich on DSK3GMQ082PROD with NOTICES 50644 Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Notices Filed Date: 10/20/17. DEPARTMENT OF ENERGY Filed Date: 10/24/17. Accession Number: 20171020–5033. Accession Number: 20171024–5138. Comments Due: 5 p.m. ET 11/1/17. Federal Energy Regulatory Comments Due: 5 p.m. ET 11/14/17. Docket Numbers: RP18–47–000. Commission Docket Numbers: ER18–146–000. Applicants: Equitrans, L.P. Applicants: Midcontinent Combined Notice of Filings #1 Description: Compliance filing Notice Independent System Operator, Inc. Regarding Non-Jurisdictional Gathering Take notice that the Commission Description: § 205(d) Rate Filing: Facilities (Auburn CS PEG173/4). received the following electric corporate 2017–10–24_MISO–SPP JOA Revisions Filed Date: 10/20/17. to Market-to-Market Provisions to be Accession Number: 20171020–5043. filings: Comments Due: 5 p.m. ET 11/1/17. Docket Numbers: EC18–7–000. effective 1/4/2018. Docket Numbers: RP18–48–000. Applicants: MDU Resources Group, Applicants: Natural Gas Pipeline Inc., Otter Tail Power Company. Filed Date: 10/24/17. Company of America. Description: Request of MDU Accession Number: 20171024–5132. Description: § 4(d) Rate Filing: DTE Resources Group, Inc., et al. for Comments Due: 5 p.m. ET 11/14/17. Energy Trading Negotiated Rate Approvals Pursuant to Section 203 of Docket Numbers: ER18–148–000. Agreement to be effective 11/1/2017. the Federal Power Act. Applicants: Midcontinent Filed Date: 10/20/17. Filed Date: 10/24/17. Independent System Operator, Inc. Accession Number: 20171020–5054. Accession Number: 20171024–5162. Description: § 205(d) Rate Filing: Comments Due: 5 p.m. ET 11/1/17. Comments Due: 5 p.m. ET 11/14/17. 2017–10–24_SA 2946 MidAmerican- Docket Numbers: RP18–49–000. Docket Numbers: EC18–8–000. MidAmerican E&P (J498) Termination to Applicants: Gulf Crossing Pipeline Applicants: Otter Tail Power be effective 10/25/2017. Company LLC. Company, MDU Resources Group, Inc. Filed Date: 10/24/17. Description: § 4(d) Rate Filing: Description: Request of MDU Accession Number: 20171024–5134. Amendment to Neg Rate Agmt (BP Resources Group, Inc., et al. for Comments Due: 5 p.m. ET 11/14/17. 1884–2) to be effective 5/23/2017. Approvals Pursuant to Section 203 of Docket Numbers: ER18–149–000. Filed Date: 10/20/17. the Federal Power Act. Applicants: Midcontinent Accession Number: 20171020–5055. Independent System Operator, Inc. Comments Due: 5 p.m. ET 11/1/17. Filed Date: 10/24/17. Accession Number: 20171024–5177. Description: § 205(d) Rate Filing: Docket Numbers: RP18–50–000. Comments Due: 5 p.m. ET 11/14/17. 2017–10–24_MISO–SPP JOA Clean-Up Applicants: BKV Chelsea, LLC,BKV Revisions to Article XI and Attachment Operating, LLC,Carrizo (Marcellus) Take notice that the Commission 3 to be effective LLC,Reliance Marcellus II, LLC. received the following electric rate Description: Joint Petition of BKV filings: 12/24/2017. Chelsea, LLC, et al. for Limited Docket Numbers: ER17–2099–000. Filed Date: 10/24/17. Transaction Specific Waivers of Applicants: Black Hills Power, Inc. Accession Number: 20171024–5135. Comments Due: 5 p.m. ET 11/14/17. Commission Policies, Capacity Release Description: Black Hills Power, Inc. Regulations, and Related Pipeline Tariff submits tariff filing per 35.19a(b): Docket Numbers: ER18–150–000. Provisions under RP18–50. Refund Report (ER17–2098–000, ER17– Applicants: Southwest Power Pool, Filed Date: 10/20/17. 2099–000 & ER17–2100–000) to be Inc. Accession Number: 20171020–5238. effective N/A. Description: § 205(d) Rate Filing: Comments Due: 5 p.m. ET 10/27/17. Filed Date: 10/24/17. SPP–MISO JOA Revisions to Market-to- The filings are accessible in the Accession Number: 20171024–5116. Market Provisions to be effective 1/4/ Commission’s eLibrary system by Comments Due: 5 p.m. ET 11/14/17. 2018. clicking on the links or querying the Docket Numbers: ER17–2197–002. Filed Date: 10/24/17. docket number. Applicants: Nevada Power Company. Accession Number: 20171024–5136. Any person desiring to intervene or Description: Tariff Amendment: Rate Comments Due: 5 p.m. ET 11/14/17. protest in any of the above proceedings Schedule No. 155 NPC/CRC Agr. Docket Numbers: ER18–151–000. must file in accordance with Rules 211 Response to FERC 102417 to be effective Applicants: Southwest Power Pool, and 214 of the Commission’s 10/1/2017. Inc. Regulations (18 CFR 385.211 and Filed Date: 10/24/17. Description: § 205(d) Rate Filing: § 385.214) on or before 5:00 p.m. Eastern Accession Number: 20171024–5137. SPP–MISO JOA Revisions to Article XI time on the specified comment date. Comments Due: 5 p.m. ET 11/14/17. and Attachment 3 to be effective 12/24/ Protests may be considered, but Docket Numbers: ER18–137–001. 2017. intervention is necessary to become a Applicants: PJM Interconnection, Filed Date: 10/24/17. party to the proceeding. L.L.C. Accession Number: 20171024–5139. eFiling is encouraged. More detailed Description: Tariff Amendment: Errata Comments Due: 5 p.m. ET 11/14/17. information relating to filing to 10/23/17 Filing of Revisions to Docket Numbers: ER18–152–000. requirements, interventions, protests, MISO–PJM JOA re Overlapping Applicants: Otter Tail Power service, and qualifying facilities filings Congestion to be effective 3/1/2018. Company, Montana-Dakota Utilities Co., can be found at: http://www.ferc.gov/ Filed Date: 10/24/17. NorthWestern Corporation. docs-filing/efiling/filing-req.pdf. For Accession Number: 20171024–5156. Description: § 205(d) Rate Filing: other information, call (866) 208–3676 Comments Due: 5 p.m. ET 11/14/17. Filing and Restatement of Coyote 1 (toll free). For TTY, call (202) 502–8659. Docket Numbers: ER18–140–001. Station Transmission Facilities Dated October 24, 2017. Applicants: Lackawanna Energy Agreement to be effective 7/30/2010. Nathaniel J. Davis, Sr., Center LLC. Filed Date: 10/24/17. Deputy Secretary. Description: Tariff Amendment: Accession Number: 20171024–5154. [FR Doc. 2017–23777 Filed 10–31–17; 8:45 am] Supplement to Market-Based Rate Comments Due: 5 p.m. ET 11/14/17. BILLING CODE 6717–01–P Application to be effective 12/24/2017. Docket Numbers: ER18–153–000. VerDate Sep<11>2014 18:16 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00037 Fmt 4703 Sfmt 4703 E:\FR\FM\01NON1.SGM 01NON1 sradovich on DSK3GMQ082PROD with NOTICES Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Notices 50645 Applicants: Otter Tail Power DEPARTMENT OF ENERGY at: (866) 208–3676 (toll-free), or (202) Company, NorthWestern Corporation, 502–8659 for TTY. Montana-Dakota Utilities Co. Federal Energy Regulatory Docket: Users interested in receiving Commission Description: § 205(d) Rate Filing: automatic notification of activity in this Filing and Restatement of Big Stone [Docket No. IC17–14–000] docket or in viewing/downloading Plant Transmission Facilities Agreement comments and issuances in this docket to be effective 7/30/2010. Commission Information Collection may do so at http://www.ferc.gov/docs- Activities (FERC–725U); Comment filing/docs-filing.asp. Filed Date: 10/24/17. Request FOR FURTHER INFORMATION CONTACT: Accession Number: 20171024–5155. AGENCY: Federal Energy Regulatory Ellen Brown may be reached by email Comments Due: 5 p.m. ET 11/14/17. Commission. at [email protected], by ACTION: Comment request. telephone at (202) 502–8663, and by fax Docket Numbers: ER18–154–000. at (202) 273–0873. Applicants: Southern California SUMMARY: In compliance with the SUPPLEMENTARY INFORMATION: Edison Company. requirements of the Paperwork Title: Mandatory Reliability Description: § 205(d) Rate Filing: SCE Reduction Act of 1995, the Federal Standards: Reliability Standard CIP– 2018 TRBAA Update to be effective Energy Regulatory Commission 014. 1/1/2018. (Commission or FERC) is submitting its OMB Control No.: 1902–0274. information collection (FERC–725U, Filed Date: 10/24/17. Type of Request: Three-year extension Mandatory Reliability Standards: of the FERC–725U information Accession Number: 20171024–5157. Mandatory Reliability Standard CIP– collection requirements with no changes Comments Due: 5 p.m. ET 11/14/17. 014) to the Office of Management and to the reporting requirements. Budget (OMB) for review of the Abstract: Reliability Standard CIP– Docket Numbers: ER18–155–000. information collection requirements. 014–2 1 requires applicable transmission Any interested person may file Applicants: EnPowered. owners and transmission operators to comments directly with OMB and Description: Baseline eTariff Filing: identify and protect transmission should address a copy of those EnPowered USA, Inc. Market Based stations and transmission substations, comments to the Commission as and their associated primary control Rate Tariff to be effective 10/31/2017. explained below. The Commission centers that if rendered inoperable or Filed Date: 10/25/17. previously issued a Notice in the damaged as a result of a physical attack Federal Register (82 FR 41618, 9/1/ Accession Number: 20171025–5000. could result in instability, uncontrolled 2017) requesting public comments. The Comments Due: 5 p.m. ET 11/15/17. separation, or cascading within an Commission received no comments on Interconnection. The filings are accessible in the the FERC–725U and is making this Transmission owners and Commission’s eLibrary system by notation in its submittal to OMB. transmission operators must keep data clicking on the links or querying the DATES: Comments on the collection of or evidence to show compliance with information are due by December 1, docket number. the standard for three years unless 2017. Any person desiring to intervene or directed by its Compliance Enforcement protest in any of the above proceedings ADDRESSES: Comments filed with OMB, Authority. If a responsible entity is must file in accordance with Rules 211 identified by the OMB Control No. found non-compliant, it must keep and 214 of the Commission’s 1902–0274, should be sent via email to information related to the non- Regulations (18 CFR 385.211 and the Office of Information and Regulatory compliance until mitigation is complete _ 385.214) on or before 5:00 p.m. Eastern Affairs: oira [email protected]. and approved, or for the three years, time on the specified comment date. Attention: Federal Energy Regulatory whichever is longer. Protests may be considered, but Commission Desk Officer. The Desk Type of Respondents: Transmission intervention is necessary to become a Officer may also be reached via owners (TO) and transmission operators party to the proceeding. telephone at 202–395–0710. (TOP). A copy of the comments should also Estimate of Annual Burden: 2 The eFiling is encouraged. More detailed be sent to the Commission, in Docket Commission estimates the annual public information relating to filing No. IC17–14–000, by either of the reporting burden for the information requirements, interventions, protests, following methods: collection as: service, and qualifying facilities filings • eFiling at Commission’s Web site: can be found at: http://www.ferc.gov/ http://www.ferc.gov/docs-filing/ 1 Reliability Standard CIP–014–2 was docs-filing/efiling/filing-req.pdf. For efiling.asp. • implemented by the letter Order in Docket No. other information, call (866) 208–3676 Mail/Hand Delivery/Courier: RD15–4–000 issued on 7/14/2015. Docket No. (toll free). For TTY, call (202) 502–8659. Federal Energy Regulatory Commission, RD15–4–000 was not submitted to OMB because it Secretary of the Commission, 888 First did not implicate the Paperwork Reduction Act. Dated: October 25, 2017. Street NE., Washington, DC 20426. The revised standard became effective on 10/2/2015 Nathaniel J. Davis, Sr., and is now being included in the FERC–725U Instructions: All submissions must be information collection. Deputy Secretary. formatted and filed in accordance with 2 Burden is defined as the total time, effort, or [FR Doc. 2017–23772 Filed 10–31–17; 8:45 am] submission guidelines at: http:// financial resources expended by persons to www.ferc.gov/help/submission- generate, maintain, retain, or disclose or provide BILLING CODE 6717–01–P information to or for a Federal agency. For further guide.asp. For user assistance contact explanation of what is included in the information FERC Online Support by email at collection burden, reference 5 Code of Federal [email protected], or by phone Regulations 1320.3. VerDate Sep<11>2014 18:16 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00038 Fmt 4703 Sfmt 4703 E:\FR\FM\01NON1.SGM 01NON1 sradovich on DSK3GMQ082PROD with NOTICES 50646 Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Notices FERC–725U—MANDATORY RELIABILITY STANDARDS: RELIABILITY STANDARD CIP–014 3 Number Number of Total Total burden hours and type responses per number of Average burden hours 4 and total cost of respondents respondent responses and cost per response (1) (2) (1) * (2) = (3) (4) (3) * (4) Year 1: R1 ...... 334 TO ...... 1 334 20 hrs.; $1,280 ...... 6,680 hrs.; $427,520. R2 ...... 334 TO ...... 1 334 34 hrs; $2,448 ...... 11,356 hrs.; $817,632. R3 ...... 2 TOP ...... 1 2 1 hrs.; $129 ...... 2 hrs.; $258. R4 ...... 30 TO and 2 TOP ...... 1 32 80 hrs.; $5,120 ...... 2,560 hrs.; $163,840. R5 ...... 30 TO and 2 TOP ...... 1 32 320 hrs.; $20,480 ...... 10,240 hrs.; $655,360. R6 ...... 30 TO and 2 TOP ...... 1 32 304 hrs.; $19,456 ...... 9,728 hrs.; $622,592. Record Retention ...... 334 TO and 2 TOP ...... 1 336 2 hrs.; $76 ...... 672 hrs.; $25,536. Year 2: Record Retention ...... 334 TO and 2 TOP ...... 1 336 2 hrs.; $76 ...... 672 hrs.; $25,536. Year 3: R1 ...... 30 TO ...... 1 30 20 hrs.; $1,280 ...... 600 hrs.; $38,400. R2 ...... 30 TO ...... 1 30 34 hrs.; $2,436 ...... 1,020 hrs.; $73,080. R3 ...... 2 TOP ...... 1 2 1 hrs.; $129 ...... 2 hrs.; $258. R4 ...... 30 TO and 2 TOP ...... 1 32 80 hrs.; $5,120 ...... 2,560 hrs.; $163,840. R5 ...... 30 TO and 2 TOP ...... 1 32 80 hrs.; $5,120 ...... 2,560 hrs.; $163,840. R6 ...... 30 TO and 2 TOP ...... 1 32 134 hrs.; $8,576 ...... 4,288 hrs.; $274,432. Record Retention ...... 334 TO and 2 TOP ...... 1 336 2 hrs.; $76 ...... 672 hrs.; $25,536. Year 1 Total ...... 41,238 hrs.; $2,712,738. Year 2 Total ...... 672 hrs.; $25,536. Year 3 Total ...... 11,702 hrs.; $739,386. Total (for Years 1–3) ...... 53,612 hrs.; $3,477,660. Average Annual Burden and Cost ...... 17,871 hrs.; $1,159,220. (for Years 1–3). Comments: Comments are invited on: Dated: October 25, 2017. a new point of interconnection with (1) Whether the collection of Kimberly D. Bose, Tennessee Gas Pipeline Company, LLC information is necessary for the proper Secretary. adjacent to the Meadville Compressor performance of the functions of the [FR Doc. 2017–23723 Filed 10–31–17; 8:45 am] Station in Crawford County, Commission, including whether the BILLING CODE 6717–01–P Pennsylvania and extend to a new information will have practical utility; delivery point interconnection with the (2) the accuracy of the agency’s estimate distribution facilities of Dominion of the burden and cost of the collection DEPARTMENT OF ENERGY Energy Ohio (DEO) in North Kingsville of information, including the validity of in Ashtabula County, Ohio. The project the methodology and assumptions used; Federal Energy Regulatory also includes the reconstruction and (3) ways to enhance the quality, utility Commission conversion of two compressor stations and clarity of the information collection; totaling 1,862 hp. The Risberg Line [Docket No. CP18–6–000] and (4) ways to minimize the burden of would provide for 55,000 Dth/d of firm the collection of information on those RH energytrans, LLC; Notice of transportation service to northeast Ohio who are to respond, including the use Application markets. The estimated cost to construct of automated collection techniques or the project and to acquire the existing other forms of information technology. Take notice that on October 16, 2017, gathering pipeline is about $88 million. RH energytrans, LLC (RH), 558 West 6th The filing may be viewed on the Web 3 For each Reliability Standard, the Measure Street, Erie, PA 16507, filed an at http://www.ferc.gov using the shows the acceptable evidence for the associated application pursuant to section 7(c) of Reporting Requirement (R numbers), and the ‘‘eLibrary’’ link. Enter the docket Compliance section details the related the Natural Gas Act (NGA) and Parts number excluding the last three digits in Recordkeeping Requirement. 157 and 284 of the Commission’s the docket number field to access the 4 The estimates for cost per response are derived Regulations requesting authority to document. For assistance, contact FERC using the following formula: Average Burden Hours construct and operate a new interstate per Response * XX per Hour = Average Cost per at [email protected] or call Response. natural gas pipeline system (referred to toll-free, (886) 208–3676 or TYY, (202) The hourly cost figures are based on data for as the Risberg Line), including pipeline 502–8659. wages plus benefits from the Bureau of Labor facilities, two compressor stations, Any questions concerning this Statistics (as of 11/9/2016) at https://www.bls.gov/ metering and regulating stations and oes/current/naics2_22.htm and http://www.bls.gov/ application may be directed to James F. news.release/ecec.nr0.htm. The figures are rounded appurtenant facilities in Pennsylvania Bowe, Jr., King & Spalding LLP, 1700 for the purposes of calculations in this table and and Ohio. are: Pennsylvania Avenue, Suite 200, Specifically, the project would Washington, DC 20006, Phone (202) 1. For electrical engineers (occupation code: 17– include a total of 59.9 miles of pipeline 2071), $64.29/hr., rounded to $64/hr. 626–9601, email [email protected]. incorporating 31.6 miles of existing 8- 2. For attorneys (occupation code: 23–0000), Pursuant to section 157.9 of the inch and 12-inch diameter gas pipeline $129.12/hr., rounded to $129/hr. Commission’s rules, 18 CFR 157.9, 3. For administrative staff (occupation code: 43– currently used as gathering facilities and within 90 days of this Notice the 0000), $37.75/hr., rounded to $38/hr. 28 miles of new 12-inch diameter Commission staff will either: Complete The record retention cost is based on the pipeline. The pipeline facilities begin at administrative staff category; R3 is based on the its environmental assessment (EA) and attorney category; Requirements R1, R4, R5 and R6 place it into the Commission’s public are based on the electrical engineer category; and attorney (4 hrs. at $129/hr.) categories. The R2 is a mix of the electrical engineer and related resulting average hourly figure is $71.65, rounded record (eLibrary) for this proceeding, or engineering review process (30 hrs. at $64/hr.) and to $72/hr. issue a Notice of Schedule for VerDate Sep<11>2014 19:17 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00039 Fmt 4703 Sfmt 4703 E:\FR\FM\01NON1.SGM 01NON1 sradovich on DSK3GMQ082PROD with NOTICES Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Notices 50647 Environmental Review. If a Notice of and will be notified of meetings The Commission encourages Schedule for Environmental Review is associated with the Commission’s electronic submission of protests and issued, it will indicate, among other environmental review process. interventions in lieu of paper, using the milestones, the anticipated date for the Environmental commenters will not be FERC Online links at http:// Commission staff’s issuance of the final required to serve copies of filed www.ferc.gov. To facilitate electronic environmental impact statement (FEIS) documents on all other parties. service, persons with Internet access or EA for this proposal. The filing of the However, the non-party commenters who will eFile a document and/or be EA in the Commission’s public record will not receive copies of all documents listed as a contact for an intervenor for this proceeding or the issuance of a filed by other parties or issued by the must create and validate an Notice of Schedule will serve to notify Commission (except for the mailing of eRegistration account using the federal and state agencies of the timing environmental documents issued by the eRegistration link. Select the eFiling for the completion of all necessary Commission) and will not have the right link to log on and submit the reviews, and the subsequent need to to seek court review of the intervention or protests. complete all federal authorizations Commission’s final order. Persons unable to file electronically within 90 days of the date of issuance The Commission strongly encourages should submit an original and 5 copies of the Commission staff’s FEIS or EA. electronic filings of comments, protests of the intervention or protest to the There are two ways to become and interventions in lieu of paper using Federal Energy Regulatory Commission, involved in the Commission’s review of the ‘‘eFiling’’ link at http:// 888 First Street NE., Washington, DC this project. First, any person wishing to www.ferc.gov. Persons unable to file 20426. obtain legal status by becoming a party electronically should submit an original The filings in the above-referenced to the proceedings for this project and 7 copies of the protest or proceeding are accessible in the should, on or before the comment date intervention to the Federal Energy Commission’s eLibrary system by stated below, file with the Federal regulatory Commission, 888 First Street clicking on the appropriate link in the Energy Regulatory Commission, 888 NE., Washington, DC 20426. above list. They are also available for First Street NE., Washington, DC 20426, Comment Date: November 16, 2017. electronic review in the Commission’s a motion to intervene in accordance Dated: October 26, 2017. Public Reference Room in Washington, with the requirements of the Kimberly D. Bose, DC. There is an eSubscription link on Commission’s Rules of Practice and Secretary. the Web site that enables subscribers to Procedure (18 CFR 385.214 or 385.211) [FR Doc. 2017–23721 Filed 10–31–17; 8:45 am] receive email notification when a and the Regulations under the NGA (18 document is added to a subscribed BILLING CODE 6717–01–P CFR 157.10). A person obtaining party docket(s). For assistance with any FERC status will be placed on the service list Online service, please email maintained by the Secretary of the DEPARTMENT OF ENERGY [email protected]. or call Commission and will receive copies of (866) 208–3676 (toll free). For TTY, call all documents filed by the applicant and Federal Energy Regulatory (202) 502–8659. by all other parties. A party must submit Commission 5 copies of filings made with the Dated: October 25, 2017. Commission and must mail a copy to [Docket No. ER18–158–000] Nathaniel J. Davis, Sr., Deputy Secretary. the applicant and to every other party in EnPowered; Supplemental Notice That [FR Doc. 2017–23782 Filed 10–31–17; 8:45 am] the proceeding. Only parties to the Initial Market-Based Rate Filing proceeding can ask for court review of Includes Request for Blanket Section BILLING CODE 6717–01–P Commission orders in the proceeding. 204 Authorization However, a person does not have to intervene in order to have comments This is a supplemental notice in the DEPARTMENT OF ENERGY considered. The second way to above-referenced proceeding participate is by filing with the EnPowered’s application for market- Federal Energy Regulatory Secretary of the Commission, as soon as based rate authority, with an Commission possible, an original and two copies of accompanying rate tariff, noting that Combined Notice of Filings #2 comments in support of or in opposition such application includes a request for to this project. The Commission will blanket authorization, under 18 CFR Take notice that the Commission consider these comments in part 34, of future issuances of securities received the following electric rate determining the appropriate action to be and assumptions of liability. filings: taken, but the filing of a comment alone Any person desiring to intervene or to Docket Numbers: ER18–87–001. will not serve to make the filer a party protest should file with the Federal Applicants: PJM Interconnection, to the proceeding. The Commission’s Energy Regulatory Commission, 888 L.L.C. rules require that persons filing First Street NE., Washington, DC 20426, Description: Tariff Amendment: Errata comments in opposition to the project in accordance with Rules 211 and 214 to Make Corrections to Revisions in provide copies of their protests only to of the Commission’s Rules of Practice ER18–87–000 to be effective 4/1/2018. the party or parties directly involved in and Procedure (18 CFR 385.211 and Filed Date: 10/25/17. the protest. 385.214). Anyone filing a motion to Accession Number: 20171025–5145. Persons who wish to comment only intervene or protest must serve a copy Comments Due: 5 p.m. ET 11/15/17. on the environmental review of this of that document on the Applicant. Docket Numbers: ER18–156–000. project should submit an original and Notice is hereby given that the Applicants: Southern California two copies of their comments to the deadline for filing protests with regard Edison Company. Secretary of the Commission. to the applicant’s request for blanket Description: § 205(d) Rate Filing: Environmental commenters will be authorization, under 18 CFR part 34, of Amended LGIA Altagas Sonoran Energy placed on the Commission’s future issuances of securities and Inc. Service Agreement No. 158 to be environmental mailing list, will receive assumptions of liability, is November effective 10/26/2017. copies of the environmental documents, 14, 2017. Filed Date: 10/25/17. VerDate Sep<11>2014 18:16 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00040 Fmt 4703 Sfmt 4703 E:\FR\FM\01NON1.SGM 01NON1 sradovich on DSK3GMQ082PROD with NOTICES 50648 Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Notices Accession Number: 20171025–5101. intervention is necessary to become a Description: § 205(d) Rate Filing: Comments Due: 5 p.m. ET 11/15/17. party to the proceeding. 3179R1 Transource Missouri & OPPD Docket Numbers: ER18–157–000. eFiling is encouraged. More detailed Interconnection Agreement to be Applicants: DV Trading, LLC. information relating to filing effective 10/18/2017. Description: Baseline eTariff Filing: requirements, interventions, protests, Filed Date: 10/26/17. DV Trading New Company’s Tariff service, and qualifying facilities filings Accession Number: 20171026–5162. (Initial Tariff Baseline) to be effective can be found at: http://www.ferc.gov/ Comments Due: 5 p.m. ET 11/16/17. 10/26/2017. docs-filing/efiling/filing-req.pdf. For Docket Numbers: ER18–168–000. Filed Date: 10/25/17. other information, call (866) 208–3676 Applicants: PJM Interconnection, Accession Number: 20171025–5102. (toll free). For TTY, call (202) 502–8659. L.L.C. Comments Due: 5 p.m. ET 11/15/17. Dated: October 25, 2017. Description: § 205(d) Rate Filing: Docket Numbers: ER18–158–000. Nathaniel J. Davis, Sr., Amendment to Interconnection Service Applicants: EnPowered. Deputy Secretary. Agreement No. 1371, Queue No. K19 to Description: Baseline eTariff Filing: be effective 7/28/2005. [FR Doc. 2017–23781 Filed 10–31–17; 8:45 am] Filed Date: 10/26/17. EnPowered USA, Inc. Market Based BILLING CODE 6717–01–P Rate Tariff to be effective 10/31/2017. Accession Number: 20171026–5228. Filed Date: 10/25/17. Comments Due: 5 p.m. ET 11/16/17. Accession Number: 20171025–5114. DEPARTMENT OF ENERGY The filings are accessible in the Comments Due: 5 p.m. ET 11/15/17. Commission’s eLibrary system by Docket Numbers: ER18–159–000. Federal Energy Regulatory clicking on the links or querying the Applicants: PJM Interconnection, Commission docket number. L.L.C. Any person desiring to intervene or Description: § 205(d) Rate Filing: Combined Notice of Filings #1 protest in any of the above proceedings must file in accordance with Rules 211 Interconnection Service Agreement SA Take notice that the Commission and 214 of the Commission’s No. 4810, Queue No. AA2–103 to be received the following electric rate Regulations (18 CFR 385.211 and effective 9/27/2017. filings: Filed Date: 10/25/17. 385.214) on or before 5:00 p.m. Eastern Docket Numbers: ER18–136–001. time on the specified comment date. Accession Number: 20171025–5142. Applicants: Midcontinent Comments Due: 5 p.m. ET 11/15/17. Protests may be considered, but Independent System Operator, Inc. intervention is necessary to become a Docket Numbers: ER18–160–000. Description: Tariff Amendment: party to the proceeding. Applicants: MDU Resources Group, _ 2017–10–25 Errata filing to MISO–PJM eFiling is encouraged. More detailed Inc. JOA revisions to address congestion information relating to filing Description: § 205(d) Rate Filing: overlap to be effective 3/1/2018. requirements, interventions, protests, Coyote Concurrence Filing to be Filed Date: 10/25/17. service, and qualifying facilities filings effective 9/29/2010. Accession Number: 20171025–5233. can be found at: http://www.ferc.gov/ Filed Date: 10/25/17. Comments Due: 5 p.m. ET 11/15/17. docs-filing/efiling/filing-req.pdf. For Accession Number: 20171025–5157. Docket Numbers: ER18–164–000. other information, call (866) 208–3676 Comments Due: 5 p.m. ET 11/15/17. Applicants: Public Service Company (toll free). For TTY, call (202) 502–8659. Docket Numbers: ER18–161–000. of Colorado. Applicants: MDU Resources Group, Description: Stipulation and Offer of Dated: October 26, 2017. Inc. Settlement of Public Service Company Nathaniel J. Davis, Sr., Description: § 205(d) Rate Filing: Big of Colorado. Deputy Secretary. Stone Concurrence Filings to be Filed Date: 10/25/17. [FR Doc. 2017–23775 Filed 10–31–17; 8:45 am] Accession Number: 20171025–5247. effective 9/29/2010. BILLING CODE 6717–01–P Comments Due: 5 p.m. ET 11/15/17. Filed Date: 10/25/17. Accession Number: 20171025–5158. Docket Numbers: ER18–165–000. Comments Due: 5 p.m. ET 11/15/17. Applicants: Midcontinent DEPARTMENT OF ENERGY Independent System Operator, Inc. Docket Numbers: ER18–162–000. Description: § 205(d) Rate Filing: Federal Energy Regulatory Applicants: KASS Commodities. 2017–10–26_SA 3030 Tenaska-Entergy Commission Description: Tariff Cancellation: 1st Rev GIA (J486) to be effective [Docket No. ER18–140–000] Cancellation of MBR Tariff to be 10/23/2017. effective 12/31/2017. Filed Date: 10/26/17. Filed Date: 10/25/17. Lackawanna Energy Center LLC; Accession Number: 20171026–5042. Supplemental Notice That Initial Accession Number: 20171025–5166. Comments Due: 5 p.m. ET 11/16/17. Comments Due: 5 p.m. ET 11/15/17. Market-Based Rate Filing Includes Docket Numbers: ER18–166–000. Request for Blanket Section 204 The filings are accessible in the Applicants: Northern States Power Authorization Commission’s eLibrary system by Company, a Minnesota corporation. clicking on the links or querying the Description: § 205(d) Rate Filing: This is a supplemental notice in the docket number. 2017–10–25 NSP–MVLP-Connection above-referenced proceeding of Any person desiring to intervene or Agrmt-0.0.0–653 to be effective Lackawanna Energy Center LLC’s protest in any of the above proceedings 1/1/2018. application for market-based rate must file in accordance with Rules 211 Filed Date: 10/26/17. authority, with an accompanying rate and 214 of the Commission’s Accession Number: 20171026–5129. tariff, noting that such application Regulations (18 CFR 385.211 and Comments Due: 5 p.m. ET 11/16/17. includes a request for blanket 385.214) on or before 5:00 p.m. Eastern Docket Numbers: ER18–167–000. authorization, under 18 CFR part 34, of time on the specified comment date. Applicants: Southwest Power Pool, future issuances of securities and Protests may be considered, but Inc. assumptions of liability. VerDate Sep<11>2014 18:16 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00041 Fmt 4703 Sfmt 4703 E:\FR\FM\01NON1.SGM 01NON1 sradovich on DSK3GMQ082PROD with NOTICES Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Notices 50649 Any person desiring to intervene or to ENVIRONMENTAL PROTECTION how to access the webcast: http:// protest should file with the Federal AGENCY www.epa.gov/sap. Comments. Submit your comments, Energy Regulatory Commission, 888 [EPA–HQ–OPP–2017–0214; FRL–9968–69] First Street NE., Washington, DC 20426, identified by docket identification (ID) in accordance with Rules 211 and 214 FIFRA Scientific Advisory Panel; number EPA–HQ–OPP–2017–0214, by one of the following methods: of the Commission’s Rules of Practice Notice of Public Meeting for the • and Procedure (18 CFR 385.211 and Clarification of Charge Questions on Federal eRulemaking Portal: http:// 385.214). Anyone filing a motion to Alternate High-Throughput Screens To www.regulations.gov. Follow the online instructions for submitting comments. intervene or protest must serve a copy Determine Endocrine Disruption Do not submit electronically any of that document on the Applicant. AGENCY: Environmental Protection information you consider to be Notice is hereby given that the Agency (EPA). Confidential Business Information (CBI) deadline for filing protests with regard ACTION: Notice. or other information whose disclosure is to the applicant’s request for blanket restricted by statute. authorization, under 18 CFR part 34, of SUMMARY: There will be a three-hour • Mail: OPP Docket, Environmental future issuances of securities and meeting of the Federal Insecticide, Protection Agency Docket Center (EPA/ assumptions of liability, is November Fungicide, and Rodenticide Act, DC), (28221T), 1200 Pennsylvania Ave. 14, 2017. Scientific Advisory Panel (FIFRA SAP) NW., Washington, DC 20460–0001. • Hand Delivery: To make special The Commission encourages to review and consider the scope and arrangements for hand delivery or electronic submission of protests and clarity of the draft charge questions for the November 28–30, 2017 SAP Meeting delivery of boxed information, please interventions in lieu of paper, using the on the Continuing Development of follow the instructions at http:// FERC Online links at http:// Alternative High-Throughput Screens to www.epa.gov/dockets/contacts.html. www.ferc.gov. To facilitate electronic Determine Endocrine Disruption, Additional instructions on service, persons with Internet access Focusing on Androgen Receptor, commenting or visiting the docket, who will eFile a document and/or be Steroidogenesis, and Thyroid Pathways. along with more information about listed as a contact for an intervenor DATES: The meeting will be held on dockets generally, is available at http:// must create and validate an Monday, November 6, 2017 from www.epa.gov/dockets. Requests for special accommodations. eRegistration account using the approximately 2 p.m. to 5 p.m. (EST). Submit requests for special eRegistration link. Select the eFiling This is an open public meeting that will accommodations to the DFO listed link to log on and submit the be conducted via webcast using Adobe under FOR FURTHER INFORMATION intervention or protests. Connect and telephone. Registration is CONTACT. Persons unable to file electronically required to attend this meeting. Please should submit an original and 5 copies visit: http://www.epa.gov/sap to register. FOR FURTHER INFORMATION CONTACT: Dr. of the intervention or protest to the Comments. Written comments on the Todd Peterson, DFO, Office of Science Federal Energy Regulatory Commission, scope and clarity of the draft charge Coordination and Policy (7201M), 888 First Street NE., Washington, DC questions should be submitted by noon Environmental Protection Agency, 1200 20426. on Wednesday, November 1, 2017. Pennsylvania Ave. NW., Washington, FIFRA SAP may not be able to fully DC 20460–0001; telephone number: The filings in the above-referenced consider written comments submitted 202–564–6428; email address: proceeding are accessible in the after noon on Wednesday, November 1, [email protected]. Commission’s eLibrary system by 2017. Requests to make oral comments SUPPLEMENTARY INFORMATION: clicking on the appropriate link in the at the meeting should be submitted on I. General Information above list. They are also available for or before noon on Wednesday, electronic review in the Commission’s November 1, 2017 by registering at A. Does this action apply to me? Public Reference Room in Washington, http://www.epa.gov/sap. For additional This action is directed to the public DC. There is an eSubscription link on instructions, see Unit I.C. of the in general. This action may, however, be the Web site that enables subscribers to SUPPLEMENTARY INFORMATION or contact of interest to persons who are or may be receive email notification when a the Designated Federal Official (DFO) required to conduct testing of chemical document is added to a subscribed listed under FOR FURTHER INFORMATION substances under the Federal Food, docket(s). For assistance with any FERC CONTACT. Drug, and Cosmetic Act (FFDCA) and Online service, please email Webcast. This meeting will be FIFRA. Since other entities may also be [email protected]. or call webcast only. Please refer to the FIFRA interested, the Agency has not (866) 208–3676 (toll free). For TTY, call SAP Web site at http://www.epa.gov/sap attempted to describe all the specific (202) 502–8659. for information on how to access the entities that may be affected by this webcast. action. Dated: October 25, 2017. Special accommodations. For Nathaniel J. Davis, Sr., information on access or services for B. What should I consider as I prepare Deputy Secretary. individuals with disabilities, and to my comments for EPA? [FR Doc. 2017–23774 Filed 10–31–17; 8:45 am] request accommodation of a disability, 1. Submitting CBI. Do not submit CBI BILLING CODE 6717–01–P please contact the DFO listed under FOR information to EPA through FURTHER INFORMATION CONTACT at least regulations.gov or email. If your 10 days prior to the meeting to allow comments contain any information that EPA time to process your request. you consider to be CBI or otherwise ADDRESSES: protected, please contact the DFO listed Meeting: This meeting will be webcast under FOR FURTHER INFORMATION only. Please refer to the following Web CONTACT to obtain special instructions site to register and for information on before submitting your comments. VerDate Sep<11>2014 18:16 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00042 Fmt 4703 Sfmt 4703 E:\FR\FM\01NON1.SGM 01NON1 sradovich on DSK3GMQ082PROD with NOTICES 50650 Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Notices 2. Tips for preparing your comments. recommendations to improve the Dated: October 11, 2017. When preparing and submitting your effectiveness and quality of analyses Inza Graves, comments, see the commenting tips at made by Agency scientists. The FIFRA Deputy Director, Office of Science http://www.epa.gov/dockets/ SAP strives to reach consensus; Coordination and Policy. comments.html. however, is not required to reach [FR Doc. 2017–23817 Filed 10–31–17; 8:45 am] C. How may I participate in this consensus in its recommendations to BILLING CODE 6560–50–P meeting? the Agency. You may participate in this meeting B. Public Meeting FEDERAL ACCOUNTING STANDARDS by following the instructions in this ADVISORY BOARD unit. To ensure proper receipt by EPA, During the meeting scheduled for Monday, November 6, 2017, the FIFRA it is imperative that you identify docket Notice of Issuance of Statement of ID number EPA–HQ–OPP–2017–0214 in SAP will review and consider the Federal Financial Accounting the subject line on the first page of your Charge Questions for the Panel’s Standards (SFFAS) 53, Budget and request. November 28–30, 2017 meeting on the Accrual Reconciliation 1. Written comments. Written Continuing Development of Alternative comments should be submitted, using High-Throughput Screens to Determine AGENCY: Federal Accounting Standards the instructions in ADDRESSES and Unit Endocrine Disruption, Focusing on Advisory Board. I.B., on or before noon on Wednesday, Androgen Receptor, Steroidogenesis, ACTION: Notice. November 1, 2017, to provide FIFRA and Thyroid Pathways. The SAP will SAP the time necessary to consider and receive a short background briefing Pursuant to 31 U.S.C. 3511(d), the Federal Advisory Committee Act (Pub. review the written comments. FIFRA including the EPA’s history and current L. 92–463), as amended, and the FASAB SAP may not be able to fully consider position on the use of alternative high- Rules Of Procedure, as amended in written comments submitted after noon throughput screens. In addition, the October 2010, notice is hereby given on Wednesday, November 1, 2017. panel members will have the 2. Oral comments. Registration is that the Federal Accounting Standards opportunity to comment on the scope Advisory Board (FASAB) has issued required to attend this meeting. Please and clarity of the draft charge questions. visit: http://www.epag.gov/sap to Statement of Federal Financial Subsequent to this meeting, final charge Accounting Standards (SFFAS) 53, register. Each individual or group questions will be provided for the wishing to make brief oral comments to Budget and Accrual Reconciliation. FIFRA SAP’s deliberation on the white FIFRA SAP may submit their request by The Statement is available on the papers and supplemental information registering on or before noon FASAB Web site at http:// Wednesday, November 1, 2017. Oral during the in-person meeting to be held www.fasab.gov/accounting-standards/. comments before FIFRA SAP are limited on November 28–30, 2017. Copies can be obtained by contacting FASAB at (202) 512–7350. to approximately 5 minutes due to the C. FIFRA SAP Documents and Meeting time constraints of this webcast. Minutes FOR FURTHER INFORMATION CONTACT: Ms. Wendy M. Payne, Executive Director, II. Background EPA’s background documents and 441 G Street NW., Mailstop 6H19, A. Purpose of FIFRA SAP Virtual charge questions to the FIFRA SAP are Washington, DC 20548, or call (202) Meeting on Charge Questions on in the docket (identification number 512–7350. Alternate High-Throughput Screens To EPA–HQ–OPP–2017–0214). The Agenda Authority: Federal Advisory Committee Determine Endocrine Disruption for the virtual meeting will be posted at: Act, Pub. L. 92–463. FIFRA SAP serves as the primary www.epa.gov/sap/virtual-meeting- Dated: October 27, 2017. scientific peer review mechanism of clarify-draft-charge-questions-high- Wendy M. Payne, EPA’s Office of Chemical Safety and throughput-screens-determine- Executive Director. Pollution Prevention (OCSPP) and is endocrine. In addition, the Agency may [FR Doc. 2017–23801 Filed 10–31–17; 8:45 am] provide additional background structured to provide scientific advice, BILLING CODE 1610–02–P information and recommendations to documents as additional materials the EPA Administrator on pesticides become available. You may obtain and pesticide-related issues as to the electronic copies of most meeting FEDERAL MARITIME COMMISSION impact of regulatory actions on health documents, including FIFRA SAP and the environment. FIFRA SAP is a composition (i.e., members and ad hoc Notice of Agreements Filed Federal advisory committee established members for this meeting) and the in 1975 pursuant to FIFRA and operates meeting agenda, at http:// The Commission hereby gives notice in accordance with requirements of the www.regulations.gov and the FIFRA of the filing of the following agreements under the Shipping Act of 1984. Federal Advisory Committee Act (5 SAP Web site at http://www.epa.gov/ Interested parties may submit comments U.S.C. Appendix). FIFRA SAP is sap. composed of a permanent panel on the agreements to the Secretary, consisting of seven members who are FIFRA SAP will prepare meeting Federal Maritime Commission, appointed by the EPA Administrator minutes approximately 90 calendar days Washington, DC 20573, within twelve from nominees provided by the National after the in-person meeting. The meeting days of the date this notice appears in Institutes of Health and the National minutes will be posted on the FIFRA the Federal Register. A copy of each Science Foundation. The FIFRA SAP is SAP Web site: http://www.epa.gov/sap agreement is available through the assisted in their reviews by ad hoc and may be accessed in the docket at Commission’s Web site (www.fmc.gov) participation from the Science Review http://www.regulations.gov. or by contacting the Office of Agreements at (202)–523–5793 or Board (SRB). As a scientific peer review Authority: 7 U.S.C. 136 et. seq.; 21 U.S.C. mechanism, FIFRA SAP provides 301 et seq. [email protected]. comments, evaluations, and Agreement No.: 012034–007. VerDate Sep<11>2014 18:16 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00043 Fmt 4703 Sfmt 4703 E:\FR\FM\01NON1.SGM 01NON1 sradovich on DSK3GMQ082PROD with NOTICES Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Notices 50651 Title: Hamburg Sud/Maersk Line GENERAL SERVICES Background Vessel Sharing Agreement. ADMINISTRATION Parties: Hamburg-Sud and Maersk The World War One Centennial Line A/S. [Notice–WWICC–2017–03; Docket No. 2017– Commission was established by Public Filing Party: Wayne Rohde, Esq.; 0003; Sequence 3] Law 112–272 (as amended), as a Cozen O’Connor; 1200 Nineteenth Street commission to ensure a suitable NW., Washington, DC 20036. World War One Centennial observance of the centennial of World Synopsis: The amendment adds Peru Commission; Notification of Upcoming War I, to provide for the designation of to the geographic scope of the Public Advisory Meeting memorials to the service of members of Agreement. The parties request the United States Armed Forces in AGENCY: World War One Centennial expedited review. World War I, and for other purposes. Commission, General Services Under this authority, the Committee Agreement No.: 012067–022. Administration. will plan, develop, and execute Title: U.S. Supplemental Agreement ACTION: Meeting Notice. programs, projects, and activities to to HLC Agreement. commemorate the centennial of World Parties: BBC Chartering Carriers SUMMARY: Notice of this meeting is being War I, encourage private organizations GmbH & Co. KG and BBC Chartering & provided according to the requirements and State and local governments to Logistic GmbH & Co. KG, as a single of the Federal Advisory Committee Act. organize and participate in activities member; Hanssy Shipping Pte. Ltd.; and This notice provides the schedule and commemorating the centennial of World Industrial Maritime Carriers, L.L.C. agenda for the December 13, 2017 War I, facilitate and coordinate activities Filing Party: Wade S. Hooker, Esq.; meeting of the World War One throughout the United States relating to 211 Central Park W, New York, NY Centennial Commission (the the centennial of World War I, serve as 10024. Commission). The meeting is open to a clearinghouse for the collection and Synopsis: The amendment deletes the public. dissemination of information about Austral Asia Line Pte. Ltd. as a party to DATES: Meeting date: The meeting will events and plans for the centennial of the ancillary HLC Agreement. be held on Wednesday, December 13, World War I, and develop Agreement No.: 201234. 2017, starting at 9:00 a.m. Eastern recommendations for Congress and the Title: Agreement by Ocean Common Standard Time (EST), and ending no President for commemorating the Carriers to Participate on the Exchange later than 2:00 p.m. (EST). centennial of World War I. The Board. ADDRESSES: The meeting will be held at Commission does not have an Parties: CMA CGM S.A.; COSCO the Offices of the World War 1 appropriation and operates on donated Shipping Co., Ltd., Hapag-Lloyd AG; Centennial Commission at 1800 G Street funds. and Mitsui O.S.K. Lines, Ltd. NW., Washington, DC 20006, Street Filing Party: Ashley W. Craig, Esq.; Agenda: Wednesday, December 13, Level. This location is handicapped 2017 Venable LLP; 600 Massachusetts Ave. accessible. The meeting will be open to NW., Washington, DC 20001. the public. Persons attending in person Old Business Synopsis: The Agreement authorizes are requested to refrain from using • CMA CGM SA, Hapag-Lloyd AG, Mitsui perfume, cologne, and other fragrances. Acceptance of minutes of last meeting O.S.K. Lines, Ltd., and COSCO Shipping Written comments may be submitted • Public Comment Period Co., Ltd. to serve on the board of New to the Commission and will be made New Business York Shipping Exchange Inc. part of the permanent record of the (NYSHEX). The parties request Commission. Comments must be • Executive Director’s Report— expedited review. received by 5:00 p.m. (EST), December Executive Director Dayton Agreement No.: 201235. 8, 2017, and may be provided by email • Title: Agreement by Ocean Common to daniel.dayton@ Executive Committee Report— Carriers to Use Standard Service worldwar1centennial.gov. Commissioner Hamby Contract Terms. Contact Daniel S. Dayton at • Financial Committee Report—Vice Parties: CMA CGM S.A.; COSCO [email protected] Chair Fountain Shipping Co., Ltd., Hapag-Lloyd AG; to register to comment during the • Memorial Report—Vice Chair and Mitsui O.S.K. Lines, Ltd. meeting’s 30-minute public comment Fountain Filing Party: Ashley W. Craig, Esq.; period. Registered speakers/ • Fundraising Report—Commissioner Venable LLP; 600 Massachusetts Ave. organizations will be allowed five Sedgwick NW., Washington, DC 20001. minutes, and will need to provide Synopsis: The Agreement authorizes written copies of their presentations. • Education Report—Dr. O’Connell the Parties to agree upon the use of Requests to comment, together with • Endorsements—(RFS)—Dr. Seefried standard terms to be included in the presentations for the meeting, must be • International Report—Dr. Seefried NYSHEX Forward Contract template, received by 5:00 p.m. (EST), on Friday, which will form the basis for service December 8, 2017. Please contact Mr. • Other Business contracts entered into via the NYSHEX Dayton at the email address above to • Chairman’s Report platform. The parties request expedited obtain meeting materials. • Set Next Meeting review. FOR FURTHER INFORMATION CONTACT: • Motion to Adjourn By Order of the Federal Maritime Daniel S. Dayton, Designated Federal Commission. Officer, World War 1 Centennial Dated: October 26, 2017. Dated: October 27, 2017. Commission, 701 Pennsylvania Avenue Daniel S. Dayton, Rachel E. Dickon, NW., Room 123, Washington, DC Designated Federal Official, World War I Assistant Secretary. 20004–2608, at 202–380–0725 (note: Centennial Commission. [FR Doc. 2017–23784 Filed 10–31–17; 8:45 am] this is not a toll-free number). [FR Doc. 2017–23756 Filed 10–31–17; 8:45 am] BILLING CODE 6731–AA–P SUPPLEMENTARY INFORMATION: BILLING CODE 6820–95–P VerDate Sep<11>2014 18:16 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00044 Fmt 4703 Sfmt 9990 E:\FR\FM\01NON1.SGM 01NON1 sradovich on DSK3GMQ082PROD with NOTICES 50652 Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Notices GENERAL SERVICES Background expansion of the LPOE pedestrian plaza. ADMINISTRATION A Final Environmental Impact Alternative 2 would involve renovating the existing on-site building. The No [Notice–PBS–2017–02; Docket 2017–0002; Statement (EIS) and Record of Decision Sequence 21] (ROD) were published in September Action Alternative assumes that the site 2009. Both addressed the would not be acquired by GSA and the Notice of intent To Prepare a reconfiguration and expansion of the additional land area would not be Supplemental Environmental Impact San Ysidro LPOE in three independent incorporated into the LPOE. Statement for the San Ysidro Land Port construction phases to improve overall Scoping Process of Entry (LPOE) Modernization and capacity and operational efficiency. In Scoping will be accomplished Expansion Project May 2014, GSA published a Final SEIS through a public scoping meeting, direct and ROD that evaluated changed AGENCY: Public Building Service (PBS), mail correspondence to appropriate circumstances and proposed General Services Administration (GSA). federal, state, and local agencies, and to modifications to the Project, including ACTION: private organizations and citizens who Notice of intent; Announcement (1) the incorporation of northbound have previously expressed, or are of meeting. pedestrians inspections at the proposed known to have, an interest in the southbound-only pedestrian crossing SUMMARY: Pursuant to the requirements Project. of the National Environmental Policy facility, on the west side of the LPOE, Act of 1969 (NEPA), the Council on and modification of the phasing/timing Dated: October 23, 2017. Environmental Quality Regulations, and of the construction of the pedestrian Matthew Jear, the GSA Public Buildings Service NEPA crossing facility; (2) changes to the Director, Portfolio Management Division, Desk Guide, GSA is issuing this notice development footprint on the west side Pacific Rim Region, Public Buildings Service. to advise the public that a Supplemental of the LPOE and design refinements to [FR Doc. 2017–23754 Filed 10–31–17; 8:45 am] Environmental Impact Statement (SEIS) the Virginia Avenue Transit Center; (3) BILLING CODE 6820–Y1–P will be prepared for the San Ysidro a change in the number of vehicle lanes LPOE Modernization and Expansion and the installation of southbound Project (Project). inspection booths and overhead DATES: Meeting Date: A public scoping canopies on the proposed southbound DEPARTMENT OF HEALTH AND meeting will be held on Wednesday, roadway; and (4) minor changes in the HUMAN SERVICES November 8th, 2017 from 4:00 p.m., design and/or timing of implementation of several Project elements. GSA Meeting of the Advisory Committee on Pacific Time (PT), to 6:00 p.m., PT. The Minority Health meeting will be an informal open house, prepared a Revision to the Final SEIS in August 2015 that addressed minor where visitors may come, receive AGENCY: Office of Minority Health, changes to the alignment of the information, and provide written Office of the Secretary, Department of southbound roadway and employee comments. Agencies and the public are Health and Human Services. access road, as well as specific encouraged to provide written ACTION: Notice of meeting. comments regarding the scope of the information that was not known or SEIS. Written comments must be available at the time the Final EIS or SUMMARY: As stipulated by the Federal received by November 30, 2017. Final SEIS were prepared (regarding the Advisory Committee Act, the details of the on-site wastewater ADDRESSES: The public scoping meeting Department of Health and Human treatment facility). Services (HHS) is hereby giving notice will be held at The Front, 147 West San Phase 1 is complete and included the Ysidro Boulevard, San Ysidro, CA that the Advisory Committee on construction of a pedestrian bridge, Minority Health (ACMH) will hold a 92173. Written comments must be sent additional northbound vehicle lanes to the General Services Administration, meeting conducted as a telephone and inspection facilities, a new conference call. This call will be open Attention: Osmahn Kadri, Regional southbound pedestrian crossing facility Environmental Quality Advisor/NEPA to the public. Preregistration is required on the east side of the LPOE, a new bi- for both public participation and Project Manager, 50 United Nations directional pedestrian crossing facility Plaza, Room 3345 Mailbox 9, San comment. Any individual who wishes on the west side of the LPOE, and the to participate in the call should email Francisco, CA 94102, or via email to Virginia Avenue Transit Center. Phase 2 [email protected]. [email protected] by December 4, is fully funded and involves the 2017. Instructions regarding FOR FURTHER INFORMATION CONTACT: construction of new buildings. Phase 3 Osmahn A. Kadri, Regional participating in the call and how to is fully funded and includes provide verbal public comments will be Environmental Quality Advisor/NEPA construction of a southbound roadway Project Manager, GSA, Pacific Rim given at the time of preregistration. and associated inspection equipment. Information about the meeting is Region, at 415–522–3617. Please also Phases 2 and 3 are anticipated to be call this number if special assistance is available from the designated contact completed in 2019. and will be posted on the Web site for needed to attend and participate in the The SEIS will address changes to the the Office of Minority Health (OMH), public scoping meeting. Project, which include acquisition of www.minorityhealth.hhs.gov. SUPPLEMENTARY INFORMATION: GSA one parcel of land on the east side of the Information about ACMH activities can intends to prepare a SEIS to analyze the LPOE and incorporation of this be found on the OMH Web site under potential impacts resulting from additional land area into the LPOE. proposed modifications and minor the heading About OMH. design changes to the San Ysidro LPOE Alternatives Under Consideration DATES: The conference call will be held Modernization and Expansion Project. Two action alternatives are under on December 5, 2017, 1:00 p.m.–3:00 The San Ysidro LPOE is located at the consideration in addition to the No- p.m. ET. terminus of Interstate 5 at the United Action Alternative. Alternative 1 would ADDRESSES: Instructions regarding States-Mexico border in the San Ysidro include demolition of the existing participating in the call will be given at community of San Diego, California. building on the acquisition site and the time of preregistration. VerDate Sep<11>2014 18:16 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00045 Fmt 4703 Sfmt 4703 E:\FR\FM\01NON1.SGM 01NON1 sradovich on DSK3GMQ082PROD with NOTICES Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Notices 50653 FOR FURTHER INFORMATION CONTACT: Dr. DEPARTMENT OF HEALTH AND DEPARTMENT OF HEALTH AND Minh Wendt, Designated Federal HUMAN SERVICES HUMAN SERVICES Officer, Advisory Committee on Minority Health, Office of Minority National Institutes of Health National Institutes of Health Health, Department of Health and Center for Scientific Review; Notice of Human Services, Tower Building, 1101 National Institute of Environmental Closed Meetings Wootton Parkway, Suite 600, Rockville, Health Sciences; Notice of Closed Maryland 20852. Phone: 240–453–8222; Meeting Pursuant to section 10(d) of the fax: 240–453–8223; email OMH-ACMH@ Federal Advisory Committee Act, as hhs.gov. Pursuant to section 10(d) of the amended, notice is hereby given of the Federal Advisory Committee Act, as following meetings. SUPPLEMENTARY INFORMATION: In amended, notice is hereby given of the The meetings will be closed to the accordance with Public Law 105–392, following meeting. public in accordance with the the ACMH was established to provide The meeting will be closed to the provisions set forth in sections advice to the Deputy Assistant Secretary public in accordance with the 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., for Minority Health on improving the provisions set forth in sections as amended. The grant applications and health of each racial and ethnic 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., the discussions could disclose minority group and on the development as amended. The grant applications and confidential trade secrets or commercial of goals and specific program activities the discussions could disclose property such as patentable material, of the OMH. and personal information concerning confidential trade secrets or commercial individuals associated with the grant The topics to be discussed during the property such as patentable material, applications, the disclosure of which teleconference include finalizing and personal information concerning recommendations regarding improving would constitute a clearly unwarranted individuals associated with the grant invasion of personal privacy. the access and quality of data related to applications, the disclosure of which the opioid usage and health disparities. would constitute a clearly unwarranted Name of Committee: Center for Scientific Review Special Emphasis Panel; Topics in The recommendations will be given to invasion of personal privacy. the Deputy Assistant Secretary for Virology. Date: November 3, 2017. Minority Health. Name of Committee: National Institute of Environmental Health Sciences Special Time: 3:00 p.m. to 5:00 p.m. This call will be limited to 125 Emphasis Panel; Time-Sensitive Review of Agenda: To review and evaluate grant participants. The OMH will make every potential exposures associated with applications. Place: National Institutes of Health, 6701 effort to accommodate persons with Hurricane Harvey. special needs. Individuals who have Rockledge Drive, Bethesda, MD 20892 Date: November 20, 2017. (Telephone Conference Call). special needs for which special Time: 11:30 a.m. to 3:00 p.m. Contact Person: John C Pugh, Ph.D., accommodations may be required Agenda: To review and evaluate grant Scientific Review Officer, Center for should contact Professional and applications. Scientific Review, National Institutes of Scientific Associates at (703) 234–1700 Place: NIEHS/National Institutes of Health, Health, 6701 Rockledge Drive, Room 1206, and reference this meeting. Requests for Keystone Building, 530 Davis Drive, Room MSC 7808, Bethesda, MD 20892, (301) 435– special accommodations should be 3003, Research Triangle Park, NC 27709, 2398, [email protected]. made at least ten (10) business days (Telephone Conference Call). This notice is being published less than 15 prior to the meeting. Contact Person: Laura A, Thomas, Ph.D., days prior to the meeting due to the timing Scientific Review Officer, Scientific Review limitations imposed by the review and Members of the public will have an Branch, Division of Extramural Research and funding cycle. opportunity to provide comments at the Training National Institute of Environmental Name of Committee: Center for Scientific meeting. Public comments will be Health Sciences, Research Triangle Park, NC Review Special Emphasis Panel; Member limited to two minutes per speaker 27709, 919–541–2824, laura.thomas@ Conflict: Topics in the Vision Biology. Date: November 29, 2017. during the time allotted. Individuals nih.gov. who would like to submit written Time: 8:00 a.m. to 12:00 p.m. (Catalogue of Federal Domestic Assistance Agenda: To review and evaluate grant statements should email, mail, or fax Program Nos. 93.115, Biometry and Risk applications. their comments to the designated Estimation—Health Risks from Place: National Institutes of Health, 6701 contact at least seven (7) business days Environmental Exposures; 93.142, NIEHS Rockledge Drive, Bethesda, MD 20892 prior to the meeting. Hazardous Waste Worker Health and Safety (Telephone Conference Call). Any members of the public who wish Training; 93.143, NIEHS Superfund Contact Person: Janet M. Larkin, Ph.D., Scientific Review Officer, Center for to have electronic or printed material Hazardous Substances—Basic Research and Education; 93.894, Resources and Manpower Scientific Review, National Institutes of distributed to ACMH members should Health, 6701 Rockledge Drive, Room 1102, Development in the Environmental Health email [email protected] or mail MSC 7840, Bethesda, MD 20892, 301–806– their materials to the Designated Federal Sciences; 93.113, Biological Response to 2765, [email protected]. Environmental Health Hazards; 93.114, Officer, ACMH, Tower Building, 1101 Name of Committee: Center for Scientific Applied Toxicological Research and Testing, Wootton Parkway, Suite 600, Rockville, Review Special Emphasis Panel; Tobacco Maryland 20852, prior to close of National Institutes of Health, HHS) Regulatory Science (R01, R21, R03). business on November 28, 2017. Dated: October 27, 2017. Date: December 5, 2017. Time: 8:00 a.m. to 6:00 p.m. Natasha M. Copeland, Dated: October 27, 2017. Agenda: To review and evaluate grant Minh Wendt, Program Analyst, Office of Federal Advisory applications. Committee Policy. Place: Embassy Suites at the Chevy Chase Designated Federal Officer, Advisory Pavilion, 4300 Military Road NW., Committee on Minority Health. [FR Doc. 2017–23815 Filed 10–31–17; 8:45 am] BILLING CODE 4140–01–P Washington, DC 20015. [FR Doc. 2017–23816 Filed 10–31–17; 8:45 am] Contact Person: Mark Caprara, Ph.D., BILLING CODE 4150–29–P Scientific Review Officer, Center for VerDate Sep<11>2014 18:16 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00046 Fmt 4703 Sfmt 4703 E:\FR\FM\01NON1.SGM 01NON1 sradovich on DSK3GMQ082PROD with NOTICES 50654 Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Notices Scientific Review, National Institutes of Dated: October 27, 2017. DEPARTMENT OF HEALTH AND Health, 6701 Rockledge Drive, Room 5156, Anna Snouffer, HUMAN SERVICES MSC 7844, Bethesda, MD 20892, 301–435– 1042, [email protected]. Deputy Director, Office of Federal Advisory Committee Policy. Substance Abuse and Mental Health Name of Committee: Center for Scientific Services Administration Review Special Emphasis Panel; PAR 17– [FR Doc. 2017–23813 Filed 10–31–17; 8:45 am] 142: International Research in Infectious BILLING CODE 4140–01–P Current List of HHS-Certified Diseases, including AIDS (R01). Laboratories and Instrumented Initial Date: December 5, 2017. Testing Facilities Which Meet Minimum Time: 8:00 a.m. to 6:00 p.m. DEPARTMENT OF HEALTH AND Standards To Engage in Urine Drug Agenda: To review and evaluate grant HUMAN SERVICES applications. Testing for Federal Agencies Place: National Institutes of Health, 6701 National Institutes of Health AGENCY: Substance Abuse and Mental Rockledge Drive, Bethesda, MD 20892. Contact Person: Heidi B. Friedman, Ph.D., Health Services Administration, HHS. Scientific Review Officer, Center for National Cancer Institute; Notice of ACTION: Notice. Scientific Review, National Institutes of Closed Meeting Health, 6701 Rockledge Drive, Room 1012A, SUMMARY: The Department of Health and MSC 7770, Bethesda, MD 20892, 301–379– Pursuant to section 10(d) of the Human Services (HHS) notifies federal 5632, [email protected]. Federal Advisory Committee Act, as agencies of the laboratories and Name of Committee: Center for Scientific amended, notice is hereby given of the Instrumented Initial Testing Facilities Review Special Emphasis Panel; Small following meeting. (IITF) currently certified to meet the Business: Neuroscience Assay, Diagnostics The meeting will be closed to the standards of the Mandatory Guidelines and Animal Model Development. for Federal Workplace Drug Testing Date: December 5, 2017. public in accordance with the provisions set forth in sections Programs (Mandatory Guidelines). Time: 8:00 a.m. to 7:00 p.m. A notice listing all currently HHS- Agenda: To review and evaluate grant 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., certified laboratories and IITFs is applications. as amended. The grant applications and published in the Federal Register Place: Renaissance Washington DC, the discussions could disclose during the first week of each month. If Dupont Circle, 1143 New Hampshire Avenue confidential trade secrets or commercial any laboratory or IITF certification is NW., Washington, DC 20037. property such as patentable material, Contact Person: Susan Gillmor, Ph.D., suspended or revoked, the laboratory or and personal information concerning Scientific Review Officer, National Institutes IITF will be omitted from subsequent individuals associated with the grant of Health, Center for Scientific Review, 6701 lists until such time as it is restored to applications, the disclosure of which Rockledge Drive, Bethesda, MD 20892, 301– full certification under the Mandatory would constitute a clearly unwarranted 435–1730, [email protected]. Guidelines. Name of Committee: Center for Scientific invasion of personal privacy. If any laboratory or IITF has Review Special Emphasis Panel; Toxicology Name of Committee: National Cancer withdrawn from the HHS National and Digestive, Kidney and Urological Institute Special Emphasis Panel Cancer Systems AREA Review. Laboratory Certification Program (NLCP) Biomarkers & Biospecimens. Date: December 5, 2017. during the past month, it will be listed Time: 10:00 a.m. to 6:00 p.m. Date: December 14, 2017. at the end and will be omitted from the Agenda: To review and evaluate grant Time: 1:00 a.m. to 2:00 p.m. monthly listing thereafter. applications. Agenda: To review and evaluate grant This notice is also available on the Place: National Institutes of Health, 6701 applications. Internet at http://www.samhsa.gov/ Rockledge Drive, Bethesda, MD 20892 Place: National Cancer Institute, Shady workplace. (Virtual Meeting). Grove 9609 Medical Center Drive, Room FOR FURTHER INFORMATION CONTACT: Contact Person: Aiping Zhao, MD, 7W106 Rockville, MD 20850 (Telephone Giselle Hersh, Division of Workplace Scientific Review Officer, Center for Conference Call). Programs, SAMHSA/CSAP, 5600 Scientific Review, National Institutes of Contact Person: Reed A. Graves, Ph.D., Fishers Lane, Room 16N03A, Rockville, Health, 6701 Rockledge Drive, Room 2188, Scientific Review Officer, Research MSC 7818, Bethesda, MD 20892–7818, (301) Technology and Contract Review Branch, Maryland 20857; 240–276–2600 (voice). 435–0682, [email protected]. Division of Extramural Activities, National SUPPLEMENTARY INFORMATION: The Name of Committee: Center for Scientific Cancer Institute, NIH 9609 Medical Center Department of Health and Human Review Special Emphasis Panel; Member Drive, Room 7W106 Bethesda, MD 20892– Services (HHS) notifies federal agencies Conflict: Glial and Neurovascular Diseases. of the laboratories and Instrumented Date: December 5, 2017. 9750, 240–276–6384 [email protected]. Time: 1:00 p.m. to 3:00 p.m. (Catalogue of Federal Domestic Assistance Initial Testing Facilities (IITF) currently Agenda: To review and evaluate grant Program Nos. 93.392, Cancer Construction; certified to meet the standards of the applications. 93.393, Cancer Cause and Prevention Mandatory Guidelines for Federal Place: National Institutes of Health, 6701 Research; 93.394, Cancer Detection and Workplace Drug Testing Programs Rockledge Drive, Bethesda, MD 20892 Diagnosis Research; 93.395, Cancer (Mandatory Guidelines). The Mandatory (Telephone Conference Call). Treatment Research; 93.396, Cancer Biology Guidelines were first published in the Contact Person: Mary Custer, Ph.D., Research; 93.397, Cancer Centers Support; Federal Register on April 11, 1988 (53 Scientific Review Officer, Center for 93.398, Cancer Research Manpower; 93.399, FR 11970), and subsequently revised in Scientific Review, National Institutes of the Federal Register on June 9, 1994 (59 Health, 6701 Rockledge Drive, Room 4148, Cancer Control, National Institutes of Health, MSC 7850, Bethesda, MD 20892, (301) 435– HHS) FR 29908); September 30, 1997 (62 FR 1164, [email protected]. 51118); April 13, 2004 (69 FR 19644); Dated: October 26, 2017. November 25, 2008 (73 FR 71858); (Catalogue of Federal Domestic Assistance Melanie J. Pantoja, Program Nos. 93.306, Comparative Medicine; December 10, 2008 (73 FR 75122); April Program Analyst, Office of Federal Advisory 93.333, Clinical Research, 93.306, 93.333, 30, 2010 (75 FR 22809); and on January Committee Policy. 93.337, 93.393–93.396, 93.837–93.844, 23, 2017 (82 FR 7920). 93.846–93.878, 93.892, 93.893, National [FR Doc. 2017–23814 Filed 10–31–17; 8:45 am] The Mandatory Guidelines were Institutes of Health, HHS) BILLING CODE 4140–01–P initially developed in accordance with VerDate Sep<11>2014 18:16 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00047 Fmt 4703 Sfmt 4703 E:\FR\FM\01NON1.SGM 01NON1 sradovich on DSK3GMQ082PROD with NOTICES Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Notices 50655 Executive Order 12564 and section 503 Dynacare, * 245 Pall Mall Street, Spokane, WA 99204, 509–755–8991/ of Public Law 100–71. The ‘‘Mandatory London, ONT, Canada N6A 1P4, 519– 800–541–7891, x7. Guidelines for Federal Workplace Drug 679–1630, (Formerly: Gamma- Phamatech, Inc., 15175 Innovation Testing Programs,’’ as amended in the Dynacare Medical Laboratories). Drive, San Diego, CA 92128, 888– ElSohly Laboratories, Inc., 5 Industrial revisions listed above, requires strict 635–5840. standards that laboratories and IITFs Park Drive, Oxford, MS 38655, 662– must meet in order to conduct drug and 236–2609. Quest Diagnostics Incorporated, 1777 specimen validity tests on urine Laboratory Corporation of America Montreal Circle, Tucker, GA 30084, specimens for federal agencies. Holdings, 7207 N. Gessner Road, 800–729–6432, (Formerly: SmithKline To become certified, an applicant Houston, TX 77040, 713–856–8288/ Beecham Clinical Laboratories; laboratory or IITF must undergo three 800–800–2387. SmithKline Bio-Science Laboratories). rounds of performance testing plus an Laboratory Corporation of America Quest Diagnostics Incorporated, 400 Holdings, 69 First Ave., Raritan, NJ on-site inspection. To maintain that Egypt Road, Norristown, PA 19403, 08869, 908–526–2400/800–437–4986, certification, a laboratory or IITF must 610–631–4600/877–642–2216, (Formerly: Roche Biomedical participate in a quarterly performance (Formerly: SmithKline Beecham testing program plus undergo periodic, Laboratories, Inc.). Laboratory Corporation of America Clinical Laboratories; SmithKline Bio- on-site inspections. Science Laboratories). Laboratories and IITFs in the Holdings, 1904 TW Alexander Drive, applicant stage of certification are not to Research Triangle Park, NC 27709, Quest Diagnostics Incorporated, 8401 be considered as meeting the minimum 919–572–6900/800–833–3984, Fallbrook Ave., West Hills, CA 91304, requirements described in the HHS (Formerly: LabCorp Occupational 818–737–6370, (Formerly: SmithKline Mandatory Guidelines. A HHS-certified Testing Services, Inc., CompuChem Beecham Clinical Laboratories). laboratory or IITF must have its letter of Laboratories, Inc.; CompuChem Redwood Toxicology Laboratory, 3700 Laboratories, Inc., A Subsidiary of certification from HHS/SAMHSA Westwind Blvd., Santa Rosa, CA Roche Biomedical Laboratory; Roche (formerly: HHS/NIDA), which attests 95403, 800–255–2159. that it has met minimum standards. CompuChem Laboratories, Inc., A STERLING Reference Laboratories, 2617 In accordance with the Mandatory Member of the Roche Group). East L Street, Tacoma, Washington Guidelines dated January 23, 2017 (82 Laboratory Corporation of America 98421, 800–442–0438. FR 7920), the following HHS-certified Holdings, 1120 Main Street, laboratories and IITFs meet the Southaven, MS 38671, 866–827–8042/ U.S. Army Forensic Toxicology Drug minimum standards to conduct drug 800–233–6339, (Formerly: LabCorp Testing Laboratory, 2490 Wilson St., and specimen validity tests on urine Occupational Testing Services, Inc.; Fort George G. Meade, MD 20755– specimens: MedExpress/National Laboratory 5235, 301–677–7085, Testing for Center). Department of Defense (DoD) HHS-Certified Instrumented Initial LabOne, Inc. d/b/a Quest Diagnostics, Testing Facilities 10101 Renner Blvd., Lenexa, KS Employees Only. Dynacare, 6628 50th Street NW., 66219, 913–888–3927/800–873–8845, Brian Makela, Edmonton, AB Canada T6B 2N7, 780– (Formerly: Quest Diagnostics Chemist, Substance Abuse and Mental Health 784–1190, (Formerly: Gamma- Incorporated; LabOne, Inc.; Center for Services Administration. Laboratory Services, a Division of Dynacare Medical Laboratories). [FR Doc. 2017–23768 Filed 10–31–17; 8:45 am] LabOne, Inc.). HHS-Certified Laboratories MedTox Laboratories, Inc., 402 W. BILLING CODE 4160–20–P ACM Medical Laboratory, Inc., 160 County Road D, St. Paul, MN 55112, Elmgrove Park, Rochester, NY 14624, 651–636–7466/800–832–3244. Legacy Laboratory Services—MetroLab, * The Standards Council of Canada (SCC) voted 844–486–9226. 1225 NE 2nd Ave., Portland, OR to end its Laboratory Accreditation Program for Alere Toxicology Services, 1111 Newton 97232, 503–413–5295/800–950–5295. Substance Abuse (LAPSA) effective May 12, 1998. St., Gretna, LA 70053, 504–361–8989/ Minneapolis Veterans Affairs Medical Laboratories certified through that program were 800–433–3823, (Formerly: Kroll accredited to conduct forensic urine drug testing as Center, Forensic Toxicology required by U.S. Department of Transportation Laboratory Specialists, Inc., Laboratory, 1 Veterans Drive, Laboratory Specialists, Inc.). (DOT) regulations. As of that date, the certification Minneapolis, MN 55417, 612–725– of those accredited Canadian laboratories will Alere Toxicology Services, 450 2088, Testing for Veterans Affairs continue under DOT authority. The responsibility Southlake Blvd., Richmond, VA (VA) Employees Only. for conducting quarterly performance testing plus 23236, 804–378–9130, (Formerly: National Toxicology Laboratories, Inc., periodic on-site inspections of those LAPSA- Kroll Laboratory Specialists, Inc., 1100 California Ave., Bakersfield, CA accredited laboratories was transferred to the U.S. Scientific Testing Laboratories, Inc.; HHS, with the HHS’ NLCP contractor continuing to 93304, 661–322–4250/800–350–3515. have an active role in the performance testing and Kroll Scientific Testing Laboratories, One Source Toxicology Laboratory, Inc., Inc.). laboratory inspection processes. Other Canadian 1213 Genoa-Red Bluff, Pasadena, TX laboratories wishing to be considered for the NLCP Baptist Medical Center-Toxicology 77504, 888–747–3774, (Formerly: may apply directly to the NLCP contractor just as Laboratory, 11401 I–30, Little Rock, University of Texas Medical Branch, U.S. laboratories do. AR 72209–7056, 501–202–2783, Clinical Chemistry Division; UTMB Upon finding a Canadian laboratory to be (Formerly: Forensic Toxicology Pathology-Toxicology Laboratory). qualified, HHS will recommend that DOT certify Laboratory Baptist Medical Center). Pacific Toxicology Laboratories, 9348 the laboratory (Federal Register, July 16, 1996) as Clinical Reference Laboratory, Inc., 8433 DeSoto Ave., Chatsworth, CA 91311, meeting the minimum standards of the Mandatory Quivira Road, Lenexa, KS 66215– 800–328–6942, (Formerly: Centinela Guidelines published in the Federal Register on January 23, 2017 (82 FR 7920). After receiving DOT 2802, 800–445–6917. Hospital Airport Toxicology certification, the laboratory will be included in the DrugScan, Inc., 200 Precision Road, Laboratory). monthly list of HHS-certified laboratories and Suite 200, Horsham, PA 19044, 800– Pathology Associates Medical participate in the NLCP certification maintenance 235–4890. Laboratories, 110 West Cliff Dr., program. VerDate Sep<11>2014 18:16 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00048 Fmt 4703 Sfmt 9990 E:\FR\FM\01NON1.SGM 01NON1 sradovich on DSK3GMQ082PROD with NOTICES 50656 Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Notices DEPARTMENT OF HOMELAND of the Automated Commercial effective date of the January 9th notice SECURITY Environment (ACE), the planned until further notice. Then, on June 8, successor to the Automated Commercial 2017, CBP published a notice in the U.S. Customs and Border Protection System (ACS) as the CBP-authorized Federal Register (82 FR 26699) electronic data interchange (EDI) announcing that the January 9th notice Modification and Clarification of the system. ACE is an automated and would become effective on July 8, 2017. National Customs Automation electronic system for commercial trade Finally, on June 30, 2017, CBP Program Tests Regarding Post- processing which is intended to published a notice in the Federal Summary Corrections and Periodic streamline business processes, facilitate Register (82 FR 29910) delaying the Monthly Statements growth in trade, ensure cargo security, effective date until further notice. and foster participation in global AGENCY: U.S. Customs and Border B. PMS Test Program commerce, while ensuring compliance Protection, Department of Homeland On February 4, 2004, CBP published Security. with U.S. laws and regulations and reducing costs for U.S. Customs and a notice in the Federal Register (69 FR ACTION: General notice. Border Protection (CBP) and all of its 5362) that announced a plan to conduct an NCAP test concerning PMS which SUMMARY: This document announces communities of interest. The ability to allows importers to deposit estimated U.S. Customs and Border Protection’s meet these objectives depends on duties, fees and taxes on a monthly (CBP’s) modification and clarification to successfully modernizing CBP’s basis. CBP modified and clarified the the National Customs Automation business functions and the information PMS test in seven subsequent Federal Program (NCAP) tests pertaining to the technology that supports those Register notices published on: processing of post-summary correction functions. September 8, 2004 (69 FR 54302); (PSC) claims and periodic monthly CBP’s modernization efforts are February 1, 2005 (70 FR 5199); August statements (PMS). Except to the extent accomplished through phased releases 8, 2005 (70 FR 45736); September 22, expressly announced or modified by of ACE component functionality designed to replace specific legacy ACS 2005 (70 FR 55623); January 20, 2006 this document, all aspects, rules, terms functions and add new functionality. (71 FR 3315); June 2, 2006 (71 FR and conditions announced in previous Section 101.9(b) of title 19 of the Code 32114); and October 17, 2008 (73 FR notices regarding the PSC and PMS tests of Federal Regulations (19 CFR 101.9(b)) 61891). On December 12, 2016, CBP remain in effect. provides for the testing of NCAP published a notice in the Federal DATES: As of November 1, 2017, the components. See T.D. 95–21, 60 FR Register announcing a modification to modification and clarification to the 14211 (March 16, 1995). A list of ACE the PMS test. See 81 FR 89482. On PSC and PMS tests will be operational. tests is provided in Section III below. January 9, 2017, CBP published a notice ADDRESSES: Comments concerning this in the Federal Register (82 FR 2385), A. PSC Test Program test program may be submitted via email republishing the December 12, 2016 to Monica Crockett at ESARinfoinbox@ On June 24, 2011, CBP published a notice with some corrections and dhs.gov with a subject line identifier notice in the Federal Register (76 FR further clarification. Subsequently, on reading, ‘‘Post-Summary Corrections 37136) that announced a plan to January 17, 2017, CBP published a and Periodic Monthly Statements.’’ conduct an NCAP test concerning new notice in the Federal Register (82 FR FOR FURTHER INFORMATION CONTACT: For ACE capabilities allowing importers to 4901) delaying the effective date of the policy-related questions, contact Randy file a PSC for certain entry summaries January 9th notice until further notice. Mitchell, Director, Commercial using the Automated Broker Interface On June 8, 2017, CBP published a notice Operations, Revenue and Entry, Trade (ABI). Importers and their brokers are in the Federal Register (82 FR 26699) Policy and Programs, Office of Trade, also allowed to use ABI to file a PSC to announcing that the January 9th notice via email at Randy.Mitchell@ those pre-liquidation ACE entry would become effective on July 8, 2017. cbp.dhs.gov. For technical questions summaries that were accepted by CBP, Finally, on June 30, 2017, CBP related to ABI transmissions, contact fully paid, and under CBP control. On published a notice in the Federal your assigned client representative. November 19, 2013, CBP published a Register (82 FR 29910) delaying the Interested parties without an assigned notice in the Federal Register (78 FR effective date until further notice. 69434) modifying and clarifying the client representative should direct their II. Test Modifications and Clarification questions to the Client Representative terms and conditions of the PSC test. On Branch at (703) 650–3500. December 12, 2016, CBP published This document announces a another notice in the Federal Register SUPPLEMENTARY INFORMATION: modification and clarification of the (81 FR 89482) further modifying and PSC test, and a modification of the PMS I. Background clarifying the terms and conditions of test. The modifications and clarification the PSC test and expanding the list of Post-Summary Correction (PSC) and are discussed separately below. Except entry types that could be corrected via Periodic Monthly Statement (PMS) Test to the extent expressly announced or a PSC. One of the entry types added was Programs modified by this document, all aspects, entry type 23 (Temporary Importation rules, terms, requirements, obligations The National Customs Automation Bond (TIB)). and conditions announced in previous Program (NCAP) was established by Before the December 12, 2016 notice notices regarding the PSC and PMS tests Subtitle B of Title VI—Customs became effective, CBP published remain in effect. Modernization in the North American another notice on January 9, 2017, in the Free Trade Agreement (NAFTA) Federal Register (82 FR 2385), A. Modification of the PSC Test Implementation Act (Customs republishing the December 12th notice, This document announces that CBP is Modernization Act) (Pub. L. 103–182, and correcting and further clarifying the extending the deadline for filing a PSC. 107 Stat. 2057, 2170, December 8, 1993) terms and conditions of the PSC test. The new deadline requires a PSC to be (19 U.S.C. 1411). Through NCAP, the Subsequently, on January 17, 2017, CBP transmitted within 300 days of the date thrust of customs modernization was on published a notice in the Federal of entry or 15 days prior to the trade compliance and the development Register (82 FR 4901) delaying the scheduled liquidation date, whichever VerDate Sep<11>2014 18:16 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00049 Fmt 4703 Sfmt 4703 E:\FR\FM\01NON1.SGM 01NON1 sradovich on DSK3GMQ082PROD with NOTICES Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Notices 50657 date is earlier. Prior to this modification, • ACE Non-Portal Accounts and Clarifications: 78 FR 69434 (November a PSC had to be transmitted within 270 Related Notice: 70 FR 61466 (October 19, 2013). days of the date of entry, but could not 24, 2005); 71 FR 15756 (March 29, • National Customs Automation be filed within 20 days of the scheduled 2006). Program (NCAP) Test Concerning the liquidation date. This change is being • ACE Entry Summary, Accounts and Submission of Certain Data Required by made to increase the amount of time a Revenue (ESAR I) Capabilities: 72 FR the Environmental Protection Agency filer has to submit a PSC on entry 59105 (October 18, 2007). and the Food Safety and Inspection summaries. • ACE Entry Summary, Accounts and Service Using the Partner Government Revenue (ESAR II) Capabilities: 73 FR Agency Message Set Through the B. Clarification of the PSC Test 50337 (August 26, 2008); 74 FR 9826 Automated Commercial Environment CBP announced in the December 12th (March 6, 2009). (ACE): 78 FR 75931 (December 13, notice that the types of entries that may • ACE Entry Summary, Accounts and 2013). be corrected by filing a PSC were Revenue (ESAR III) Capabilities: 74 FR • Modification of National Customs expanded to additional entry types, one 69129 (December 30, 2009). Automation Program (NCAP) Test of them being entry type 23 (TIB). This • ACE Entry Summary, Accounts and Concerning Automated Commercial notice clarifies that a PSC concerning a Revenue (ESAR IV) Capabilities: 76 FR Environment (ACE) Cargo Release for TIB may be filed only to correct data 37136 (June 24, 2011). Ocean and Rail Carriers: 79 FR 6210 elements of a TIB that do not change a • Post-Entry Amendment (PEA) (February 3, 2014). TIB entry to another entry type; in Processing Test: 76 FR 37136 (June 24, • Modification of National Customs addition, this notice clarifies that a PSC 2011). Automation Program (NCAP) Test may not change data elements that • ACE Announcement of a New Start Concerning Automated Commercial change another entry type to a TIB Date for the National Customs Environment (ACE) Cargo Release to entry. For example, a PSC may correct Automation Program Test of Automated Allow Importers and Brokers to Certify the value declared on a TIB entry, but Manifest Capabilities for Ocean and Rail From ACE Entry Summary: 79 FR 24744 it may not change the classification of Carriers: 76 FR 42721 (July 19, 2011). (May 1, 2014). the article to a classification that is not • ACE Simplified Entry: 76 FR 69755 • Modification of National Customs entitled to be filed as a TIB entry, as that (November 9, 2011). Automation Program (NCAP) Test classification change would necessarily • National Customs Automation Concerning Automated Commercial change a TIB entry to another entry Program (NCAP) Tests Concerning Environment (ACE) Cargo Release for type. Automated Commercial Environment Truck Carriers: 79 FR 25142 (May 2, C. Modification of the PMS Test (ACE) Document Image System (DIS): 77 2014). FR 20835 (April 6, 2012). • Modification of National Customs The proposed modification, published • National Customs Automation Automation Program (NCAP) Test in the January 9, 2017 notice, considers Program (NCAP) Tests Concerning Concerning Automated Commercial a PMS as paid, in the event the importer Automated Commercial Environment Environment (ACE) Document Image uses the Automated Clearing House (ACE) Simplified Entry: Modification of System: 79 FR 36083 (June 25, 2014). (ACH) debit process, when CBP receives Participant Selection Criteria and • Announcement of eBond Test: 79 notification from the Treasury Application Process: 77 FR 48527 FR 70881 (November 28, 2014). Department that funds are available and (August 14, 2012). • eBond Test Modifications and transferred to CBP from the financial • Modification of National Customs Clarifications: Continuous Bond institution designated by the importer Automation Program (NCAP) Test Executed Prior to or Outside the eBond for payment of the ACH debit Regarding Reconciliation for Filing Test May Be Converted to an eBond by authorization. This modification Certain Post-Importation Preferential the Surety and Principal, Termination of reverses the proposed modification Tariff Treatment Claims under Certain an eBond by Filing Identification because ACE cannot accommodate the FTAs: 78 FR 27984 (May 13, 2013). Number, and Email Address Correction: proposed change at this time due to • Modification of Two National 80 FR 899 (January 7, 2015). technical constraints. Therefore, CBP Customs Automation Program (NCAP) • Modification of National Customs will continue to consider a PMS as paid Tests Concerning Automated Automation Program (NCAP) Test when CBP transmits the debit Commercial Environment (ACE) Concerning Automated Commercial authorization to the designated financial Document Image System (DIS) and Environment (ACE) Document Image institution. See 69 FR 5362 (February 4, Simplified Entry (SE): 78 FR 44142 (July System Relating to Animal and Plant 2004). 23, 2013). Health Inspection Service (APHIS) III. Development of ACE Prototypes • Modification of Two National Document Submissions: 80 FR 5126 A chronological listing of Federal Customs Automation Program (NCAP) (January 30, 2015). • Register publications detailing ACE test Tests Concerning Automated Modification of National Customs developments is set forth below. Commercial Environment (ACE) Automation Program (NCAP) Test • ACE Portal Accounts and Document Image System (DIS) and Concerning the use of Partner Subsequent Revision Notices: 67 FR Simplified Entry (SE); Correction: 78 FR Government Agency Message Set 21800 (May 1, 2002); 69 FR 5360 and 69 53466 (August 29, 2013). through the Automated Commercial FR 5362 (February 4, 2004); 69 FR • Modification of National Customs Environment (ACE) for the Submission 54302 (September 8, 2004); 70 FR 5199 Automation Program Test Concerning of Certain Data Required by the (February 1, 2005). Automated Commercial Environment Environmental Protection Agency • ACE System of Records Notice: 71 (ACE) Cargo Release (formerly known as (EPA): 80 FR 6098 (February 4, 2015). FR 3109 (January 19, 2006). Simplified Entry): 78 FR 66039 • Announcement of Modification of • Terms/Conditions for Access to the (November 4, 2013). ACE Cargo Release Test to Permit the ACE Portal and Subsequent Revisions: • Post-Summary Corrections to Entry Combined Filing of Cargo Release and 72 FR 27632 (May 16, 2007); 73 FR Summaries Filed in ACE Pursuant to the Importer Security Filing (ISF) Data: 80 38464 (July 7, 2008). ESAR IV Test: Modifications and FR 7487 (February 10, 2015). VerDate Sep<11>2014 18:16 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00050 Fmt 4703 Sfmt 4703 E:\FR\FM\01NON1.SGM 01NON1 sradovich on DSK3GMQ082PROD with NOTICES 50658 Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Notices • Modification of NCAP Test Modes of Transportation: 80 FR 63815 Module as the Sole CBP-Authorized Concerning ACE Cargo Release for Type (October 21, 2015). Method for Filing Electronic Protests: 81 03 Entries and Advanced Capabilities • Modification of the National FR 49685 (July 28, 2016). for Truck Carriers: 80 FR 16414 (March Customs Automation Program Test • Modification of the National 27, 2015). Concerning the Automated Commercial Customs Automation Program (NCAP) • Automated Commercial Environment Portal Account to Test Concerning the Automated Environment (ACE) Export Manifest for Establish the Exporter Portal Account: Commercial Environment (ACE) Portal Air Cargo Test: 80 FR 39790 (July 10, 80 FR 63817 (October 21, 2015). Accounts to Establish the Protest Filer 2015). • Modification of National Customs Account and Clarification that the • National Customs Automation Automation Program Test Concerning Terms and Conditions for Account Program (NCAP) Concerning Remote the Automated Commercial Access Apply to all ACE Portal Location Filing Entry Procedures in the Environment Partner Government Accounts: 81 FR 52453 (August 8, Automated Commercial Environment Agency Message Set Regarding the 2016). • (ACE) and the Use of the Document Toxic Substances Control Act National Customs Automation Image System for the Submission of Certification Required by the Program (NCAP) Test Concerning Invoices and the Use of eBonds for the Environmental Protection Agency: 81 Electronic Filing of Protests in the Transmission of Single Transaction FR 7133 (February 10, 2016). Automated Commercial Environment • Bonds: 80 FR 40079 (July 13, 2015). Notice Announcing the Automated (ACE): 81 FR 53497 (August 12, 2016). • • Modification of National Customs Commercial Environment (ACE) as the Modification of the National Automation Program (NCAP) Test Sole CBP-Authorized Electronic Data Customs Automation Program (NCAP) Concerning the Automated Commercial Interchange (EDI) System for Processing Test Regarding Reconciliation and Environment (ACE) Partner Government Certain Electronic Entry and Entry Transition of the Test from the Agency (PGA) Message Set Regarding Summary Filings: 81 FR 10264 Automated Commercial System (ACS) (February 29, 2016). to the Automated Commercial Types of Transportation Modes and • Certain Data Required by the National Modification of the National Environment (ACE): 81 FR 89486 Customs Automation Program (NCAP); (December 12, 2016). Highway Traffic Safety Administration • (NHTSA): 80 FR 47938 (August 10, Test Concerning the Partner Modification and Clarification of 2015). Government Agency Message Set for the National Customs Automation • Automated Commercial Certain Data Required by the Program (NCAP) Test Regarding Post- Environment (ACE) Export Manifest for Environmental Protection Agency Summary Corrections and Periodic Vessel Cargo Test: 80 FR 50644 (August (EPA): 81 FR 13399 (March 14, 2016). Monthly Statements: 81 FR 89482 • Cessation of National Customs 20, 2015). (December 12, 2016). Automation Program (NCAP) Test • Effective Date for the Automated • Modification of National Customs Concerning the Submission of Certain Commercial Environment (ACE) Being Automation Program (NCAP) Test Data Required by the Food and Drug the Sole CBP-Authorized Electronic Concerning the Submission of Certain Administration (FDA) Using the Partner Data Interchange (EDI) System for Data Required by the Food and Drug Government Agency (PGA) Message Set Processing Electronic Drawback and Administration (FDA) Using the Partner Through the Automated Commercial Duty Deferral Entry and Entry Summary Government Agency Message Set Environment (ACE): 81 FR 18634 Filings: 81 FR 89486 (December 12, through the Automated Commercial (March 31, 2016). 2016). Environment (ACE): 80 FR 52051 • Automated Commercial • Electronic Notice of Liquidation: 81 (August 27, 2015). • Environment (ACE); Announcement of FR 89375 (December 12, 2016). Automated Commercial National Customs Automation Program • Modification and Clarification of Environment (ACE) Export Manifest for Test of the In-Transit Manifest Pilot the National Customs Automation Rail Cargo Test: 80 FR 54305 Program: 81 FR 24837 (April 27, 2016). Program Tests Regarding Post-Summary (September 9, 2015). • Announcement of National Corrections and Periodic Monthly • Modification of the National Customs Automation Program (NCAP) Statements; Republication with Customs Automation Program (NCAP) Test Concerning the Submission Correction and Further Clarification: 82 Test Concerning the Automated through the Automated Commercial FR 2385 (January 9, 2017). Commercial Environment (ACE) Environment (ACE) of Certain Import • Delay of Effective Date for the Document Image System (DIS) Data and Documents Required by the Automated Commercial Environment Regarding Future Updates and New U.S. Fish and Wildlife Service: 81 FR (ACE) Becoming the Sole CBP- Method of Submission of Accepted 27149 (May 5, 2016). Authorized Electronic Data Interchange Documents: 80 FR 62082 (October 15, • Notice Announcing the Automated (EDI) System for Processing Electronic 2015). Commercial Environment (ACE) as the Drawback and Duty Deferral Entry and • Modification of the National Sole CBP-Authorized Electronic Data Entry Summary Filings: 82 FR 4900 Customs Automation Program (NCAP) Interchange (EDI) System for Processing (January 17, 2017). Test Concerning the Automated Certain Electronic Entry and Entry • Delayed Effective Date for Commercial Environment (ACE) Cargo Summary Filings Accompanied by Food Modifications of the National Customs Release for Entry Type 52 and Certain and Drug Administration (FDA) Data: 81 Automation Program Tests Regarding Other Modes of Transportation: 80 FR FR 30320 (May 16, 2016). Reconciliation, Post-Summary 63576 (October 20, 2015). • Notice Announcing the Automated Corrections, and Periodic Monthly • Modification of the National Commercial Environment (ACE) as the Statements: 82 FR 4901 (January 17, Customs Automation Program (NCAP) Sole CBP-Authorized Electronic Data 2017). Test Concerning the Automated Interchange (EDI) System for Processing • Effective Date for the Automated Commercial Environment (ACE) Entry Electronic Entry and Entry Summary Commercial Environment (ACE) Summary, Accounts and Revenue Filings: 81 FR 32339 (May 23, 2016). Becoming the Sole CBP-Authorized (ESAR) Test of Automated Entry • Notice Announcing the Automated Electronic Data Interchange (EDI) Summary Types 51 and 52 and Certain Commercial Environment (ACE) Protest System for Processing Electronic VerDate Sep<11>2014 18:16 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00051 Fmt 4703 Sfmt 4703 E:\FR\FM\01NON1.SGM 01NON1 sradovich on DSK3GMQ082PROD with NOTICES Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Notices 50659 Drawback and Duty Deferral Entry and Consolidated Omnibus Budget inflation. For fiscal year 2018, this is Entry Summary Filings: 82 FR 26698 Reconciliation Act (COBRA) for Fiscal done by comparing the average of the (June 8, 2017). Year 2018 in accordance with the Fixing Consumer Price Index—All Urban • Effective Date for Modifications of America’s Surface Transportation Act Consumers, U.S. All items, 1982–84 the National Customs Automation (FAST Act) as implemented by CBP (CPI–U) for the current year (June 2016– Program Tests Regarding Reconciliation, regulations published elsewhere in this May 2017) with the average of the CPI– Post-Summary Corrections, and Periodic issue of the Federal Register. U for Fiscal Year 2014 to determine the Monthly Statements: 82 FR 26699 (June DATES: The adjusted amounts of change in inflation, if any. If there is an 8, 2017). customs COBRA user fees and their increase in the CPI of greater than one • Delayed Effective Date for corresponding limitations set forth in (1) percent, CBP must adjust the Modifications of the National Customs this notice for Fiscal Year 2018 are customs COBRA user fees and Automation Program Tests Regarding required as of January 1, 2018. corresponding limitations using the methodology set forth in 19 CFR Reconciliation, Post-Summary FOR FURTHER INFORMATION CONTACT: 24.22(k). Following the steps provided Corrections, and Periodic Monthly Bruce Ingalls, Director—Revenue in paragraph (k)(2) of § 24.22, CBP has Statements: 82 FR 29910 (June 30, Division, 317–298–1107, bruce.ingalls@ determined that the increase in the CPI 2017). cbp.dhs.gov; or Tina Ghiladi, Director— • between the most recent June to May 12- Delay of Effective Date for the Fee Strategy, Communications, and month period (June 2016–May 2017) Automated Commercial Environment Integration, 202–344–3722, and Fiscal Year 2014 is 2.542 percent. (ACE) Becoming the Sole CBP- [email protected]. Authorized Electronic Data Interchange (19 CFR 24.22(k)). As the increase in the (EDI) System for Processing Electronic SUPPLEMENTARY INFORMATION: CPI is greater than one (1) percent, the Drawback and Duty Deferral Entry and Background customs COBRA user fees and Entry Summary Filings: 82 FR 29910 corresponding limitations must be On December 4, 2015, the Fixing (June 30, 2017). adjusted for Fiscal Year 2018. America’s Surface Transportation Act • Extension and Clarification of Test (FAST Act, Pub. L. 114–94) was signed Determination of the Adjusted Fees and Program Regarding Electronic Foreign into law. Section 32201 of the FAST Act Limitations Trade Zone Admission Applications amended section 13031 of the and Transition of Test from the Using the methodology set forth in Consolidated Omnibus Budget Automated Commercial System to the § 24.22(k)(2) of the CBP regulations (19 Reconciliation Act (COBRA) of 1985 (19 Automated Commercial Environment: CFR 24.22(k)), CBP has determined that U.S.C. 58c) by requiring certain customs 82 FR 38923 (August 16, 2017). the factor by which the fees and • Automated Commercial COBRA user fees and corresponding limitations will be adjusted is 2.677 Environment (ACE) Becoming the Sole limitations to be adjusted by the percent. In reaching this determination, CBP-Authorized Electronic Data Secretary of the Treasury (Secretary) to CBP calculated the values for each Interchange (EDI) System for Processing reflect certain increases in inflation. variable found in 19 CFR 24.22(k) as In a final rule, CBP Dec. 17–16, Duty Deferral Entry and Entry Summary follows: published elsewhere in this issue of the • Filings: 82 FR 38924 (August 16, 2017). The arithmetic average of the CPI– • Delay of Transition of Test Program Federal Register, CBP amended §§ 24.22 U for June 2016–May 2017, referred to Regarding Electronic Foreign Trade and 24.23 of title 19 of the Code of as (A) in the CBP regulations, is Zone Admission Applications from the Federal Regulations (19 CFR 24.22 and 242.328 1 • Automated Commercial System to the 24.23) to implement the requirements of The arithmetic average of the CPI– Automated Commercial Environment: the FAST Act. Specifically, CBP created U for Fiscal Year 2014, referred to as (B), 82 FR 43395 (September 15, 2017). a new paragraph (k) in section 24.22 (19 is 236.009; CFR 24.22(k)) that sets forth the • The arithmetic average of the CPI– Dated: October 26, 2017. methodology to determine the change in U for the comparison year, referred to as Brenda B. Smith, inflation as well as the factor by which (C), is 236.009; Executive Assistant Commissioner, Office of the fees and limitations will be adjusted, • The difference between the Trade. if necessary. The fees and limitations arithmetic averages of the CPI–U of the [FR Doc. 2017–23747 Filed 10–31–17; 8:45 am] subject to adjustment, which are set comparison year (Fiscal Year 2014) and BILLING CODE 9111–14–P forth in Appendix A and Appendix B of the current year (June 2016–May 2017), part 24, include the commercial vessel referred to as (D), is 6.320; arrival fees, commercial truck arrival • This difference rounded to the DEPARTMENT OF HOMELAND fees, railroad car arrival fees, private nearest whole number, referred to as (E), SECURITY vessel arrival fees, private aircraft is 6; arrival fees, commercial aircraft and • The percentage change in the U.S. Customs and Border Protection vessel passenger arrival fees, dutiable arithmetic averages of the CPI–U of the mail fees, customs broker permit user comparison year (Fiscal Year 2014) and COBRA Fees To Be Adjusted for the current year (June 2016–May 2017), Inflation in Fiscal Year 2018 CBP Dec. fees, barges and other bulk carriers arrival fees, and merchandise processing referred to as (F), is 2.542 percent; 17–17 • fees as well as the corresponding The difference in the arithmetic AGENCY: U.S. Customs and Border limitations. average of the CPI–U between the Protection, Department of Homeland current year (June 2016–May 2017) and Determination of Whether an Security. the base year (Fiscal Year 2014), referred Adjustment Is Necessary for Fiscal Year to as (G), is 6.320; and ACTION: General notice. 2018 SUMMARY: This document announces In accordance with the amended 1 The figures provided in this notice may be rounded for publication purposes only. The that U.S. Customs and Border Protection regulations in 19 CFR 24.22, CBP calculations for the adjusted fees and limitations (CBP) is adjusting certain customs user determines whether the fees and were made using unrounded figures, unless fees and limitations established by the limitations must be adjusted to reflect otherwise noted. VerDate Sep<11>2014 18:16 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00052 Fmt 4703 Sfmt 4703 E:\FR\FM\01NON1.SGM 01NON1 sradovich on DSK3GMQ082PROD with NOTICES 50660 Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Notices • Lastly, the percentage change in the Announcement of New Fees and set forth below are required as of CPI–U from the base year (Fiscal Year Limitations January 1, 2018. Table 1 provides the 2014) to the current year (June 2016– fees and limitations found in 19 CFR May 2017), referred to as (H), is 2.677 The adjusted amounts of customs 24.22 as adjusted for Fiscal Year 2018 percent. COBRA user fees and their and Table 2 provides the fees and corresponding limitations for Fiscal limitations found in 19 CFR 24.23 as Year 2018 as adjusted by 2.677 percent adjusted for Fiscal Year 2018. TABLE 1—CUSTOMS COBRA USER FEES AND LIMITATIONS FOUND IN 19 CFR 24.22 AS ADJUSTED FOR FISCAL YEAR 2018 New fee/limitation adjusted in 19 U.S.C. 58c 19 CFR 24.22 Customs COBRA user fee/limitation accordance with the FAST Act (a)(1) ...... (b)(1)(i) ...... Fee: Commercial Vessel Arrival Fee ...... $448.70 (b)(5)(A) ...... (b)(1)(ii) ...... Limitation: Calendar Year Maximum for Commercial Vessel 6,114.46 Arrival Fees. (a)(8) ...... (b)(2)(i) ...... Fee: Barges and Other Bulk Carriers Arrival Fee ...... 112.95 (b)(6) ...... (b)(2)(ii) ...... Limitation: Calendar Year Maximum for Barges and Other 1,540.17 Bulk Carriers Arrival Fees. (a)(2) ...... (c)(1) ...... Fee: Commercial Truck Arrival Fee ...... 5.65 (b)(2) ...... (c)(2) and (3) ...... Limitation: Commercial Truck Calendar Year Prepayment 102.68 Fee. (a)(3) ...... (d)(1) ...... Fee: Railroad Car Arrival Fee ...... 8.47 (b)(3) ...... (d)(2) and (3) ...... Limitation: Railroad Car Calendar Year Prepayment Fee .... 102.68 (a)(4) ...... (e)(1) and (2) ...... Fee and Limitation: Private Vessel or Private Aircraft First 28.24 Arrival/Calendar Year Prepayment Fee. (a)(6) ...... (f) ...... Fee: Dutiable Mail Fee ...... 5.65 (a)(5)(A) ...... (g)(1)(i) ...... Fee: Commercial Vessel or Commercial Aircraft Passenger 5.65 Arrival Fee. (a)(5)(B) ...... (g)(1)(ii) ...... Fee: Commercial Vessel Passenger Arrival Fee (from one 1.98 of the territories and possessions of the United States). (a)(7) ...... (h) ...... Fee: Customs Broker Permit User Fee ...... 141.70 TABLE 2—CUSTOMS COBRA USER FEES AND LIMITATIONS FOUND IN 19 CFR 24.23 AS ADJUSTED FOR FISCAL YEAR 2018 New fee/limitation adjusted in 19 U.S.C. 58c 19 CFR 24.23 Customs COBRA user fee/limitation accordance with the FAST Act (b)(9)(A)(ii) ...... (b)(1)(i)(A) ...... Fee: Express Consignment Carrier/Centralized Hub Facility $1.03 Fee, Per Individual Waybill/Bill of Lading Fee. (b)(9)(B)(i) ...... (b)(1)(i)(B)(2) ...... Limitation: Minimum Express Consignment Carrier/Central- 0.36 ized Hub Facility Fee. (b)(9)(B)(i) ...... (b)(1)(i)(B)(2) ...... Limitation: Maximum Express Consignment Carrier/Central- 1.03 ized Hub Facility Fee. (a)(9)(B)(i); (b)(8)(A)(i) ...... (b)(1)(i)(B)(1) ...... Limitation: Minimum Merchandise Processing Fee ...... 25.67 (a)(9)(B)(i); (b)(8)(A)(i) ...... (b)(1)(i)(B)(1) ...... Limitation: Maximum Merchandise Processing Fee ...... 497.99 (b)(8)(A)(ii) ...... (b)(1)(ii) ...... Fee: Surcharge for Manual Entry or Release ...... 3.08 (a)(10)(C)(i) ...... (b)(2)(i) ...... Fee: Informal Entry or Release; Automated and Not Pre- 2.05 pared by CBP Personnel. (a)(10)(C)(ii) ...... (b)(2)(ii) ...... Fee: Informal Entry or Release; Manual and Not Prepared 6.16 by CBP Personnel. (a)(10)(C)(iii) ...... (b)(2)(iii) ...... Fee: Informal Entry or Release; Automated or Manual; Pre- 9.24 pared by CBP Personnel. (b)(9)(A)(ii) ...... (b)(4) ...... Fee: Express Consignment Carrier/Centralized Hub Facility 1.03 Fee, Per Individual Waybill/Bill of Lading Fee. Tables 1 and 2 setting forth the the public’s convenience on the CBP Dated: October 30, 2017. adjusted fees and limitations for Fiscal Web site at www.cbp.gov. Kevin K. McAleenan, Year 2018 will also be maintained for Acting Commissioner, U.S. Customs and Border Protection. [FR Doc. 2017–23876 Filed 10–31–17; 8:45 am] BILLING CODE 9111–14–P VerDate Sep<11>2014 18:16 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00053 Fmt 4703 Sfmt 9990 E:\FR\FM\01NON1.SGM 01NON1 sradovich on DSK3GMQ082PROD with NOTICES Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Notices 50661 DEPARTMENT OF HOMELAND ACTION: Notice. DEPARTMENT OF HOMELAND SECURITY SECURITY SUMMARY: This notice amends the notice Federal Emergency Management of a major disaster declaration for the Federal Emergency Management Agency State of Georgia (FEMA–4338–DR), Agency [Internal Agency Docket No. FEMA–3381– dated September 15, 2017, and related [Internal Agency Docket No. FEMA–4346– EM: ID FEMA–2017–0001] determinations. DR; Docket ID FEMA–2017–0001] California; Amendment No. 1 to Notice DATES: This amendment was issued South Carolina; Major Disaster and of an Emergency Declaration October 18, 2017. Related Determinations AGENCY: Federal Emergency FOR FURTHER INFORMATION CONTACT: AGENCY: Federal Emergency Management Agency, DHS. Dean Webster, Office of Response and Management Agency, DHS. ACTION: Notice. Recovery, Federal Emergency ACTION: Notice. Management Agency, 500 C Street SW., SUMMARY: This notice amends the notice Washington, DC 20472, (202) 646–2833. SUMMARY: This is a notice of the of an emergency declaration for the Presidential declaration of a major State of California (FEMA–3381–EM), SUPPLEMENTARY INFORMATION: The notice disaster for the State of South Carolina dated February 14, 2017, and related of a major disaster declaration for the (FEMA–4346–DR), dated October 16, determinations. State of Georgia is hereby amended to 2017, and related determinations. include the following areas among those DATES: This amendment was issued DATES: The declaration was issued October 20, 2017. areas determined to have been adversely October 16, 2017. affected by the event declared a major FOR FURTHER INFORMATION CONTACT: FOR FURTHER INFORMATION CONTACT: Dean Webster, Office of Response and disaster by the President in his Dean Webster, Office of Response and Recovery, Federal Emergency declaration of September 15, 2017. Recovery, Federal Emergency Management Agency, 500 C Street SW., Bibb, Chattahoochee, Clarke, Clinch, Management Agency, 500 C Street SW., Washington, DC 20472, (202) 646–2833. Decatur, Dodge, Dooly, Glascock, Grady, Washington, DC 20472, (202) 646–2833. SUPPLEMENTARY INFORMATION: Notice is Gwinnett, Heard, Henry, Jefferson, Lanier, SUPPLEMENTARY INFORMATION: Notice is hereby given that the incident period for Lee, McDuffie, Mitchell, Pulaski, Stewart, hereby given that, in a letter dated this emergency is closed effective Sumter, Terrell, Thomas, Towns, Twiggs, October 16, 2017, the President issued February 23, 2017. Union, Upson, Webster, White, and a major disaster declaration under the Wilkinson Counties for Public Assistance authority of the Robert T. Stafford The following Catalog of Federal Domestic [Categories C–G] (already designated for Assistance Numbers (CFDA) are to be used Disaster Relief and Emergency for reporting and drawing funds: 97.030, debris removal and emergency protective Assistance Act, 42 U.S.C. 5121 et seq. Community Disaster Loans; 97.031, Cora measures [Categories A and B], including (the ‘‘Stafford Act’’), as follows: direct federal assistance, under the Public Brown Fund; 97.032, Crisis Counseling; I have determined that the damage in 97.033, Disaster Legal Services; 97.034, Assistance program). certain areas of the State of South Carolina Disaster Unemployment Assistance (DUA); The following Catalog of Federal Domestic resulting from Hurricane Irma during the 97.046, Fire Management Assistance Grant; Assistance Numbers (CFDA) are to be used period of September 6–13, 2017, is of 97.048, Disaster Housing Assistance to for reporting and drawing funds: 97.030, sufficient severity and magnitude to warrant Individuals and Households In Presidentially Community Disaster Loans; 97.031, Cora a major disaster declaration under the Robert Declared Disaster Areas; 97.049, Brown Fund; 97.032, Crisis Counseling; T. Stafford Disaster Relief and Emergency Presidentially Declared Disaster Assistance— Assistance Act, 42 U.S.C. 5121 et seq. (the 97.033, Disaster Legal Services; 97.034, Disaster Housing Operations for Individuals ‘‘Stafford Act’’). Therefore, I declare that such and Households; 97.050 Presidentially Disaster Unemployment Assistance (DUA); a major disaster exists in the State of South Declared Disaster Assistance to Individuals 97.046, Fire Management Assistance Grant; Carolina. and Households—Other Needs; 97.036, 97.048, Disaster Housing Assistance to In order to provide Federal assistance, you Disaster Grants—Public Assistance Individuals and Households In Presidentially are hereby authorized to allocate from funds (Presidentially Declared Disasters); 97.039, Declared Disaster Areas; 97.049, available for these purposes such amounts as Hazard Mitigation Grant. Presidentially Declared Disaster Assistance— you find necessary for Federal disaster assistance and administrative expenses. Brock Long, Disaster Housing Operations for Individuals and Households; 97.050 Presidentially You are authorized to provide Public Administrator, Federal Emergency Assistance in the designated areas and Management Agency. Declared Disaster Assistance to Individuals and Households—Other Needs; 97.036, Hazard Mitigation throughout the State. [FR Doc. 2017–23718 Filed 10–31–17; 8:45 am] Consistent with the requirement that Federal Disaster Grants—Public Assistance BILLING CODE 9111–23–P assistance be supplemental, any Federal (Presidentially Declared Disasters); 97.039, funds provided under the Stafford Act for Hazard Mitigation Grant. Hazard Mitigation will be limited to 75 DEPARTMENT OF HOMELAND Brock Long, percent of the total eligible costs. Federal SECURITY funds provided under the Stafford Act for Administrator, Federal Emergency Public Assistance also will be limited to 75 Management Agency. Federal Emergency Management percent of the total eligible costs, with the Agency [FR Doc. 2017–23799 Filed 10–31–17; 8:45 am] exception of projects that meet the eligibility BILLING CODE 9111–23–P criteria for a higher Federal cost-sharing [Internal Agency Docket No. FEMA–4338– percentage under the Public Assistance DR: Docket ID FEMA–2017–0001] Alternative Procedures Pilot Program for Debris Removal implemented pursuant to Georgia; Amendment No. 6 to Notice of section 428 of the Stafford Act. a Major Disaster Declaration Further, you are authorized to make changes to this declaration for the approved AGENCY: Federal Emergency assistance to the extent allowable under the Management Agency, DHS. Stafford Act. VerDate Sep<11>2014 18:16 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00054 Fmt 4703 Sfmt 4703 E:\FR\FM\01NON1.SGM 01NON1 sradovich on DSK3GMQ082PROD with NOTICES 50662 Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Notices The Federal Emergency Management Management Agency, 500 C Street SW., The following Catalog of Federal Domestic Agency (FEMA) hereby gives notice that Washington, DC 20472, (202) 646–2833. Assistance Numbers (CFDA) are to be used for reporting and drawing funds: 97.030, pursuant to the authority vested in the SUPPLEMENTARY INFORMATION: Notice is Administrator, under Executive Order Community Disaster Loans; 97.031, Cora hereby given that, in a letter dated Brown Fund; 97.032, Crisis Counseling; 12148, as amended, Warren J. Riley, of October 16, 2017, the President issued 97.033, Disaster Legal Services; 97.034, FEMA is appointed to act as the Federal a major disaster declaration under the Disaster Unemployment Assistance (DUA); Coordinating Officer for this major authority of the Robert T. Stafford 97.046, Fire Management Assistance Grant; disaster. Disaster Relief and Emergency 97.048, Disaster Housing Assistance to The following areas of the State of Assistance Act, 42 U.S.C. 5121 et seq. Individuals and Households In Presidentially South Carolina have been designated as (the ‘‘Stafford Act’’), as follows: Declared Disaster Areas; 97.049, adversely affected by this major disaster: Presidentially Declared Disaster Assistance— I have determined that the damage in Disaster Housing Operations for Individuals Allendale, Anderson, Bamberg, Barnwell, certain areas of the State of Louisiana and Households; 97.050, Presidentially Beaufort, Berkeley, Charleston, Colleton, resulting from Tropical Storm Harvey during Declared Disaster Assistance to Individuals Dorchester, Edgefield, Georgetown, Hampton, the period of August 27 to September 10, and Households—Other Needs; 97.036, Jasper, McCormick, Oconee, and Pickens 2017, is of sufficient severity and magnitude Disaster Grants—Public Assistance Counties for Public Assistance. to warrant a major disaster declaration under (Presidentially Declared Disasters); 97.039, All areas within the State of South Carolina the Robert T. Stafford Disaster Relief and Hazard Mitigation Grant. are eligible for assistance under the Hazard Emergency Assistance Act, 42 U.S.C. 5121 et Mitigation Grant Program. seq. (the ‘‘Stafford Act’’). Therefore, I declare Brock Long, The following Catalog of Federal Domestic that such a major disaster exists in the State Administrator, Federal Emergency Assistance Numbers (CFDA) are to be used of Louisiana. Management Agency. for reporting and drawing funds: 97.030, In order to provide Federal assistance, you [FR Doc. 2017–23800 Filed 10–31–17; 8:45 am] Community Disaster Loans; 97.031, Cora are hereby authorized to allocate from funds BILLING CODE 9111–23–P Brown Fund; 97.032, Crisis Counseling; available for these purposes such amounts as 97.033, Disaster Legal Services; 97.034, you find necessary for Federal disaster Disaster Unemployment Assistance (DUA); assistance and administrative expenses. 97.046, Fire Management Assistance Grant; You are authorized to provide Public DEPARTMENT OF HOMELAND 97.048, Disaster Housing Assistance to Assistance in the designated areas and SECURITY Individuals and Households In Presidentially Hazard Mitigation throughout the State. Declared Disaster Areas; 97.049, Consistent with the requirement that Federal Federal Emergency Management Presidentially Declared Disaster Assistance— assistance be supplemental, any Federal Agency funds provided under the Stafford Act for Disaster Housing Operations for Individuals [Internal Agency Docket No. FEMA–4344– Hazard Mitigation will be limited to 75 and Households; 97.050, Presidentially DR;Docket ID FEMA–2017–0001] Declared Disaster Assistance to Individuals percent of the total eligible costs. Federal and Households—Other Needs; 97.036, funds provided under the Stafford Act for California; Major Disaster and Related Disaster Grants—Public Assistance Public Assistance also will be limited to 75 (Presidentially Declared Disasters); 97.039, percent of the total eligible costs, with the Determinations exception of projects that meet the eligibility Hazard Mitigation Grant. AGENCY: Federal Emergency criteria for a higher Federal cost-sharing Brock Long, percentage under the Public Assistance Management Agency, DHS. Administrator, Federal Emergency Alternative Procedures Pilot Program for ACTION: Notice. Management Agency. Debris Removal implemented pursuant to section 428 of the Stafford Act. SUMMARY: This is a notice of the [FR Doc. 2017–23716 Filed 10–31–17; 8:45 am] Further, you are authorized to make Presidential declaration of a major BILLING CODE 9111–23–P changes to this declaration for the approved disaster for the State of California assistance to the extent allowable under the (FEMA–4344–DR), dated October 10, Stafford Act. DEPARTMENT OF HOMELAND 2017, and related determinations. SECURITY The Federal Emergency Management DATES: The declaration was issued Agency (FEMA) hereby gives notice that October 10, 2017. Federal Emergency Management pursuant to the authority vested in the FOR FURTHER INFORMATION CONTACT: Agency Administrator, under Executive Order Dean Webster, Office of Response and 12148, as amended, William J. Doran III, Recovery, Federal Emergency [Internal Agency Docket No. FEMA–4345– of FEMA is appointed to act as the DR: Docket ID FEMA–2017–0001] Management Agency, 500 C Street SW., Federal Coordinating Officer for this Washington, DC 20472, (202) 646–2833. major disaster. Louisiana; Major Disaster and Related SUPPLEMENTARY INFORMATION: Notice is The following areas of the State of Determinations hereby given that, in a letter dated Louisiana have been designated as October 10, 2017, the President issued AGENCY: Federal Emergency adversely affected by this major disaster: Management Agency, DHS. a major disaster declaration under the The parishes of Allen, Beauregard, authority of the Robert T. Stafford ACTION: Notice. Calcasieu, Cameron, Natchitoches, Red River, Disaster Relief and Emergency Sabine, St. Charles, and Vernon for all Assistance Act, 42 U.S.C. 5121 et seq. SUMMARY: This is a notice of the categories of Public Assistance. Presidential declaration of a major The parishes of Acadia, Assumption, De (the ‘‘Stafford Act’’), as follows: disaster for the State of Louisiana Soto, Iberia, Jefferson Davis, Lafayette, I have determined that the damage in (FEMA–4345–DR), dated October 16, Lafourche, Plaquemines, Rapides, St. Mary, certain areas of the State of California 2017, and related determinations. and Vermillion for emergency protective resulting from wildfires beginning on DATES: The declaration was issued measures (Category B), including direct October 8, 2017, and continuing, is of October 16, 2017. federal assistance, under the Public sufficient severity and magnitude to warrant Assistance program. a major disaster declaration under the Robert FOR FURTHER INFORMATION CONTACT: All areas within the State of Louisiana are T. Stafford Disaster Relief and Emergency Dean Webster, Office of Response and eligible for assistance under the Hazard Assistance Act, 42 U.S.C. 5121 et seq. (the Recovery, Federal Emergency Mitigation Grant Program. ‘‘Stafford Act’’). Therefore, I declare that such VerDate Sep<11>2014 18:16 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00055 Fmt 4703 Sfmt 4703 E:\FR\FM\01NON1.SGM 01NON1 sradovich on DSK3GMQ082PROD with NOTICES Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Notices 50663 a major disaster exists in the State of (Presidentially Declared Disasters); 97.039, Comments Invited California. Hazard Mitigation Grant. In order to provide Federal assistance, you In accordance with the Paperwork are hereby authorized to allocate from funds Brock Long, Reduction Act of 1995 (44 U.S.C. 3501 available for these purposes such amounts as Administrator, Federal Emergency et seq.), an agency may not conduct or you find necessary for Federal disaster Management Agency. sponsor, and a person is not required to assistance and administrative expenses. [FR Doc. 2017–23720 Filed 10–31–17; 8:45 am] respond to, a collection of information You are authorized to provide assistance BILLING CODE 9111–23–P unless it displays a valid OMB control for debris removal and emergency protective number. The ICR documentation will be measures (Categories A and B) under the available at http://www.reginfo.gov Public Assistance program in the designated DEPARTMENT OF HOMELAND upon its submission to OMB. Therefore, areas, Hazard Mitigation throughout the SECURITY in preparation for OMB review and State, and any other forms of assistance approval of the following information under the Stafford Act that you deem Transportation Security Administration appropriate subject to completion of collection, TSA is soliciting comments to: Preliminary Damage Assessments (PDAs). Revision of Agency Information (1) Evaluate whether the proposed Direct Federal assistance is authorized. Collection Activity Under OMB Review: information requirement is necessary for Consistent with the requirement that TSA Pre✓® Application Program Federal assistance be supplemental, any the proper performance of the functions Federal funds provided under the Stafford AGENCY: of the agency, including whether the Act for Hazard Mitigation will be limited to Transportation Security Administration, DHS. information will have practical utility; 75 percent of the total eligible costs. Federal (2) Evaluate the accuracy of the funds provided under the Stafford Act for ACTION: 30-Day notice. agency’s estimate of the burden; Public Assistance also will be limited to 75 (3) Enhance the quality, utility, and percent of the total eligible costs, with the SUMMARY: This notice announces that clarity of the information to be exception of projects that meet the eligibility the Transportation Security criteria for a higher Federal cost-sharing collected; and percentage under the Public Assistance Administration (TSA) has forwarded the (4) Minimize the burden of the Alternative Procedures Pilot Program for Information Collection Request (ICR), collection of information on those who Debris Removal implemented pursuant to Office of Management and Budget are to respond, including using section 428 of the Stafford Act. (OMB) control number 1652–0059, appropriate automated, electronic, Further, you are authorized to make abstracted below to OMB for review and mechanical, or other technological changes to this declaration for the approved approval of a revision of the currently collection techniques or other forms of assistance to the extent allowable under the approved collection under the information technology. Stafford Act. Paperwork Reduction Act (PRA). The Consistent with the requirements of ICR describes the nature of the The Federal Emergency Management Executive Order (EO) 13771, Reducing information collection and its expected Agency (FEMA) hereby gives notice that Regulation and Controlling Regulatory burden. TSA published a Federal pursuant to the authority vested in the Costs, and EO 13777, Enforcing the Register notice, with a 60-day comment Administrator, under Executive Order Regulatory Reform Agenda, TSA is also period soliciting comments, of the 12148, as amended, William Roche, of requesting comments on the extent to following collection of information on FEMA is appointed to act as the Federal which this request for information could May 4, 2017. The collection involves the Coordinating Officer for this major be modified to reduce the burden on submission of biographic and biometric disaster. respondents. information by individuals seeking to The following areas of the State of enroll in the TSA Pre✓® Application Information Collection Requirement California have been designated as Program, as well as an optional Title: TSA Pre✓® Application adversely affected by this major disaster: customer satisfaction survey. Program. Butte, Lake, Mendocino, Napa, Nevada, DATES: Send your comments by Type of Request: Revision of currently Sonoma, and Yuba Counties for debris December 1, 2017. A comment to OMB approved collection. removal and emergency protective measures is most effective if OMB receives it OMB Control Number: 1652–0059. (Categories A and B), including direct federal within 30 days of publication. Form(s): NA. assistance, under the Public Assistance Affected Public: Air Travelers. program. ADDRESSES: Interested persons are Abstract: The Transportation Security All areas within the State of California are invited to submit written comments on Administration (TSA) implemented the eligible for assistance under the Hazard the proposed information collection to ✓® Mitigation Grant Program. TSA Pre Application Program the Office of Information and Regulatory pursuant to its authority under sec. The following Catalog of Federal Domestic Affairs, OMB. Comments should be 109(a)(3) of the Aviation and Assistance Numbers (CFDA) are to be used addressed to Desk Officer, Department for reporting and drawing funds: 97.030, Transportation Security Act (ATSA), Community Disaster Loans; 97.031, Cora of Homeland Security/TSA, and sent via Public Law 107–71 (115 Stat. 597, 613, Brown Fund; 97.032, Crisis Counseling; electronic mail to dhsdeskofficer@ Nov. 19, 2001, codified at 49 U.S.C. 114 97.033, Disaster Legal Services; 97.034, omb.eop.gov. note), which authorizes TSA to establish Disaster Unemployment Assistance (DUA); FOR FURTHER INFORMATION CONTACT: registered traveler programs, as well as 97.046, Fire Management Assistance Grant; Christina A. Walsh, TSA PRA Officer, section 540 of the DHS Appropriations 97.048, Disaster Housing Assistance to Act, 2006, Public Law 109–90 (119 Stat. Individuals and Households In Presidentially Office of Information Technology (OIT), TSA–11, Transportation Security 2064, 2088–89, Oct. 18, 2005), which Declared Disaster Areas; 97.049, requires TSA to collect a fee for any Presidentially Declared Disaster Assistance— Administration, 601 South 12th Street, Disaster Housing Operations for Individuals Arlington, VA 20598–6011; telephone registered traveler program by and Households; 97.050, Presidentially (571) 227–2062; email TSAPRA@ publication of a notice in the Federal Declared Disaster Assistance to Individuals Register. tsa.dhs.gov. ® and Households—Other Needs; 97.036, The TSA Pre✓ Application Program Disaster Grants—Public Assistance SUPPLEMENTARY INFORMATION: enhances aviation security by VerDate Sep<11>2014 18:16 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00056 Fmt 4703 Sfmt 4703 E:\FR\FM\01NON1.SGM 01NON1 sradovich on DSK3GMQ082PROD with NOTICES 50664 Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Notices permitting TSA to better focus its the information on TSA’s list of known of concept, could be used for identity limited security resources on passengers travelers and to confirm TSA Pre✓® verification at airport security who are more likely to pose a threat to expedited screening eligibility. TSA will checkpoints. TSA is using the civil aviation, while also facilitating and also use the information collected, or operational throughput information improving the commercial aviation verify the KTN and KTN-holder from this proof of concept to determine travel experience for the public. information, to determine a KTN how to implement optimally the use of Travelers who choose not to enroll in holder’s eligibility for other programs, biometrics collected during enrollment this initiative are not subject to any such as potential eligibility for a (fingerprints, iris, and/or facial image) limitations on their travel because of reduced fee for another vetting program for identity verification at airport their choice; they will be processed or participation in other DHS Trusted checkpoints. TSA intends to continue to through normal TSA screening before Traveler programs. TSA also will use expand on the use of biometrics for entering the sterile areas of airports. the information submitted for identity identity verification at the time of travel. TSA also retains the authority to verification at airport security TSA is seeking a revision to the perform standard or other screening on checkpoints. currently approved request to allow for ® a random basis on TSA Pre✓® Eligibility for the TSA Pre✓ the collection of additional biometrics, Application Program participants and Application Program is within the sole particularly facial images but may any other travelers authorized to receive discretion of TSA, which provides include other biometrics such as iris, expedited physical screening. written notification to applicants denied from TSA Pre✓® Application Program ® Under the TSA Pre✓ Application eligibility, including reasons for the applicants. Currently, TSA collects Program, individuals submit biographic denial. Applicants initially deemed fingerprints from these applicants, (including, but not limited to, name, ineligible have an opportunity to correct which are used for, among other things, date of birth, gender, prior and current cases of misidentification or inaccurate criminal history records checks. The addresses, contact information, country criminal or citizenship/immigration regular collection of biometrics, such as of birth, images of identity documents, records. For example, if advised during facial images, will provide TSA with the proof of citizenship/immigration status) the application eligibility review ability to use those biometrics for and biometric (such as fingerprints, iris process that the criminal record identity verification at TSA scans, or facial images) information to discloses a disqualifying criminal checkpoints, potentially eliminating the TSA’s enrollment contractor. The offense, the applicant has 60 days from need to show identity documents and enrollment contractor transmits this the date of the denial letter to submit improving both security and the data via secure interface to TSA, which written notification of an intent to customer experience. uses the information to conduct a correct any information he or she In addition, the TSA Pre✓® security threat assessment (STA) based believes to be inaccurate. The applicant Application Program will begin on checks of law enforcement, must also provide a certified, revised accepting renewals in December 2018 citizenship/immigration, regulatory record, or the appropriate court must for individuals whose five-year violation, and intelligence databases, forward a certified true copy of the eligibility is expiring. To reduce including a criminal history records information. TSA will review any applicant burden, TSA will allow most check. TSA also uses the information information submitted and make a final existing Program applicants to complete submitted for identity verification decision. If neither notification nor a their renewal online rather than during enrollment. The results are used corrected record is received by TSA, the requiring the applicant to appear in by TSA to determine whether an agency may make a final determination person at an enrollment center. Certain individual poses a low risk to to deny eligibility. Individuals ineligible ✓® individuals (e.g., applicants who have transportation or national security for the TSA Pre Application Program changed their name, applicants with ® justifying eligibility for TSA Pre✓ . are screened at airport security low quality fingerprints, etc.) will TSA makes the final determination on checkpoints pursuant to standard receive notification during the online ✓® eligibility for the TSA Pre screening protocols. renewal process that they are required TSA invites all TSA Pre✓® applicants Application Program and notifies the to conduct in-person re-enrollment, and to complete an optional survey to gather applicant of the decision. On average, other applicants may wish to renew information on the applicants’ overall applicants receive notification from their enrollment in-person. TSA will customer satisfaction with the service TSA within two to three weeks of the continue to store biographic and submission of their completed received at the enrollment center. The optional survey is administered at the biometric data submitted during initial applications. Approved applicants are enrollment, as described above, plus issued a Known Traveler Number (KTN) end of the enrollment service. TSA will use the information to determine any new data collected when that is used for multiple purposes. individuals apply for renewal, and will Airline passengers who submit their whether any trends exist regarding customer service at a particular utilize these data to conduct a new STA. KTN when making airline reservations Average Annual Number of may be eligible for expedited screening enrollment center, for potential customer utility and potential frequency Respondents: An estimated 2,503,105 on flights originating from U.S. airports annualized respondent-enrollments over with TSA Pre✓® lanes.1 TSA uses the of KTN usage for the overall program or particular application enrollment a three-year period. traveler’s KTN and other information Estimated Annual Burden Hours: An during passenger pre-screening to verify activity, and to take steps to improve service. estimated 4,150,473 annualized hours that the individual traveling matches 2 In June and July 2017, TSA launched based on a three-year projection. This a proof of concept initiative at estimate includes the time for pre- 1 Passengers who are eligible for expedited enrollment, all aspects of enrollment screening through a dedicated TSA Pre✓® lane Hartsfield-Jackson Atlanta International typically will receive more limited physical Airport and Denver International (including a voluntary customer screening, e.g., will be able to leave on their shoes, Airport to determine whether light outerwear, and belt, to keep their laptop in its ✓® 2 TSA updated the annual estimates for the case, and to keep their 3–1–1 compliant liquids/gels fingerprints from TSA Pre respondents and burden hours since the submission bag in a carry-on. For airports with TSA Pre✓® Application Program applicants, who of the 60-day notice, which indicated respondents lanes, see https://www.tsa.gov/precheck/map. volunteered to participate in the proof of 2,497,903 and burden hours of 4,717,413. VerDate Sep<11>2014 18:16 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00057 Fmt 4703 Sfmt 4703 E:\FR\FM\01NON1.SGM 01NON1 sradovich on DSK3GMQ082PROD with NOTICES Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Notices 50665 satisfaction survey), and correction of addressed to Desk Officer, Department Ambassadors to the United States, and records if needed. of Homeland Security/TSA, and sent via other travelers requiring an escort Estimated Cost Burden: A electronic mail to dhsdeskofficer@ through the airport security screening $231,537,857 annualized cost burden omb.eop.gov. process. based on a three-year projection.3 The FOR FURTHER INFORMATION CONTACT: Abstract: Under the Aviation and TSA fee per respondent for those who Christina A. Walsh, TSA PRA Officer, Transportation Security Act (ATSA), apply for the program directly with TSA Office of Information Technology (OIT), will remain $85, which covers TSA’s TSA is responsible for security in all TSA–11, Transportation Security modes of transportation including program costs and the FBI fee for the Administration, 601 South 12th Street, criminal history records check. screening operations for passenger air Arlington, VA 20598–6011; telephone transportation and for carrying out such Dated: October 27, 2017. (571) 227–2062; email TSAPRA@ other duties relating to the Christina Walsh, tsa.dhs.gov. transportation security as it considers TSA Paperwork Reduction Act Officer, Office SUPPLEMENTARY INFORMATION: appropriate. See sec. 101(a) of ATSA of Information Technology. Comments Invited (Pub. L. 107–71, 115 Stat. 597 [FR Doc. 2017–23770 Filed 10–31–17; 8:45 am] (November 19, 2001) (codified at 49 BILLING CODE 9110–05–P In accordance with the Paperwork U.S.C. 114). The Helping Heroes Fly Act Reduction Act of 1995 (44 U.S.C. 3501 directs TSA to develop and implement et seq.), an agency may not conduct or a process to support and facilitate the DEPARTMENT OF HOMELAND sponsor, and a person is not required to SECURITY ease of travel and, to the extent possible, respond to, a collection of information provide expedited passenger screening unless it displays a valid OMB control Transportation Security Administration services for severely injured or disabled number. The ICR documentation will be members of the Armed Forces and New Agency Information Collection made available at http:// www.reginfo.gov upon its submission to severely injured or disabled veterans Activity Under OMB Review: Military through passenger screening. See sec. 2 Severely Injured Joint Support OMB. Therefore, in preparation for OMB review and approval of the of the Helping Heroes Fly Act (Pub. L. Operations Center (MSIJSOC) and 113–27, 127 Stat. 503 (Aug. 9, 2013) Travel Protocol Office (TPO) Programs following information collection, TSA is soliciting comments to— (codified at 49 U.S.C. 44927). Based on AGENCY: Transportation Security (1) Evaluate whether the proposed these requirements, TSA established the Administration, DHS. information requirement is necessary for MSIJSOC and TPO programs to support ACTION: 30-Day notice. the proper performance of the functions and facilitate the movement of wounded of the agency, including whether the warriors, severely injured military SUMMARY: This notice announces that information will have practical utility; personnel, veterans, and other travelers the Transportation Security (2) Evaluate the accuracy of the requiring an escort through the airport Administration (TSA) has forwarded the agency’s estimate of the burden; security screening process. new Information Collection Request (3) Enhance the quality, utility, and To implement the MSIJSCO and TPO (ICR) abstracted below to the Office of clarity of the information to be programs, TSA must collect the Management and Budget (OMB) for collected; and passenger’s name, flight itinerary review and approval under the (4) Minimize the burden of the Paperwork Reduction Act (PRA). The collection of information on those who (scheduled flight departure and arrival ICR describes the nature of the are to respond, including using information), and contact information to information collection and its expected appropriate automated, electronic, successfully facilitate movements burden. On July 18, 2017, TSA mechanical, or other technological through the screening process at U.S. published a Federal Register notice, collection techniques or other forms of airports and its territories. TSA shares with a 60-day comment period soliciting information technology. this information with airports on the comments, of the following collection of Consistent with the requirements of passenger’s itinerary to coordinate information. The collection involves the Executive Order (E.O.) 13771, Reducing efforts, to synchronize seamless submission of travel information to TSA Regulation and Controlling Regulatory transitions with the affected parties, and to provide wounded warriors, severely Costs, and E.O. 13777, Enforcing the protect security operations. injured military personnel, and certain Regulatory Reform Agenda, TSA is also Number of Respondents: 14,934.1 other travelers with assistance through requesting comments on the extent to the airport security screening process. which this request for information could Estimated Annual Burden Hours: An DATES: Send your comments by be modified to reduce the burden on estimated 1,245 hours annually. December 1, 2017. A comment to OMB respondents. Dated: October 27, 2017. is most effective if OMB receives it Christina A. Walsh, within 30 days of publication. Information Collection Requirement TSA Paperwork Reduction Act Officer, Office Title: Military Severely Injured Joint ADDRESSES: Interested persons are of Information Technology. invited to submit written comments on Support Operations Center (MSIJSOC) [FR Doc. 2017–23769 Filed 10–31–17; 8:45 am] the proposed information collection to and Travel Protocol Office (TPO) the Office of Information and Regulatory Programs. BILLING CODE 9110–05–P Affairs, OMB. Comments should be Type of Request: New collection. OMB Control Number: 1652–XXXX. 3 The cost burden in the 60-day Notice was Form(s): TSA Form 412, Travel incorrectly based on the hourly cost accounting for Support Request and TSA Form 417, applicants’ lost wages. The 30-day Notice corrects Screening Assistance Request. 1 this to show the cost burden based instead on the TSA updated the annual estimates for the application fee, post-enrollment biometric Affected Public: Wounded warriors, respondents and burden hours since the submission submission fee, and cost burden for corrections of severely injured military personnel, of the 60-day notice, which indicated respondents record. foreign dignitaries, accredited of 5,600 and burden hours of 467. VerDate Sep<11>2014 18:16 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00058 Fmt 4703 Sfmt 9990 E:\FR\FM\01NON1.SGM 01NON1 sradovich on DSK3GMQ082PROD with NOTICES 50666 Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Notices DEPARTMENT OF THE INTERIOR DEPARTMENT OF THE INTERIOR archaeological and historic organizations, dispersed recreation Bureau of Land Management Bureau of Land Management activities, and wild horse and burro [17X LLWO600000.L18200000.XP0000] organizations; and [LLWO200000/LXSGPL000000/17x/ Category Three—Representatives of L11100000.PH0000] 2017 Second National Call for State, county, or local elected office, Nominations for Resource Advisory employees of a State agency responsible Notice of Intent To Amend Land Use Councils and Other BLM Land for management of natural resources, Plans Regarding Greater Sage-Grouse Management Advisory Committees representatives of Indian tribes within Conservation and Prepare Associated or adjacent to the area for which the AGENCY: Bureau of Land Management, Environmental Impact Statements or council is organized, representatives of Interior. Environmental Assessments; academia who are employed in natural Correction ACTION: Notice of call for nominations. sciences, and the public-at-large. AGENCY: Bureau of Land Management, SUMMARY: The purpose of this Notice is Individuals may nominate themselves Interior. to request a second call for public or others. Nominees must be residents nominations for the Bureau of Land of the State in which the RAC has ACTION: Notice of intent; correction. Management (BLM) Resource Advisory jurisdiction. The BLM will evaluate Councils (RAC) that have members nominees based on their education, SUMMARY: This action corrects whose terms are scheduled to expire or training, experience, and knowledge of typographical errors in the FOR FURTHER have expired. RACs provide advice and the geographic area of the RAC. INFORMATION CONTACT section of a notice recommendations to the BLM on land Nominees should demonstrate a published in the Federal Register on use planning and management of the commitment to collaborative resource Wednesday, October 11, 2017. National System of Public Lands within decision-making. ADDRESSES: Comments regarding this their geographic areas. The following must accompany all Correction Notice should be sent to DATES: All nominations must be nominations: Johanna Munson by phone at (208) 373– received no later than December 1, _ —Letters of reference from represented 3834, email at BLM sagegrouse 2017. [email protected], or mail: 1387 South interests or organizations; Vinnell Way, Boise, ID 83709. ADDRESSES: Nominations and completed —A completed RAC application; and applications for RACs should be sent to —Any other information that addresses FOR FURTHER INFORMATION CONTACT: You the appropriate BLM offices listed in the the nominee’s qualifications. may submit comments or get further SUPPLEMENTARY INFORMATION section of information by visiting http://bit.ly/ this notice. Simultaneous with this Notice, BLM State Offices will issue press releases GRSGplanning. For contact information FOR FURTHER INFORMATION CONTACT: providing additional information for or a list of local BLM contacts, please Twinkle Thompson, BLM FOR FURTHER INFORMATION submitting nominations, with specifics see the Communications, 1849 C Street NW., CONTACT SUPPLEMENTARY about the number and categories of , or Room 5645, Washington, DC 20240, INFORMATION member positions available for each sections in the original 202–208–7301. notice. RAC in the State. SUPPLEMENTARY INFORMATION: The Correction Federal Land Policy and Management Before including any address, phone Act (FLPMA) directs the Secretary of the number, email address, or other In the Federal Register of October 11, Interior to involve the public in personal identifying information in the 2017 (82 FR 47248) in FR Doc. 2017– planning and issues related to application, nominees should be aware 21958 correct the following: management of lands administered by this information may be made publicly On page 47248, column 3, which the BLM. Section 309 of FLPMA (43 available at any time. While the reads ‘‘State Office at (208) 373–7834’’ U.S.C. 1739) directs the Secretary to nominee can ask to withhold the is hereby corrected to read, ‘‘State Office establish 10- to 15-member citizen- personal identifying information from at (208) 373–3834’’. based advisory councils that are public review, BLM cannot guarantee On page 47248, column 3, which consistent with the Federal Advisory that it will be able to do so. reads ‘‘83708’’ is hereby corrected to Committee Act (FACA). As required by Nominations and completed read ‘‘83709’’. FACA, RAC membership must be applications for RACs should be sent to Before including your address, phone balanced and representative of the the appropriate BLM offices listed number, email address, or other various interests concerned with the below: personal identifying information in your management of the public lands. The Alaska comments, please be aware that your rules governing RACs are found at 43 entire comment, including your CFR subpart 1784 and include the Alaska RAC personal identifying information, may following three membership categories: Lesli Ellis-Wouters, BLM Alaska State be made publicly available at any time. Category One—Holders of Federal Office, 222 West 7th Avenue, #13, While you can ask us in your comment grazing permits and representatives of Anchorage, AK 99513, 907–271–4418. to withhold your personal identifying organizations associated with energy information from public review, we and mineral development, the timber California cannot guarantee that we will be able to industry, transportation or rights-of- California Desert District Advisory do so. way, developed outdoor recreation, off- Council highway vehicle use, and commercial John F. Ruhs, recreation; Steve Razo, BLM California Desert Acting BLM Deputy Director, Operations. Category Two—Representatives of District, 22835 Calle San Juan De Los [FR Doc. 2017–23804 Filed 10–31–17; 8:45 am] nationally or regionally recognized Lagos, Moreno Valley, CA 92553, 951– BILLING CODE 4310–84–P environmental organizations, 697–5217. VerDate Sep<11>2014 18:16 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00059 Fmt 4703 Sfmt 4703 E:\FR\FM\01NON1.SGM 01NON1 sradovich on DSK3GMQ082PROD with NOTICES Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Notices 50667 Northern California RAC Utah request transfer of control of these human remains and associated funerary Jeff Fontana, BLM Northern California Utah RAC objects should submit a written request District, 2550 Riverside Drive, Lola Bird, BLM Utah State Office, 440 Susanville, CA 96130, 530–252–5332. with information in support of the West 200 South, Suite 500, Salt Lake request to the Sam Noble Oklahoma Carrizo Plain National Monument City, UT 84101, 801–539–4033. Museum of Natural History at the Advisory Committee Grand Staircase-Escalante National address in this notice by December 1, Serena Baker, BLM Central California Monument Advisory Committee 2017. District Office, 5152 Hillsdale Circle, El Larry Crutchfield, BLM Grand ADDRESSES: Dr. Marc Levine, Assistant Dorado Hills, CA 95762, 916–941–3146. Staircase-Escalante National Monument Curator of Archaeology, Sam Noble Idaho Office, 669 South Highway 89 A, Kanab, Oklahoma Museum of Natural History, UT 84741, 435–644–1209. University of Oklahoma, 2401 Boise District RAC Chautauqua Avenue, Norman, OK Wyoming Michael Williamson, BLM Boise 73072–7029, telephone (405) 325–1994, District Office, 3948 South Development Wyoming RAC email [email protected]. Avenue, Boise, ID 83705, 208–384– Kristen Lenhardt, BLM Wyoming SUPPLEMENTARY INFORMATION: Notice is 3393. State Office, 5353 Yellowstone Road, here given in accordance with the Native American Graves Protection and Montana and Dakotas P.O. Box 1828, Cheyenne, WY 82003, 307–775–6015. Repatriation Act (NAGPRA), 25 U.S.C. Central Montana RAC 3003, of the completion of an inventory Authority: 43 CFR 1784.4–1. of human remains and associated Jonathan Moor, BLM Lewistown Field funerary objects under the control of the Office, 920 Northeast Main Street, John F. Ruhs, Sam Noble Oklahoma Museum of Lewistown, MT 59457, 406–538–1943. Acting Deputy Director. Natural History, Norman, OK. The [FR Doc. 2017–23802 Filed 10–31–17; 8:45 am] Dakotas RAC human remains and associated funerary BILLING CODE 4310–84–P Mark Jacobsen, BLM Eastern objects were removed from the Montana/Dakotas District, 111 following counties in the State of Garryowen Road, Miles City, MT 59301, DEPARTMENT OF THE INTERIOR Oklahoma: Beckham, Caddo, Canadian, 406–233–2800. Cotton, Custer, Garfield, Garvin, Grady, National Park Service Kiowa, Lincoln, McClain, Oklahoma, Eastern Montana RAC Pottawatomie, Roger Mills, and Washita. [NPS–WASO–NAGPRA–NPS0024128: This notice is published as part of the Mark Jacobsen, BLM Eastern PPWOCRADN0–PCU00RP14.R50000] Montana/Dakotas District, 111 National Park Service’s administrative Garryowen Road, Miles City, MT 59301, Notice of Inventory Completion: Sam responsibilities under NAGPRA, 25 406–233–2800. Noble Oklahoma Museum of Natural U.S.C. 3003(d)(3) and 43 CFR 10.11(d). History, Norman, OK The determinations in this notice are Western Montana RAC the sole responsibility of the museum, AGENCY: David Abrams, BLM Butte Field National Park Service, Interior. institution, or Federal agency that has Office, 106 North Parkmont, Butte, MT ACTION: Notice. control of the Native American human 59701, 406–533–7617. remains and associated funerary objects. SUMMARY: The Sam Noble Oklahoma The National Park Service is not New Mexico Museum of Natural History (Museum) at responsible for the determinations in the University of Oklahoma has this notice. Pecos District RAC completed an inventory of human Glen Garnand, BLM Pecos District remains and associated funerary objects, Consultation Office, 2909 West Second Street, in consultation with the appropriate A detailed assessment of the human Roswell, NM 88201, 575–627–0209. Indian Tribes or Native Hawaiian remains was made by the Sam Noble organizations, and has determined that Oregon/Washington Oklahoma Museum of Natural History there is a cultural affiliation between the professional staff in consultation with John Day-Snake RAC human remains and associated funerary representatives of the Wichita and Lisa Clark, BLM Prineville District objects and present-day Indian Tribes or Affiliated Tribes (Wichita, Keechi, Waco Office, 3050 NE 3rd Street, Prineville, Native Hawaiian organizations. Lineal & Tawakonie), Oklahoma. OR 97754, 541–416–6864. descendants or representatives of any Indian Tribe or Native Hawaiian History and Description of the Remains Southeast Oregon RAC organization not identified in this notice In 1978 and 1981, human remains Larisa Bogardus, BLM Lakeview that wish to request transfer of control representing, at minimum, 5 individuals District Office, 1301 South G Street, of these human remains and associated were removed from the Devils Canyon Lakeview, OR 97630, 541–947–6237. funerary objects should submit a written site (34Ki0001) in Kiowa County, OK. request to the Museum. If no additional The site was first surveyed and recorded Southwest Oregon RAC requestors come forward, transfer of by David J. Werner of the University of Christina Breslin, BLM Medford control of the human remains and Oklahoma in 1947, and later resurveyed District Office, 3040 Biddle Road, associated funerary objects to the lineal in 1978 by Richard Drass of the Medford, OR 97504, 541–618–2371. descendants, Indian Tribes, or Native Oklahoma Archeological Survey. Hawaiian organizations stated in this Additional materials from the site were Steens Mountain Advisory Council notice may proceed. donated to the Museum by landowner Tara Thissell, BLM Burns District DATES: Representatives of any Indian Bernice Winters in 1978 and 1981. Office, 28910 Highway 20 West, Hine, Tribe or Native Hawaiian organization Individuals 1 and 2 are commingled OR 97738, 541–573–4519. not identified in this notice that wish to fragmentary remains of adults of VerDate Sep<11>2014 18:16 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00060 Fmt 4703 Sfmt 4703 E:\FR\FM\01NON1.SGM 01NON1 sradovich on DSK3GMQ082PROD with NOTICES 50668 Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Notices indeterminate sex. An infant 6 years old. No known individuals were canyon wall in Red Rock Canyon State approximately 1 year old is represented identified. The 4 associated funerary Park. The site had been disturbed by by a single deciduous molar and is objects from Burial 3 are deer teeth. park personnel who had been removing designated as Individual 3. Individuals In 1978, human remains representing, dirt from the area. Collections were then 4 and 5 are partial and complete crania, at minimum, 1 individual were removed made by the Oklahoma Archeological respectively, and are likely adult male. from the Hubbard 2 site (34Bk0005) in Survey in 1982, while further No known individuals were identified. Beckham County, OK. The burial and investigating construction damage in the The associated funerary objects from the associated funerary objects from this site park. Materials recovered were site are collectively associated with were excavated by amateur subsequently donated to the Museum in Individuals 1, 2, and 3 and include 23 archeologists, reburied, later salvaged in October of 1982. The human remains faunal bone fragments, 2 of which are 1978, and then transferred to the are a fragmentary skeleton of an adult burned. The Devils Canyon site is a Museum in 1979. The human remains male. No known individual was historic period Wichita settlement. The consist of a complete skeleton of a identified. The 14 associated funerary determination is based on U.S. young adult female, 20–35 years old. No objects include 9 faunal bone fragments, Government records which note that the known individual was identified. The three of which are burned, 1 small U.S. Army visited the site in 1834. 41 associated funerary objects include 4 sample of charcoal, 1 pottery sherd, 2 In 1968, human remains representing, hammerstones, 1 ground stone fragment, chipped stone flakes, and 1 small at minimum, 2 individuals were 1 flint core, 1 quartzite core, 1 chipped fragment of dried organic matter. removed from the Edwards/Carter site stone axe, 28 chipped stone flakes, and In 1974 and 1975, human remains (34Bk0002) in Beckham County, OK. 5 faunal bone fragments. representing, at minimum, 2 individuals This site was recorded for the Oklahoma In 1959, human remains representing, were removed from the Takoah site Archeological Survey by Rex Wilson at minimum, 2 individuals were (34Cd0244) in Caddo County, OK. The and Charles Robertson in October of removed from the Fowler site site was first surveyed and recorded in 1955, and again in August of 1965. Most (34Bk0006) in Beckham County, OK. 1974 by Charles Wallis of the Oklahoma of the excavations were conducted by This site was exposed by erosion Conservation Commission for the the University of Oklahoma Field associated with an artificial pond on Oklahoma Archeological Survey and School in 1968 and the associated private land. The Oklahoma was excavated in 1975. Recovered collections were subsequently turned Archeological Survey Data Record materials were accessioned by the over to the Museum. The human indicates that, prior to 1959, the owner Museum in 1975 and 1988. Two burials remains consist of commingled cranial excavated, reburied, and re-excavated were excavated at the site. Burial 1 is a and long bone fragments and one molar one of the three burials at the site. partial skeleton of a young adult female, tooth. The two individuals represented According to the Burial Data Records, 20–35 years old. Burial 2 is a partial are adults, one probable male and one Burial 2 was excavated by the State skeleton of an adult male, 25–45 years of indeterminate sex. No known Crime Bureau and later turned over to old. No known individuals were individuals were identified. No the Museum. Burials 1 and 3 were either identified. A total of 172 associated associated funerary objects are present. reburied or may still be in the funerary objects were-removed from site The Edwards/Carter site is associated possession of the land owner. Only 34Cd0244. Burial 1 is associated with 76 with the Edwards Complex, dating from Burial 2 was found to be in the faunal bones or bone fragments, 13 approximately A.D. 1500–1650 and possession of the Museum. Burial 2 chipped stone cobble fragments, 24 including the initial Spanish contact consists of two individuals. Individual 1 chipped stone flakes, 1 chipped stone period. Based on continuity of the is a partial skeleton of a young adult projectile point fragment, 1 ground cultural material, these remains may be male, 25–30 years old. Individual 2 is an stone mano, 1 ground stone fragment, 2 related to the western group of the adult represented by three teeth and one unmodified rocks, 1 piece of clay, 2 Wichita. Oral history, as well as post- cranial fragment. No known individuals wood fragments, 2 shells, 17 shell contact European records, supports the were identified. No associated funerary fragments, and 1 soil sample from the presence of the Wichita in the area at objects are present. burial. Burial 2 is associated with 18 this time. In 1973, human remains representing, faunal bone fragments, 4 chipped stone In 1955, human remains representing, at minimum, 1 individual were removed cobble fragments, 1 unmodified cobble, at minimum, 5 individuals were from the I–40 Burial site (34Bk0049) in 6 chipped stone flakes, 1 shell fragment, removed from the Sandstone Creek 1 Beckham County, OK. The burial was and 1 soil sample taken from within the site (34Bk0001) in Beckham County, salvaged on June 23, 1973, by the skull of the individual in Burial 2. OK. The site was recorded by the Oklahoma Highway Archeological In 1988, human remains representing, University of Oklahoma by Cain in 1955 Survey prior to highway construction on at minimum, 1 individual were removed and surveyed by Fenton Wheeler. Interstate-40 near Sayre, OK (ODOT- from the Majors 3 site (34Cd0299) in Materials from the site, including state property). Materials from the site Caddo County, OK. The remains were Burials 1 and 3, were transferred to the were turned over to the Museum in June excavated by Jack Hofman on private Museum at an unknown date. Remains of 1973. The burial consists of highly land and accessioned by the Museum in from Burial 2 are not present at the fragmentary skeletal remains of an 1988. The human remains removed Museum. Burial 1 contains, at adult, at least 35 years old, of from the site consist of a partial skeleton minimum, two individuals. Burial 1A is indeterminate sex. No known individual of a young adult male, 20–35 years old. a partial skeleton of a young adult male, was identified. The 10 associated No known individual was identified. No 20–35 years old, and Burial 1B is a funerary objects include 1 deer ulna associated funerary objects are present. vertebral column of an adult of fragment, 8 faunal bone awl fragments, On August 27, 1976, human remains indeterminate sex. Burial 3 contains at and 1 chipped stone core. representing, at minimum, 1 individual least three individuals. Burial 3A is a In September of 1982, human remains were removed from an unnamed site fragmentary skeleton of an adult male, representing, at minimum, 1 individual (34Cn0036) in Canadian County, OK. Burial 3B is a fragmentary skeleton of a were removed from the Red Rock This site was discovered on November probable male adult, and Burial 3C Canyon 1 site (34Cd0138) in Caddo 17, 1975, during a survey of land consists of cranial remains of a child, 4– County, OK. The site is located along a proposed for the construction of a rest VerDate Sep<11>2014 18:16 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00061 Fmt 4703 Sfmt 4703 E:\FR\FM\01NON1.SGM 01NON1 sradovich on DSK3GMQ082PROD with NOTICES Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Notices 50669 area along Interstate-40. The material objects include 7 shell fragments, 1 1958 by the Oklahoma Anthropological and remains from this site were turned pottery sherd, 1 chipped stone flake, Society under the direction of Sherman over to the Museum in 1981. The and 1 charcoal sample. Lawton and Robert Bell and material human remains consist of 10 small bone On September 22, 1978, human from the site was subsequently donated fragments of an adult of indeterminate remains representing, at minimum, 3 to the Museum the same year. In 1964, sex. No known individual was individuals were removed from the bulldozing operations at an oil well identified. No associated funerary Carley site (34Cu0082) in Custer exposed additional material at the site objects are present. County, OK. A private collector reported and was excavated by the Oklahoma On November 10, 1987, human the site to the Oklahoma Archeological Archeological Survey. Three burials remains representing, at minimum, 3 Survey and it was recorded by Survey were discovered but are not in the individuals were removed from the staff on September 22, 1978. The possession of the Museum. It is unclear Sanders site (34Ct0011) in Cotton collector gave materials from the site to if they were excavated or left in the County, OK. The human remains and the Survey who then transferred them to ground. The human remains from the associated artifacts from the Sanders the Museum in 1980. The remains are site in the possession of the Museum Site were recovered by Robert Brooks of commingled and fragmentary, consist of a long bone fragment and a the Oklahoma Archeological Survey on representing at least 2 adult females and heavily worn tooth of an adult of November 10, 1987, after the site had 1 adult male. No known individuals indeterminate sex. No known individual been vandalized by unauthorized were identified. No associated funerary was identified. The 88 associated digging on private land, and objects are present. funerary objects include 3 chipped subsequently donated to the Museum in In June of 1965, human remains stone scrapers, 2 modified flint 1988. Two burials were excavated at the representing, at minimum, 2 individuals fragments, 10 chipped stone flakes, 1 site. Burial 1 contains a partial skeleton were removed from the Kingery site lithic abrader fragment, 1 ground stone of an adult female, 18–25 years old. (34Gf0000) in Garfield County, OK. The mano fragment, 3 unmodified sandstone Burial 2 contains a fragmentary skeleton site was excavated by the Oklahoma fragments, 3 unmodified large stones, 15 of a child, 5–6 years old, and 3 long River Basin Survey, with field work faunal bone fragments, 7 shell bone fragments of an infant, both of directed by Barr and assisted by fragments, and 43 pottery sherds. indeterminate sex. No known Slovacek, Brown, and Harwood from the In June of 1970, human remains individuals were identified. The 143 Ponca City, OK, Chapter of the representing, at minimum, 1 individual associated funerary objects are Anthropological Society. The human were removed from the Baker 1 site associated with both burials and include remains were transferred to the Museum (34Rm0074) in Roger Mills County, OK. 49 chipped stone fragments, 26 ground in 1966. The human remains from the Material from the site was recovered stone fragments, 9 pottery sherds, 5 site are fragmentary and commingled during a surface survey after the site shell fragments, and 54 faunal bone and represent one young adult female, was disturbed by the construction of a fragments. 20–35 years old and one middle-aged dam. The collection was recorded by In 1971, human remains representing, adult male, 35–50 years old. No known Don Wyckoff of the Oklahoma at minimum, 2 individuals were individuals were identified. No Archeological Survey and subsequently removed from the Henry site (34Ct0017) associated funerary objects are present. turned over to the Museum the same in Cotton County, OK. The site was In April of 1958, human remains year. The human remains consist of a exposed on private land, recovered in representing, at minimum, 3 individuals single tooth of an adult of indeterminate 1971 by the Oklahoma Anthropological were removed from an unnamed site sex. No known individual was Society, supervised by Hofman, and (34Ml0000) in McClain County, OK. A identified. The 24 associated funerary subsequently donated to the Museum in pottery vessel was found in a grave objects include 22 flakes, 1 flint core, the same year. Two burials were exposed by erosion on the L.E. and 1 quartzite core. excavated. Burial 1 is a complete Howorton Farm near Rosedale, OK, by Sites 34Bk0001, 34Bk0005, 34Bk0006, skeleton of a middle-aged adult female, Bill Eddleman and donated to the 34Bk0049, 34Cd0138, 34Cd0244, 35–50 years old. Burial 2 is a complete Museum by William Villines on May 8, 34Cd0299, 34Cn0036, 34Ct0011, skeleton of an older adult female, over 1958. Additional skeletal material was 34Ct0017, 34Ct0021, 34Cu0082, 50 years old. No known individuals discovered in the Museum collections 34Gf0000, 34Ml0000, 34Ml0005, and were identified. A total of 5 associated in 1995, also from an unknown location 34Rm0074 are Plains Village Period in funerary objects were removed from site near Rosedale. The skeletal remains and age, dating from approximately A.D. 34Ct0017. Burial 1 is associated with 1 pottery vessel may have originated from 900–1500. The Carley site (34Cu0082) chipped stone knife, 1 flake, and 1 shell the same burial. Individuals 1 and 2 are may have also been occupied into the pendant. Burial 2 is associated with 2 commingled remains of an adult female period of initial Spanish contact. These chipped stone flakes. and an adult of indeterminate sex. determinations are based on In 1985, human remains representing, Individual 3 is represented by a single archeological context and diagnostic at minimum, 1 individual were removed long bone fragment of an infant, less cultural materials (e.g., chipped and from the Austin site (34Ct0021) in than 3 years old. No known individuals ground stone, ceramics, and/or bone Cotton County, OK. A burial was were identified. The 9 associated tools). Ethnohistoric, ethnographic, and exposed by a road grader and reported funerary objects are associated with all oral historical evidence support the to the Oklahoma Archeological Survey 3 individuals from the site and include cultural continuity of Plains Village by private citizens. The skeletal remains 1 partially restored pottery vessel, 1 Period populations in these areas with and associated funerary objects were chipped stone flake, 1 faunal bone, and the Wichita and Affiliated Tribes. excavated by Robert Brooks in 1985, and 6 pottery sherds. In 1957, human remains representing, donated to the Museum on July 29, In December of 1958, human remains at minimum, 3 individuals were 1985. The human remains consist of a representing, at minimum, 1 individual removed from the Hubbard site very fragmentary skeleton representing a were removed from the Willingham site (34Bk0004) in Beckham County, OK. young adult, 20–25 years old, probably (34Ml0005) in McClain County, OK. The The site was discovered on private male. No known individual was site was first recorded by W.H. Villines property after the spring floods of 1957. identified. The 10 associated funerary in 1953. Excavations were conducted in The landowner contacted the Sheriff’s VerDate Sep<11>2014 18:16 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00062 Fmt 4703 Sfmt 4703 E:\FR\FM\01NON1.SGM 01NON1 sradovich on DSK3GMQ082PROD with NOTICES 50670 Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Notices office and the remains were sent to the shell fragments, 1 ground stone mano the burial itself. Burial 2 is associated State Crime Bureau in Oklahoma City, fragment, 1 stone elbow pipe, and 6 with 38 seeds, 6 faunal bone fragments, OK, who forwarded them to Alice Brues faunal bone fragments. Burial 2 is 1 ground stone fragment, 1 shell scraper, of the University of Oklahoma Medical associated with 1 ceramic pot without 1 shell fragment, and 2 bags of burial Center. Brues identified the remains as handles, 1 ceramic pot with handles, 31 soil and burned material. Native American and further excavation shell beads, 1 chipped stone projectile In 1969, human remains representing, was carried out by the Highway Salvage point, and 1 flint knife. at minimum, 1 individual were removed Archaeology Program. The remains were In 1957, human remains representing, from the Arrington site (34Cu0042) in subsequently donated to the Museum in at minimum, 3 individuals were Custer County, OK. The site was 1957. Burial 1 contains two individuals, removed from the Heerwald (Jordan) reported to the Oklahoma Archeological including the partial skeleton of a site (34Cu0027) in Custer County, OK. Survey in 1969 by a private landowner probable female adolescent, 10–14 years This site is on private land on a ridge who had discovered a burial while old, and a portion of the face of an adult south of Turkey Creek, a tributary of the plowing. Material from the site was of indeterminate sex. Burial 2 contains Washita River. Material was recovered subsequently donated to the Museum a child, 6–8 years old, of indeterminate by James Schaeffer of the Highway the same year. The human remains are sex. No known individuals were Salvage Archaeology program in 1957, a partial skeleton of a middle-aged adult identified. No associated funerary when I–40 was constructed south of old female, 35–50 years old. No known objects are present. US 66, and was subsequently donated to individual was identified. The 10 In 1987, human remains representing, the Museum. The burial contains 3 associated funerary objects include 1 at minimum, 2 individuals were individuals. Individual 1 is a partial unburned faunal bone fragment, 4 removed from the Coy Nuttley site skeleton of a young adult female, 20–25 burned faunal bone fragments, 2 shell (34Bk0023) in Beckham County, OK. years old, Individual 2 is a partial fragments, and 3 chipped stone flakes. Material from the Coy Nuttley Site, an skeleton of a child, 6–7 years old, and In 1957, human remains representing, open habitation site on private land near Individual 3 is a partial skeleton of a at minimum, 5 individuals were Elk City, OK, was given to the fetus. No known individuals were removed from the Selzer site Oklahoma Archeological Survey by an identified. The 45 associated funerary (34Gd0016) in Grady County, OK. The amateur collector and subsequently objects include 1 pottery sherd, 3 shells, site was exposed by flooding in 1957 on donated to the Museum in June of 1987. 2 unmodified shell fragments, 1 a terrace above the Washita River on The human remains consist of a cranial modified shell, 6 unmodified sandstone privately held land. Three burials were fragment and two loose teeth of an adult fragments, 1 ground stone mano, 1 excavated and later donated to the of indeterminate sex and three loose projectile point fragment, 1 Washita Museum. Burial 1 is a young adult teeth of a child, 9–12 years old. No type projectile point, 1 Harrell type female, 18–22 years old, Burial 2 is an known individuals were identified. The projectile point (embedded in the first adult male, and Burial 3 is an adult of 11 associated funerary objects, linked to lumbar vertebra of Individual 1), 3 indeterminate sex. There are two both individuals, are fragments of deer chipped stone flakes, 1 chipped stone additional individuals that are bone. end scraper, 2 chipped stone fragments, fragmentary and commingled. In 1984, human remains representing, 1 chipped stone cobble, 20 faunal bone Individual 4 is a probable young adult at minimum, 1 individual were removed fragments, and 1 charcoal sample. female, 20–35 years old. Individual 5 is from an unnamed site (34Bk0094) in In March and April of 1969, human an adolescent, 15–18 years old, of Beckham County, OK. The human remains representing, at minimum, 3 indeterminate sex. No known remains were found by a private land individuals were removed from the individuals were identified. A total of owner and turned over to Larry Neal Cotter-Hutson site (34Cu0041) in Custer 29 associated funerary objects were and Alan Wormser of the Oklahoma County, OK. The human remains and removed from site 34Gd0016. Burial 3 is Archeological Survey in 1984 and later associated objects from Burial 1 of the associated with 18 pottery sherds and 2 donated to the Museum in 1988. The Cotter-Hutson site were discovered by a shell fragments. Individuals 4 and 5 are human remains from this site consist of private land owner while plowing and associated with 1 chipped stone flake, 1 a partial cranium of a young adult, 20– then recovered by members of the ground stone mano, and 7 shell 35 years old, probably male. No known Oklahoma Archeological Survey and the fragments. individual was identified. No associated Oklahoma Anthropological Society in In 1963, human remains representing, funerary objects are present. March of 1969. Burial 2 was recovered at minimum, 1 individual were removed In 1951, human remains representing, in April of 1969. Both burials and from the WRP 9 site (34Gd0024) in at minimum, 1 individual were removed associated funerary objects were Grady County, OK. The site was from the Goodman 1 site (34Cu0001) in donated to the Museum in 1981. Burial originally reported in 1963 by Dick Custer County, OK. The site was 1 is a fragmentary skeleton of a child, McWilliams who discovered the burial originally discovered by the landowner 6–7 years old. Burial 2 is a partial eroding out of a road cut. The burial was when a large piece of daub was skeleton of a child, 4–5 years old. A salvaged by the Museum later that year. discovered during plowing in 1941. In third individual is an adult male The burial is a complete skeleton of a 1951, the tenant reported that, while represented by a mandible found on the young adult male, 20–35 years old. No digging a cellar, he uncovered two surface. No known individuals were known individual was identified. No burials which were subsequently identified. A total of 119 associated associated funerary objects are present. donated to the Museum the same year. funerary objects were recovered from On September 13, 1977, human Burial 1 is a complete skeleton of a site 34Cu0041. Burial 1 is associated remains representing, at minimum, 6 young adult male, 20–35 years old. A with 5 deer bone and tooth fragments, individuals were removed from the second burial was recorded from the site 8 shell fragments, 3 pottery sherds, 8 Horne 1 site (34Gd0078) in Grady but is not in the possession of the ground stone fragments, 3 ground stone County, OK. The site was uncovered Museum. No known individual was fragments, 2 pebbles, 6 flakes, 15 seeds, when an Oklahoma Natural Gas identified. A total of 46 associated 1 faunal bone fragment, 17 chipped pipeline went through the area in 1977. funerary objects were removed from site stone flakes from the surface directly The site was officially recorded by the 34Cu0001. Burial 1 is associated with 3 above the burial, and 2 bags of soil from Oklahoma Archeological Survey on VerDate Sep<11>2014 18:16 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00063 Fmt 4703 Sfmt 4703 E:\FR\FM\01NON1.SGM 01NON1 sradovich on DSK3GMQ082PROD with NOTICES Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Notices 50671 September 13, 1977, and material from contains two individuals, a cranium of sherd, 1 faunal bone fragment, and 1 the site was donated to the Museum in an adult male and loose teeth of a child, shell scraper. Individual 5 is associated 1981 and 1985. The skeletal remains of 3–6 years old. Burial 2 contains small with 1 unmodified rock. Individual 7 is three of the individuals include an adult bone fragments of an adult of associated with 18 faunal bone male, 30–40 years old, an infant, 1–1.5 indeterminate sex. No known fragments, 1 bison scapula hoe, and 1 years old, and a child, 6–9 years old. individuals were identified. The 105 bone awl. Three other individuals are commingled associated funerary objects from Burial In 1952, human remains representing, and all are adults of indeterminate sex. 2 include 35 faunal bone fragments, 19 at minimum, 2 individuals were The commingled remains may contain chipped stone fragments, 2 chipped removed from the Lacey Farm 1 site fragmentary skeletal material belonging stone knives, 3 chipped stone points, 4 (34Gv0005) in Garvin County, OK. The to the three previously mentioned chipped stone scrapers, and 42 pottery site is on a high ridge north of the individuals. No known individuals were sherds. Washita River. It was recorded by identified. The 138 associated funerary In 1937, human remains representing, Charles Bareis in 1955, however, prior objects include 2 chipped stone cobbles, at minimum, 18 individuals were to that time many private collectors had 3 chipped stone cobble fragments, 3 removed from the Grant Site (34Gv0002) visited the site. The site was resurveyed unmodified lithic fragments, 2 pottery in Garvin County, OK. Located on a in 1993, by Richard Drass and material sherds, 3 shell fragments, 123 faunal terrace above the Washita River near from the site was subsequently turned bone fragments, 1 faunal tooth, and 1 Wynnewood, OK, the site was excavated over to the Museum. Individual 1 is a partial cranium of an adult male. bison tibia digging tool. by the Works Progress Administration In June of 1992, human remains Individual 2 is a fragmentary cranium of in 1937, under the direction of Forrest representing, at minimum, 4 individuals an adult of indeterminate sex. No E. Clements of the University of were removed from the Jewett site known individuals were identified. A Oklahoma. Material from the site was (34Gd0081) in Grady County, OK. This total of 38 associated funerary objects taken to the University of Oklahoma for site is located on privately held land were removed from site 34Gv0005. storage and the human remains and and was initially recorded by the staff Individual 1 is associated with 5 pottery associated funerary objects were of the Oklahoma Archeological Survey sherds and 2 modified faunal bone accessioned by the Museum in 1937 and on November 4, 1977. Salvage was fragments. Individual 2 is associated 1948. Individual 1 is a partial skeleton conducted by Robert Brooks, prompted with 1 two-handed ground stone mano, of a middle-aged adult female, 35–50 by the discovery of a burial during 1 faunal bone awl, 2 faunal skull and construction of an oil field in 1992. years old. Individual 2 is a partial horn hoes, 7 faunal bone hoe fragments, Remains were removed under the state skeleton of a middle-aged adult male, 2 modified faunal bone fragments, 9 burial law and transferred to the 35–50 years old. Individual 3 is a partial unmodified faunal bone fragments, 2 Museum the same year. Burial 1 is a skeleton of an infant, 1–2 years old. deer bone fragments, 1 deer tooth, and fragmentary skeleton of an adult of Individual 4 is a fragmentary skeleton of 6 pottery sherds. indeterminate sex. Burial 2 is a an infant, 1–3 years old. Individual 5 is In 1982, human remains representing, fragmentary skeleton of a probable a fragmentary skeleton of an infant, 6 at minimum, 1 individual were removed young adult female, 20–35 years old. months to 1 year old. Individual 6 is a from the Arthur site (34Gv0032) in Burials 3 and 4 are both fragmentary fragmentary skeleton of a newborn Garvin County, OK. The remains were skeletons of adults of indeterminate sex. infant. Individual 7 is a complete recovered in 1982, during excavations No known individuals were identified. skeleton of a middle-aged adult female, under a house by Robert Brooks and No associated funerary objects are 35–50 years old. Individual 8 is a partial were accessioned by the Museum in present. skull of a young adult male, 20–35 years 1987. The remains consist of a In November 1987, human remains old. Individual 9 is a fragmentary fragmentary skeleton of an infant representing, at minimum, 1 individual skeleton of a middle-aged adult female, approximately 1 year old. No known were removed from an unnamed site 35–50 years old. Individual 10 is a individual was identified. The 532 (34Gv0000) in Garvin County, OK. fragmentary skeleton of an adult of associated funerary objects include 135 Human remains from the site were indeterminate sex. Individuals 11 and shell fragments, 149 pottery sherds, 20 initially collected by Jesse Taylor from 12 are represented by fragmentary and clay fragments, 15 sandstone fragments, a creek bottom near Elmer City, OK, and commingled post-cranial remains. Both 1 hammer stone, 170 chipped stone then transferred to the State of these individuals are adults, one flakes, 1 chipped stone projectile point, Archaeologist by the Oklahoma Medical female, and the other of indeterminate 1 chipped stone biface fragment, 29 Examiner’s Office. The material was sex. Individuals 13, 14, and 15 are faunal bone fragments, 10 burned faunal later received by the Museum from the represented by fragmentary and bone fragments, and 1 charcoal sample. Oklahoma Archeological Survey in May commingled remains of at least two Between 1982 and 1985, human of 1988. The human remains consist of adults of indeterminate sex and one remains representing, at minimum, 8 a single complete cranium of a young child. Individual 16 is a fragmentary individuals were removed from the adult male, 20–35 years old. No known skeleton of a middle-aged to older adult Thelma Wilson site (34Gv0043) in individual was identified. No associated female, 40–55 years old. Individuals 17 Garvin County, OK. This site, funerary objects are present. and 18 are represented by fragmentary overlooking the Washita River east of In the summer of 1937, human and commingled post-cranial remains of Pauls Valley, was initially surveyed and remains representing, at minimum, 3 at least two adults of indeterminate sex. recorded by Don Wyckoff of the individuals were removed from the No known individuals were identified. Oklahoma Archeological Survey in Braiden site (34Gv0001) in Garvin A total of 32 associated funerary objects 1970. In 1982, Jim Mayberry contacted County, OK. This site was excavated by were removed from site 34Gv0002. the survey to report material eroding the Works Progress Administration on Individual 1 is associated with 1 pottery from a cut bank on the site. In early private land in 1937, and formally sherd. Individual 2 is associated with 1 1983, Richard Drass and Robert Brooks recorded by Charles Bareis in February complete ceramic bowl. Individual 3 is assisted Jim Mayberry in salvaging the of 1955. The material was subsequently associated with 6 faunal bone fragments. material. The burials and associated donated to the Museum. Burial 1 Individual 4 is associated with 1 pottery objects were turned over to the Museum VerDate Sep<11>2014 18:16 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00064 Fmt 4703 Sfmt 4703 E:\FR\FM\01NON1.SGM 01NON1 sradovich on DSK3GMQ082PROD with NOTICES 50672 Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Notices in 1985. Burial 1 is a fragmentary skull discovered by Denny Carley of adolescent, 18–20 years old, probably a of a child, 3–5 years old. Burial 2 Southwestern Oklahoma State male. Burial 14 is a middle-aged adult contains a fragmentary skeleton of an University in 1974. Carley notified the male, 35–45 years old. Burial 15 is a adult male and a fragmentary skeleton Oklahoma Archeological Survey and on middle-aged adult female, 35–50 years of a young adult, 20–35 years old, of September 7, 1974, Roger Saunders, Jack old. Burial 16 is an infant, 0.5–1 year indeterminate sex. Burial 3 is a Hoffman, and Daryl Wheaton of the old. Burial 17 is an infant, 0.5–1.5 years fragmentary cranium of an adolescent, Survey excavated the site. The material old. Burial 18 are two infants, 0–0.5 year 12–15 years old. Burial 4 is a single was transferred to the Museum in 1981. old. Burial 19 is an infant, 0–0.5 year molar tooth and small bone fragments of Three burials were excavated. Burial 1 old. Burial 20 is a middle-aged adult a middle-aged adult, 35–50 years old, of is a complete skeleton of a child, 4–6 female, 35–45 years old. Burial 21 is an indeterminate sex. Burial 5 is a single years old. Burial 2 is a partial skeleton infant, 0–0.5 year old. Burial 22 has 2 molar tooth and cranial fragments of a of a young adult male, 20–35 years old. individuals, a young adult male, 30–35 child, 10–12 years old. Two additional Burial 3 is a partial skeleton of an adult years old and an infant, 0–0.5 year old. individuals are represented by a single of indeterminate sex. Individual 4 is a Burial 23 also has 2 individuals, a molar tooth of a child, 3–5 years old, fragmentary skeleton of an adult of young adult female, 25–30 years old and and a cranial fragment of an adult of indeterminate sex. Individual 5 is a a fetus. Burial 24 is an adult, 30–39 indeterminate sex. No known fragmentary skeleton of a child. years old, probably a female. Burial 25 individuals were identified. A total of Individuals 6 and 7 are represented by is an infant, 1.5–3 years old. Burial 27 17 associated funerary objects were loose teeth and commingled small bone has 3 individuals, a young adult female, removed from site 34Gv0043. Both fragments of an adult of indeterminate 27–35 years old and 2 newborn infants. individuals in Burial 2 are associated sex and a child, 5–7 years old. No Burials 28 and 29 are both infants, 0– with 1 pottery sherd, 2 modified lithic known individuals were identified. A 0.5 year old. Burial 30A is a middle- flakes, 2 unmodified lithic flakes, 1 total of 54 associated funerary objects aged adult female, 45–50 years old and unmodified stone pebble, 1 lithic atlatl were removed from site 34Wa0004. Burial 30B is a middle- aged adult, 40– hook, 1 boatstone, 1 faunal bone Burial 1 is associated with 12 chipped 44 years old, probably a male. Burial 31 fragment, and 3 fragments of burned stone flakes and fragments, 1 piece of is an infant, 0–0.5 year old. Burial 32 is faunal bone. Burial 3 is associated with sandstone, 1 pottery sherd, 2 mussel an infant, 1.5–2 years old. Burial 33 is 4 pottery sherds and 1 unmodified lithic shells, and 2 conch shell pendants. a middle-aged adult male, 45–55 years flake. Burial 2 is associated with 15 pottery old. There are 2 individuals from Burial In 1980 and 1981, human remains sherds, 1 faunal bone fragment, and 7 34, a middle-aged adult male, 45–50 representing, at minimum, 3 individuals shell fragments. Burial 3 is associated years old and a middle-aged adult of were removed from the Franklin Cordell with 11 chipped stone flakes, 1 pottery indeterminate sex, 40–44 years old. site (34Wa0003) in Washita County, OK. sherd, and 1 piece of sandstone. Burial 35 is an infant, 0–0.5 year old. Located on a cultivated and terraced Burial 36 has 2 individuals, a child, 2– hillside in Washita County, this site was In 1955 and 1960, human remains representing, at minimum, 66 3 years old and an infant, 0–0.5 year first surveyed by Robert Bell of the old. Burial 37 also has 2 individuals, a University of Oklahoma in 1955. Prior individuals were removed from the McLemore/Cross site (34Wa0005) in child, 2–3 years old and an infant, 0–0.5 to that time however, the site was often year old. Burial 38 is an infant, 0–0.5 visited by amateur collectors. A Washita County, OK. This site was discovered by a private citizen and year old. Burial 39 is a child, 3–5 years subsequent survey was carried out by old. Burial 40 is an infant, 0–0.5 year Richard Drass in 1977, after plowing recorded by Rex Wilson of the old. Burial 41 is a child, 2–3 years old. had exposed additional material. In Oklahoma Archeological Survey in Burials 42 and 43 are both infants, 0– 1980, an extensive excavation was 1955. A large-scale excavation was 0.5 year old. Burial 44 is a child, 5–6 conducted by the Eastern Oklahoma conducted in 1960, directed by Don years old. Burial 45 is a middle-aged County Chapter of the Oklahoma Wyckoff and Robert Bell. Most of the adult male, 45–55 years old. Burials 46 Archaeological Society under the material from the McLemore site, and 47 are two probable young adult direction of the Oklahoma including the human remains and females, 25–30 years old. Burial 48 is an Archeological Survey, supervised by associated funerary objects, were infant, 0–0.5 year old. Burial 49 is a David Hughes. The material was transferred to the Museum in 1960. An young adult of indeterminate sex, 20–35 transferred to the Museum in 1980 and additional human bone was transferred 1981. Individual 1 is an adult greater to the Museum in 2008 by a private years old. Burials 50 and 51 are middle- than 35 years old, of indeterminate sex, collector. Burial 1 has 2 individuals, aged adults of indeterminate sex, 35–50 and represented by a single mandible both are infants, 0.5–1 year old. Burial years old. Burial 52 is an infant, 0–0.5 fragment. Individual 2 is an adolescent 2 is a middle-aged adult female, 35–45 year old. Burial 53 is an adult of or young adult, approximately 18–22 years old. Burial 3 is an infant, 1.5–2 indeterminate sex. Burial 54 is an years old, of indeterminate sex, also years old. Burial 4 is a middle-aged infant, 0–0.5 year old. No known represented by a single mandible adult female, 40–55 years old. Burial 5 individuals were identified. There are fragment. Individual 3 is an adult is an infant, 0–0.5 year old. Burial 6 is 292 isolated and commingled bone and greater than 20 years old, of an infant, 0.5–1 year old. There are 2 bone fragments from the site, likely indeterminate sex, and represented by 5 individuals from Burial 7, a young belonging to the individuals listed loose teeth and a manual phalange. No adult, 20–25 years old, probably a above. known individuals were identified. No female, and an infant, 0–0.5 year old. A total of 1,053 associated funerary associated funerary objects are present. Burial 8 is also a newborn infant. Burial objects were removed from site On September 7, 1974, human 9 has 2 individuals, a child, 9–12 years 34Wa0005. The two individuals from remains representing, at minimum, 7 old and an infant, 1–1.5 years old. Burial 1 are associated with 2 chipped individuals were removed from the Burial 10 is a middle-aged adult female, stone fragments, 3 pottery sherds, and 4 Hinz site (34Wa0004) in Washita 35–40 years old. Burial 11 is an infant, faunal bone fragments. Burial 2 is County, OK. This site was exposed by 1–1.5 years old. Burial 12 is an infant, associated with 1 unmodified stone, 1 cultivation and erosion and first 0–0.5 year old. Burial 13 is an chipped stone scraper, 2 pottery sherds, VerDate Sep<11>2014 18:16 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00065 Fmt 4703 Sfmt 4703 E:\FR\FM\01NON1.SGM 01NON1 sradovich on DSK3GMQ082PROD with NOTICES Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Notices 50673 and 1 shell fragment. Burial 3 is chipped stone fragments, 2 pottery faunal bone fragments. Burial 45 is associated with 1 fragment of petrified sherds, 8 shell fragments, 2 modified associated with 1 chipped stone wood. Burial 4 is associated with 2 faunal bone fragments, 9 unmodified projectile point, 2 chipped stone chipped stone flakes, 9 pottery sherds, faunal bone fragments, and 1 soil fragments, 1 unmodified stone, 1 stone and 2 faunal bone fragments. Burial five sample taken from the burial. Burial 24 pipe, 4 pottery sherds, 3 burned faunal is associated with 3 faunal bone is associated with 1 soapstone fragment, bone fragments, 3 unmodified faunal fragments. Burial 6 is associated with 1 2 chipped stone fragments, 3 shell bone fragments, and 1 soil sample taken bone fragment and 1 shell fragment. The fragments, and 7 faunal bone fragments. from the burial. Burial 46 is associated two individuals from Burial 7 are Burial 25 is associated with 1 ceramic with 1 unmodified rock, 1 pottery sherd, associated with 1 chipped stone pot, 1 pottery sherd, and 1 shell. Burial 4 shell fragments, and 2 faunal bone projectile point, 2 pottery sherds, and 6 26 is associated with 3 shell fragments fragments. Burial 47 is associated with faunal bone fragments. Burial 8 is and 3 faunal bone fragments. The three 2 chipped stone knives, 1 chipped stone associated with 1 human effigy pot and individuals from Burial 27 are fragment, 1 unmodified stone, 1 ceramic 1 soil sample taken from the pot. The associated 2 unmodified rocks, 2 pot, 1 pottery sherd, 3 shells, 1 shell two individuals from Burial 9 are ceramic pots, 4 pottery sherds, 1 shell bead, and 2 soil samples taken from the associated with 1 ceramic pot, 2 pottery pendant, 21 shells and shell fragments, burial. Burial 48 is associated with 1 sherds, 9 ceramic figurine fragments, 6 2 deer mandible graters, and 6 faunal shell and 1 pottery sherd. Additionally, shell fragments, and 11 faunal bone bone fragments. Burial 28 is associated 3 soil samples were taken from the fragments. Burial 10 is associated with with 16 soapstone fragments and 1 general burial area and are associated 1 ceramic pot. Burial 11 is associated faunal bone fragment. Burial 30A is with all of the human remains with 1 ceramic pot, 1 pottery sherd, 1 associated with 2 pottery sherds and 1 collectively. In 1977, human remains representing, shell, 1 shell fragment, 1 unmodified faunal bone fragment. Burial 30B is at minimum, 1 individual were removed faunal bone fragment, and 1 faunal bone associated with 1 shell fragment and 4 from the Duerksen site (34Wa0143) in awl fragment. Burial 12 is associated faunal bone fragments. Burials 30A and Washita County, OK. The remains were with 1 chipped stone projectile point 30B are also associated with 1 chipped found near the Washita River by Denny fragment, 2 faunal bone fragments, and stone flake, 4 pottery sherds, 2 shells, 1 Carley, a member of the Oklahoma fragment of burned faunal bone, and 3 1 faunal tooth. Burial 13 is associated 6 Anthropological Society. He donated chipped stone fragments, 1 unmodified faunal bone fragments. Burial 31 is the remains to the Oklahoma rock, 3 pottery sherds, 1 partial skeleton associated with 1 ground stone mano Archeological Survey in 1977, which of a crow, 3 faunal bone fragments, 1 and 2 shells. Burial 32 is associated were later transferred to the Museum in soil sample taken from the burial, and with 1 pottery sherd, 1 shell fragment, 1980. The human remains consist of a 1 chipped stone projectile point and 1 faunal bone fragment. Burial 33 is fragmentary cranium of a young adult embedded in a vertebra of the associated with 18 chipped stone male, 20–35 years old. No known individual. Burial 14 is associated with fragments, 5 pottery sherds, 4 shell individual was identified. No associated 1 chipped stone projectile point, 1 stone fragments, 11 burned faunal bone funerary objects are present. pipe, 1 chipped stone core, 1 chipped fragments, and 12 unmodified faunal Sites 34Bk0004, 34Bk0023, 34Bk0094, stone flake, 2 chipped stone fragments, bone fragments. The two individuals 34Cu0001, 34Cu0027, 34Cu0041, 3 pottery sherds, 5 faunal bone from Burial 34 are associated with 6 34Cu0042, 34Gd0016, 34Gd0024, fragments, and 1 soil sample taken from chipped stone knives, 4 chipped stone 34Gd0078, 34Gd0081, 34Gv0000, the burial. Burial 15 is associated with projectile points, 1 chipped stone flake, 34Gv0001, 34Gv0002, 34Gv0005, 1 chipped stone flake, 8 chipped stone 4 chipped stone fragments, 2 34Gv0032, 34Gv0043, 34Wa0003, fragments, 1 chipped stone scraper, 8 unmodified lithic fragments, 1 piece of 34Wa0004, 34Wa0005, and 34Wa0143 fragments of soapstone, 2 pieces of worked selenite, 1 ceramic pot, 2 are Plains Village Period, Washita River unmodified sandstone, 1 ceramic pot, 3 pottery sherds, 1 ball of clay, 2 shells, phase in age, dating approximately from pottery sherds, 1 shell, 1 shell fragment, 2 faunal bone awls, and 3 faunal bone A.D. 1250–1400. It is possible that the 1 deer mandible grater, 2 faunal bone fragments. The two individuals from Braiden site (34Gv0001) could also date hoes, 2 modified faunal bone fragments, Burial 36 are associated with 3 pottery to the earlier Paoli phase (A.D. 900– and 4 unmodified faunal bone sherds, 3 shells, 121 shell beads, and 1 1250), and the Lacey Farm 1 site fragments. Burial 16 is associated with faunal bone fragment. The two (34Gv0005) has Paoli phase components 1 ceramic pot. The two individuals from individuals from Burial 37 are in addition to Washita River phase Burial 18 are associated with 1 pottery associated with 1 ceramic pot, 1 faunal components. These determinations are sherd, 1 unmodified rock, 1 faunal bone fragment, and 422 shell beads. based on archeological context and scapula hoe, and 1 faunal bone Burial 38 is associated with 1 pottery diagnostic cultural materials (e.g., fragment. Burial 20 is associated with 1 sherd and 3 shell fragments. Burial 39 chipped and ground stone, ceramics, chipped stone fragment, 1 unmodified is associated with 1 chipped stone and/or bone tools), oral history, and rock, 1 ceramic pot, 2 modified faunal fragment, 2 unmodified stones, 12 post-contact European records. The bone fragments, and 1 unmodified pottery sherds, 4 faunal bone fragments, Paoli and Washita River phases faunal bone fragment. Burial 21 is and 1 soil sample taken from the burial. demonstrate continuity in material associated with 1 pottery sherd, 1 faunal Burial 40 is associated with 1 chipped culture with known groups of the bone fragment, 2 shell scrapers, and 5 stone scraper, 3 shell fragments, and 1 Wichita and Affiliated Tribes. shell fragments. The two individuals burned faunal bone fragment. Burial 41 In 1955, human remains representing, from Burial 22 are associated with 1 is associated with 1 pottery sherd, 1 at minimum, 2 individuals were chipped stone end scraper, 1 chipped burned faunal bone fragment, and 1 removed from the Coulter site stone fragment, 2 unmodified stones, 9 unmodified faunal bone fragment. (34Ml0008) in McClain County, OK. The pottery sherds, 1 ceramic pot, 2 shell Burial 42 is associated with 1 chipped human remains and associated funerary fragments, 1 shell bead, and 10 faunal stone fragment, 2 shell fragments, and 3 objects were salvaged from a slush pit bone fragments. The two individuals faunal bone fragments. Burial 44 is in the middle of the Coulter Site by from Burial 23 are associated with 15 associated with 2 pottery sherds and 5 William Villines. The site was recorded VerDate Sep<11>2014 18:16 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00066 Fmt 4703 Sfmt 4703 E:\FR\FM\01NON1.SGM 01NON1 sradovich on DSK3GMQ082PROD with NOTICES 50674 Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Notices by Stephan de Borhegyi for the Sites 34Bk0093 and 34Rm0492 are accessioned by the Museum in 1953 and University of Oklahoma in 1955, and from the Plains Village Period and date 1988. Burial 1 contains two individuals, then the material was donated to the to the Custer phase, from approximately an adult male and a young adult, 20–35 Museum later in the same year. The A.D. 800–1250. These determinations years old, of indeterminate sex. Burial 2 human remains removed from the site are based on archeological context and contains a young adult, 20–35 years old, include two commingled partial diagnostic cultural materials (e.g., of indeterminate sex. Burial 3 contains skeletons, both of whom are adult chipped and ground stone, ceramics, a probable young adult female, 20–35 males. No known individuals were and/or bone tools), oral history, and years old. No known individuals were identified. The 343 associated funerary post-contact European records. The identified. A total of 61 associated objects include 187 pottery sherds, 1 Custer phase demonstrates continuity in funerary objects were removed from site partially restored pot, 1 ceramic spindle material culture with the subsequent 34Ml0003. Both individuals from Burial whorl, 15 shell fragments, 118 faunal Washita River phase (A.D. 1250–1400) 1 are associated with 1 chipped stone bone fragments, 1 faunal bone awl, 1 and later known groups of the Wichita flake tool, 1 modified cobble, 1 bone ground stone mano fragment, 9 chipped and Affiliated Tribes. pin, 1 ground stone fragment, 11 pottery stone flakes, 8 chipped stone cores, and In 1981 and 1983, human remains sherds, 1 shell fragment, 1 shell scraper, 2 chipped stone scrapers. representing, at minimum, 2 individuals 5 faunal bone fragments, and 1 charcoal This site is Plains Village Period, were removed from the Carnegie sample. Burial 2 is associated with 7 Paoli phase in age, dating from Canyon site (34Cd0076) in Caddo pottery sherds, 7 worked shell approximately A.D. 900–1250. This County, OK, by the Oklahoma fragments, 6 chipped stone flakes, 1 determination is based on archeological Conservation Commission. Excavations ground stone fragment, 1 faunal bone context and diagnostic cultural by Christopher Lintz and Stephan Hall fragment, 1 soil sample, and 10 soil materials (e.g., chipped and ground occurred in 1981 and 1983, and material flotation samples. Burial 3 is associated stone, ceramics, and/or bone tools), oral from the site was transferred to the with 1 pottery sherd, 1 ground stone history, and post-contact European Museum in 1983 and 1985. Individual fragment, 1 shell fragment, and 2 faunal records. The Paoli phase demonstrates 1 is a fragmentary skeleton of a probable bone fragments. continuity in material culture with the female adult. Individual 2 is a single On November 26, 1979, human subsequent Washita River phase (A.D. long bone fragment of an adult of remains representing, at minimum, 1 1250–1400) and later known groups of indeterminate sex. No known individual were removed from the the Wichita and Affiliated Tribes. individuals were identified. The 13 Chevrolet site (34Ok0100) in Oklahoma associated funerary objects are 12 faunal County, OK. This site was exposed by In 1984, human remains representing, bone fragments associated with heavy machinery during a construction at minimum, 2 individuals were Individual 1 and 1 soil sample project along Crutcho Creek in removed from the Patton site associated with Individual 2. Oklahoma County and salvaged by (34Bk0093) in Beckham County, OK. In 1989, human remains representing, Richard Drass and Sarah Herstand of the The human remains were collected in at minimum, 1 individual were removed Oklahoma Archeological Survey. The the field by Larry Neal and Alan from the Cut Bank Site (34Ln0101) in material was transferred to the Museum Wormser of the Oklahoma Lincoln County, OK. This site was in 1981. The human remains are a Archeological Survey and later donated surveyed and recorded in 1989 by fragmentary skeleton of an adolescent, to the Museum in 1988. Individual 1 is Charles S. Wallis Jr. of the Oklahoma 13–16 years old, of indeterminate sex. a fragmentary skeleton of a young adult Conservation Commission as part of the No known individual was identified. female, 20–35 years old. Individual 2 is Bellcow Reservoir Resurvey and Testing The 42 associated funerary objects a fragmentary skeleton of an adolescent, Program in conjunction with studies on include 11 unmodified sandstone 12–15 years old, of indeterminate sex. the impact area of the Kickapoo Nations fragments, 1 chipped stone biface, 1 No known individuals were identified. Watershed in northwestern Lincoln modified cobble, 11 chipped stone No associated funerary objects are County, OK. Material from the site was flakes, 2 pieces of charred material, 1 present. turned over to the Museum in 1991. The soil sample from the burial, 13 pieces of In 1985, human remains representing, human remains consist of a single baked earth, and 2 pottery sherds. at minimum, 1 individual were removed cranial fragment of an adult of In 1987, human remains representing, from the Linville 2 site (34Rm0492) in indeterminate sex. No known individual at minimum, 3 individuals were Roger Mills County, OK. The site was was identified. No associated funerary removed from an unnamed site exposed by a bulldozer and material objects are present. (34Pt0000) in Pottawatomie County, OK. was recovered as part of a salvage In 1952 and 1986, human remains The human remains were collected by operation funded by the Oklahoma representing, at minimum, 4 individuals Michael Moore during a survey project Archeological Survey, conducted by were removed from the Brewer site near the Rose-Fast site and accessioned Richard Drass, Pete Thurmond, John (34Ml0003) in McClain County, OK. by the Museum in 1988. The human Flick, Don Wyckoff, Louis Albert, Peggy This site is on the south bank of the remains are highly fragmentary and Flynn, and Michael Moore. The material Canadian River and was originally commingled and represent an adult was transferred to the Museum in 1987. surveyed and recorded in 1950, by the male, an adult female, and a child, 8– The burial is a fragmentary skeleton of University of Oklahoma. William 12 years old. No known individuals an adult female. No known individual Villines of Rosedale, OK, brought a were identified. No associated funerary was identified. The 158 associated collection from the site to the objects are present. funerary objects include 24 pottery Department of Anthropology at the Sites 34Cd0076, 34Ln0101, 34Ml0003, sherds, 27 chipped stone flakes, 1 small University of Oklahoma in 1951. 34Ok0100, and 34Pt0000 date to the stone projectile point, 11 shell Additional material was salvaged by Plains Woodland Period (A.D. 1–1000). fragments, 32 faunal bone fragments, 1 Richard Drass, Robert Brooks, and Alan The Brewer site (34Ml0003) may also faunal bone awl, 58 cobbles and cobble Wormser of the Oklahoma date to the Plains Village Period. The fragments, 1 cobble biface, 2 charred Archeological Survey, after more unnamed site from Pottawatomie nutshells, and 1 sample of organic material had been exposed by oil well County is in close proximity to, and is material. workers in 1986. The material was believed to be associated with, the Rose- VerDate Sep<11>2014 18:16 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00067 Fmt 4703 Sfmt 4703 E:\FR\FM\01NON1.SGM 01NON1 sradovich on DSK3GMQ082PROD with NOTICES Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Notices 50675 Fast site, a Plains Woodland Period site. Dated: September 8, 2017. Native American Graves Protection and These determinations are based on Melanie O’Brien, Repatriation Act (NAGPRA), 25 U.S.C. archeological context and diagnostic Manager, National NAGPRA Program. 3003, of the completion of an inventory cultural materials (e.g., chipped and [FR Doc. 2017–23794 Filed 10–31–17; 8:45 am] of human remains and associated ground stone, ceramics, and/or bone BILLING CODE 4312–52–P funerary objects under the control of the tools), oral history, and post-contact Human Remains Repository, European records. Ethnohistoric, Department of Anthropology, University ethnographic, and oral historical DEPARTMENT OF THE INTERIOR of Wyoming, Laramie, WY. The human evidence support the cultural continuity remains and associated funerary objects of the Woodland Period with the National Park Service were removed from multiple counties in subsequent Plains Village Period in the [NPS–WASO–NAGPRA–NPS0024125: the State of Wyoming. area and with the Wichita and Affiliated PPWOCRADN0–PCU00RP14.R50000] This notice is published as part of the Tribes. National Park Service’s administrative Notice of Inventory Completion: responsibilities under NAGPRA, 25 Determinations Made by the Sam Noble Human Remains Repository, U.S.C. 3003(d)(3) and 43 CFR 10.11(d). Oklahoma Museum of Natural History Department of Anthropology, The determinations in this notice are Officials of the Sam Noble Oklahoma University of Wyoming, Laramie, WY the sole responsibility of the museum, Museum of Natural History have institution, or Federal agency that has AGENCY: National Park Service, Interior. determined that: control of the Native American human ACTION: Notice. • Pursuant to 25 U.S.C. 3001(9), the remains and associated funerary objects. The National Park Service is not human remains described in this notice SUMMARY: The Human Remains represent the physical remains of 193 Repository, Department of responsible for the determinations in individuals of Native American Anthropology, University of Wyoming, this notice. ancestry. has completed an inventory of human Consultation • Pursuant to 25 U.S.C. 3001(3)(A), remains and associated funerary objects, A detailed assessment of the human the 3,389 objects described in this in consultation with the appropriate remains was made by the Human notice are reasonably believed to have Indian Tribes or Native Hawaiian Remains Repository, Department of been placed with or near individual organizations, and has determined that Anthropology, University of Wyoming, human remains at the time of death or there is no cultural affiliation between professional staff in consultation with later as part of the death rite or the human remains and associated representatives of the Arapaho Tribe of ceremony. funerary objects and any present-day the Wind River Reservation, Wyoming. • Pursuant to 25 U.S.C. 3001(2), there Indian Tribes or Native Hawaiian The Assiniboine and Sioux Tribes of the is a relationship of shared group organizations. Representatives of any Fort Peck Indian Reservation, Montana; identity that can be reasonably traced Indian Tribe or Native Hawaiian Cheyenne River Sioux Tribe of the between the Native American human organization not identified in this notice Cheyenne River Reservation, South remains and associated funerary objects that wish to request transfer of control Dakota; Crow Creek Sioux Tribe of the and the Wichita and Affiliated Tribes of these human remains and associated Crow Creek Reservation, South Dakota; (Wichita, Keechi, Waco & Tawakonie), funerary objects should submit a written Flandreau Santee Sioux Tribe of South Oklahoma. request to the Human Remains Dakota; Lower Brule Sioux Tribe of the Repository, Department of Additional Requestors and Disposition Lower Brule Reservation, South Dakota; Anthropology, University of Wyoming. Lower Sioux Indian Community in the Lineal descendants or representatives If no additional requestors come State of Minnesota; Oglala Sioux Tribe of any Indian Tribe or Native Hawaiian forward, transfer of control of the (previously listed as the Oglala Sioux human remains and associated funerary organization not identified in this notice Tribe of the Pine Ridge Reservation, objects to the Indian Tribes or Native that wish to request transfer of control South Dakota); Prairie Island Indian Hawaiian organizations stated in this of these human remains and associated Community in the State of Minnesota; notice may proceed. funerary objects should submit a written Rosebud Sioux Tribe of the Rosebud request with information in support of DATES: Representatives of any Indian Indian Reservation, South Dakota; the request to Dr. Marc Levine, Assistant Tribe or Native Hawaiian organization Santee Sioux Nation, Nebraska; Curator of Archaeology, Sam Noble not identified in this notice that wish to Shakopee Mdewakanton Sioux Oklahoma Museum of Natural History, request transfer of control of these Community of Minnesota; Sisseton- University of Oklahoma, 2401 human remains and associated funerary Wahpeton Oyate of the Lake Traverse Chautauqua Avenue, Norman, OK objects should submit a written request Reservation, South Dakota; Spirit Lake 73072–7029, telephone (405) 325–1994, with information in support of the Tribe, North Dakota; Standing Rock email [email protected], by December 1, request to the Human Remains Sioux Tribe of North & South Dakota; 2017. After that date, if no additional Repository, Department of Upper Sioux Community, Minnesota; requestors have come forward, transfer Anthropology, University of Wyoming, and Yankton Sioux Tribe of South of control of the human remains and at the address in this notice by Dakota were invited to consult, but did associated funerary objects to the December 1, 2017. not participate. Wichita and Affiliated Tribes (Wichita, ADDRESSES: Dr. Rick L. Weathermon, Keechi, Waco & Tawakonie), Oklahoma, Curator, Human Remains Repository, History and Description of the Remains may proceed. Department 3431, Anthropology, 1000 At some time prior to 1976, human The Sam Noble Oklahoma Museum of East University Avenue, University of remains representing, at minimum, Natural History is responsible for Wyoming, Laramie, WY 82071, three individuals were removed from notifying the Wichita and Affiliated telephone (307) 314–2035, email rikw@ the area of Pumpkin Buttes in Campbell Tribes (Wichita, Keechi, Waco & uwyo.edu. County, WY, by members of the Tawakonie), Oklahoma, that this notice SUPPLEMENTARY INFORMATION: Notice is Wyoming Archaeological Society, has been published. here given in accordance with the Sheridan Chapter. In 1998, the VerDate Sep<11>2014 18:16 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00068 Fmt 4703 Sfmt 4703 E:\FR\FM\01NON1.SGM 01NON1 sradovich on DSK3GMQ082PROD with NOTICES 50676 Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Notices fragmentary human remains were individual, were removed from a identified. No associated funerary transferred to the Human Remains location near the town of Shawnee in objects are present. Repository as HR251a–c, and represent Converse County, WY, by the In 1983, human remains representing, three Native American individuals landowner. The human remains have at minimum, one individual, were consisting of one male, over 40 years been housed at the Human Remains removed from a location south of old, one female, 18–22 years old, and Repository since that time. The human Keyhole Reservoir in Crook County, one male, approximately 14 years old. remains are recorded as HR0152 in the WY, by the Crook County Sheriff’s No known individuals were identified. Human Remains Repository records and Office and then transferred to the No associated funerary objects are represent a Native American male, over Human Remains Repository in 1984. present. 50 years old. No known individual was The fragmentary human remains are In 1984, human remains representing, identified. No associated funerary recorded as FC044 in the Human at minimum, one individual were objects are present. Remains Repository records and removed from the Rawhide site At some time in the mid-1980s, represent a Native American female, (48CA509) in Campbell County, WY, by human remains representing, at over 50 years old. No known individual the Wyoming State Archaeological minimum, one individual, were was identified. No associated funerary Survey Office. The fragmentary human removed from an unknown location in objects are present. remains are recorded as HR145 in the Converse County, WY, by the Converse In 1881, human remains representing, Human Remains Repository records and County Sheriff’s Office. The remains at minimum, one individual, were represent a Native American child, have been housed at the Human removed from the area of Rifle Pit Road about 8 years old, of undetermined sex. Remains Repository since that time. The in Crook County, WY, by unknown No known individual was identified. No fragmentary human remains are individuals. The human remains were associated funerary objects are present. recorded as HR155 in the Human given to the Sundance Museum in 1975, At some time prior to 1970, human Remains Repository records and and transferred to the Human Remains remains representing, at minimum, one represent a Native American individual Repository in 2009. The fragmentary individual, were removed from a site of undetermined sex, over 40 years old. human remains are recorded as HR264 located about 35 miles north and No known individual was identified. No in the Human Remains Repository records and represent a Native slightly east of Douglas in Converse associated funerary objects are present. County, WY, by unknown individuals. American young adult female. No At some time during the early 1970s, The human remains were kept at the known individual was identified. No human remains representing, at Pioneer Museum in Douglas until 1975, associated funerary objects are present. minimum, one individual, were when they were transferred to the In 1975, human remains representing, removed from an unknown site near Bill Human Remains Repository. The at minimum, one individual, were fragmentary human remains are in Converse County, WY, by the removed from site 48GO8 near the recorded as HR018 in the Human Converse County Sheriff’s Office. The North Platte River in Goshen County, Remains Repository records and human remains were transferred to the WY, by University of Wyoming represent a Native American male, Human Remains Repository in 2010. Department of Anthropology personnel approximately 34–40 years old. No The fragmentary human remains are and transferred to the Human Remains known individual was identified. No recorded as HR0282 in the Human Repository in approximately 1987. The associated funerary objects are present. Remains Repository records and fragmentary human remains are In 1986, human remains representing, represent an adult Native American recorded as HR043 in the Human at minimum, one individual, were male. No known individual was Remains Repository records and removed from the Antelope Coal Mine identified. No associated funerary represent a Native American female, 25– permit area (site 48CO481) in Converse objects are present. 27 years old. No known individual was County, WY. The human remains have In 1997, human remains representing, identified. No associated funerary been housed at the Human Remains at minimum, one individual, were objects are present. Repository since that time. The removed from an unknown site in In 1975, human remains representing, fragmentary human remains are Converse County, WY, by the Converse at minimum, one individual, were recorded as HR0111 in the Human County Sheriff’s Office. The human removed from site 48NA67 north of Remains Repository records and remains were transferred to the Human Casper in Natrona County, WY, by represent a Native American female, 18– Remains Repository in 2010. The University of Wyoming Department of 21 years old. No known individual was fragmentary human remains are Anthropology personnel. The human identified. No associated funerary recorded as HR0300 in the Human remains have been at the Human objects are present. Remains Repository records and Remains Repository since that time and, In 1988, human remains representing, represent an adult Native American based on radiocarbon dating, are at minimum, one individual, were male. No known individual was between 5100 and 5500 years old. The removed from site 48CO1432 in identified. No associated funerary fragmentary human remains are Converse County, WY, by the Wyoming objects are present. recorded as HR045 in the Human State Archaeological Survey Office. The In 1974, human remains representing, Remains Repository records and human remains have been housed at the at minimum, one individual, were represent a Native American male, 50– Human Remains Repository since that removed from the Bishop Ranch in 65 years old. No known individual was time. The fragmentary human remains Crook County, WY, by the landowner. identified. No associated funerary are recorded as HR144 in the Human The human remains were given to the objects are present. Remains Repository records and Rockpile Museum in Gillette, who In 1992, human remains representing, represent a Native American male, over transferred them to the Human Remains at minimum, one individual, were 50 years old. No known individual was Repository in 1996. The human remains removed from the North Platte River identified. No associated funerary are recorded as DB052 in the Human drainage west of Casper in Natrona objects are present. Remains Repository records and County, WY, by the Natrona County At some time prior to 1986, human represent a Native male, over 60 years Sheriff’s Office and transferred to the remains representing, at minimum, one old. No known individual was Human Remains Repository in 1993. VerDate Sep<11>2014 18:16 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00069 Fmt 4703 Sfmt 4703 E:\FR\FM\01NON1.SGM 01NON1 sradovich on DSK3GMQ082PROD with NOTICES Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Notices 50677 The fragmentary human remains are remains are recorded as HR007 in the • Pursuant to 25 U.S.C. 3001(2), a recorded as FC090 in the Human Human Remains Repository records and relationship of shared group identity Remains Repository records and represent a Native American female, 50– cannot be reasonably traced between the represent a Native American female, 22– 65 years old. No known individual was Native American human remains and 24 years old. No known individual was identified. The two associated funerary associated funerary objects and any identified. The two associated funerary objects include a bone awl fragment and present-day Indian Tribe. objects include one lot of glass seed small piece of hematite. • According to final judgments of the trade beads and one lot of small leather At some time in the 1930s, human Indian Claims Commission or the Court fragments. remains representing, at minimum, one of Federal Claims, the land from which In 1993, human remains representing, individual, were removed from site at minimum, one individual, were 48WE487, about 7 miles west of the the Native American human remains removed from a location a few miles Wyoming-South Dakota state line, in and associated funerary objects were north of Casper in Natrona County, WY, Weston County, WY, by a sheepherder. removed is the aboriginal land of the by the Natrona County Sheriff’s Office. The human remains have been at the Arapaho Tribe of the Wind River The human remains have been at the University of Wyoming Anthropology Reservation, Wyoming. Human Remains Repository since that Department since the mid-1980s. The • Treaties, Acts of Congress, or time. The fragmentary human remains fragmentary human remains are Executive Orders, indicate that the land are recorded as FC107 in the Human recorded as HR203 in the Human from which the Native American human Remains Repository records and Remains Repository records and remains and associated funerary objects represent a Native American child, of represent a possible Native American, were removed is the aboriginal land of indeterminate sex, 8–9 years old. No approximately 20 years of age, of the Arapaho Tribe of the Wind River known individual was identified. The indeterminate sex. No known individual one associated funerary object consists Reservation, Wyoming. was identified. The 42 associated • of a bison bone fragment. funerary objects include 42 red ocher- Pursuant to 43 CFR 10.11(c)(1), the At some time prior to the 1970s, stained non-diagnostic bifacial stone disposition of the human remains and human remains representing, at tools. associated funerary objects may be to minimum, one individual, were In 1978, human remains representing, the Arapaho Tribe of the Wind River removed from an unknown location and at minimum, one individual, were Reservation, Wyoming. given to the Casper, WY, Police removed from a location approximately Department. The human remains had Additional Requestors and Disposition two miles north of Newcastle in Weston been in the police department evidence County, WY, by Weston County lockup from 30 to over 40 years. No Representatives of any Indian Tribe or other provenience information is Sherriff’s Department personnel and Native Hawaiian organization not available. In 2009, the human remains stored at the Anna Miller Museum in identified in this notice that wish to were accessioned into the University of Newcastle until 1992, when they were request transfer of control of these Wyoming Human Remains Repository. transferred to the University of human remains and associated funerary The fragmentary human remains are Wyoming Anthropology Department. objects should submit a written request recorded as HR263 in the Human The fragmentary human remains are with information in support of the Remains Repository records and recorded as FC008 in the Human request to Dr. Rick L. Weathermon, represent a Native American older adult Remains Repository records and Curator, Human Remains Repository, male. No known individual was represent a Native American male, 48– Department 3431, Anthropology, 1000 identified. No associated funerary 60 years old. No known individual was East University Avenue, University of identified. No associated funerary objects are present. Wyoming, Laramie, WY 82071, objects are present. In 1956, human remains representing, telephone (307) 314–2035, email rikw@ at minimum, one individual, were Determinations Made by the Human uwyo.edu, by December 1, 2017. After removed from site 48NO2 about 8 miles Remains Repository, Department of that date, if no additional requestors southwest of Lusk in Niobrara County, Anthropology, University of Wyoming have come forward, transfer of control WY, by Wyoming State Museum of the human remains and associated personnel and transferred to the Officials of the Human Remains funerary objects to the Arapaho Tribe of University of Wyoming Anthropology Repository, Department of Department in 1983. Additional Anthropology, University of Wyoming the Wind River Reservation, Wyoming, associated remains were located in the have determined that: may proceed. State Museum in 1995 and transferred • Pursuant to 25 U.S.C. 3001(9), the The Human Remains Repository, to University of Wyoming, human remains described in this notice Department of Anthropology, University Anthropology, in 1996. The fragmentary are Native American based on features of Wyoming, is responsible for notifying human remains are recorded as HR110 of the skeletal elements or their the Arapaho Tribe of the Wind River in the Human Remains Repository archeological contexts. Reservation, Wyoming, that this notice • records and represent a Native Pursuant to 25 U.S.C. 3001(9), the has been published. American male, 50–65 years of age. No human remains described in this notice Dated: September 8, 2017. known individual was identified. No represent the physical remains of 23 associated funerary objects are present. individuals of Native American Melanie O’Brien, At some time prior to 1971, human ancestry. Manager, National NAGPRA Program. remains representing, at minimum, one • Pursuant to 25 U.S.C. 3001(3)(A), [FR Doc. 2017–23793 Filed 10–31–17; 8:45 am] individual, were removed from site the 47 funerary objects described in this BILLING CODE 4312–52–P 48WE34, about 4 miles south southeast notice are reasonably believed to have of Upton, Weston County, WY, by the been placed with or near individual landowner and given to the University human remains at the time of death or of Wyoming Anthropology Department later as part of the death rite or in 1971. The fragmentary human ceremony. VerDate Sep<11>2014 18:16 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00070 Fmt 4703 Sfmt 9990 E:\FR\FM\01NON1.SGM 01NON1 sradovich on DSK3GMQ082PROD with NOTICES 50678 Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Notices INTERNATIONAL TRADE of the asserted patents. Notice (Nov. 18, Modification Proceeding. The COMMISSION 2015) (see Order No. 38 (Oct. 27, 2015)); Commission grants Cisco’s motion to Notice (Dec. 1, 2015) (see Order No. 47 file a reply. [Investigation No. 337–TA–945 (Modification (Nov. 9, 2015)). The Commission has determined that Proceeding)] On May 4, 2017, the Commission the request complies with the Certain Network Devices, Related found a violation of section 337 with requirements for institution of a Software and Components Thereof (II) respect to certain of the asserted claims modification proceeding under Institution of Modification Proceeding of the ’577 and ’668 patents. Notice Commission Rule 210.76. Accordingly, (May 4, 2017); 82 FR 21827–29 (May 10, the Commission has determined to AGENCY: U.S. International Trade 2017); see also Notice of Correction institute a modification proceeding and Commission. (May 30, 2017); 82 FR 25811 (June 5, has delegated the proceeding to the ACTION: Notice. 2017). The Commission issued a limited Chief Administrative Law Judge to exclusion order (‘‘LEO’’) and a cease designate a presiding Administrative SUMMARY: Notice is hereby given that and desist order (‘‘CDO’’) against Arista. Law Judge. Cisco, Arista, and OUII are the U.S. International Trade Id. The Commission did not find a named as parties to the proceeding. Commission has determined to institute violation with respect to the ’853, ’875, The authority for the Commission’s a modification proceeding in the above- ’492, and ’211 patents. Id. determination is contained in section captioned investigation. On June 30, 2017, Cisco filed a notice 337 of the Tariff Act of 1930, as FOR FURTHER INFORMATION CONTACT: of appeal with the United States Court amended (19 U.S.C. 1337), and in part Amanda P. Fisherow, Office of the of Appeals for the Federal Circuit 210 of the Commission’s Rules of General Counsel, U.S. International (‘‘Federal Circuit’’), seeking review of Practice and Procedure (19 CFR part Trade Commission, 500 E Street SW., the Commission’s finding of no 210). violation. Cisco Sys., Inc. v. Int’l Trade Washington, DC 20436, telephone (202) By order of the Commission. Comm’n, Appeal No. 17–2289. On July 205–2737. Copies of non-confidential Issued: October 27, 2017. documents filed in connection with this 21, 2017, Arista filed a notice of appeal with the Federal Circuit, seeking review Lisa R. Barton, investigation are or will be available for Secretary to the Commission. inspection during official business of the Commission’s finding of [FR Doc. 2017–23785 Filed 10–31–17; 8:45 am] hours (8:45 a.m. to 5:15 p.m.) in the violation. Arista Networks, Inc. v. Int’l BILLING CODE 7020–02–P Office of the Secretary, U.S. Trade Comm’n, Appeal No. 17–2336. International Trade Commission, 500 E On August 3, 2017, the Federal Circuit Street SW., Washington, DC 20436, consolidated the Arista and Cisco appeals. Cisco Sys., Inc. v. Int’l Trade INTERNATIONAL TRADE telephone (202) 205–2000. General Comm’n, Appeal No. 17–2289, Dkt. No. COMMISSION information concerning the Commission 20. The consolidated appeal is currently may also be obtained by accessing its [Investigation Nos. 731–TA–1186–1187 pending before the Federal Circuit. (Review)] Internet server at https://www.usitc.gov. On August 25, 2017, Arista filed a The public record for this investigation motion with the Federal Circuit seeking Certain Stilbenic Optical Brightening may be viewed on the Commission’s to stay the Commission’s remedial Agents From China and Taiwan; electronic docket (EDIS) at https:// orders pending resolution of the appeal Determinations edis.usitc.gov. Hearing-impaired on the merits. On September 22, 2017, On the basis of the record 1 developed persons are advised that information on the Federal Circuit denied this request this matter can be obtained by ‘‘subject to the condition that the in the subject five-year reviews, the contacting the Commission’s TDD product redesign on which Cisco relies United States International Trade terminal on (202) 205–1810. to deny irreparable harm must be Commission (‘‘Commission’’) SUPPLEMENTARY INFORMATION: The permitted to enter the country, without determines, pursuant to the Tariff Act of Commission instituted this investigation being blocked by the Commission order 1930 (‘‘the Act’’), that revocation of the on January 27, 2015, based on a under review in this case, unless and antidumping duty orders on certain Complaint filed by Cisco Systems, Inc. until Commission proceedings are stilbenic optical brightening agents from of San Jose, California (‘‘Cisco’’). 80 FR initiated and completed to produce an China and Taiwan would be likely to 4313–14 (Jan. 27, 2015). The Complaint enforceable determination that such a lead to continuation or recurrence of alleges violations of section 337 of the redesign is barred by the order here material injury to an industry in the Tariff Act of 1930, as amended, 19 under review or by a new or amended United States within a reasonably U.S.C. 1337 (‘‘section 337’’), by reason order.’’ Cisco Sys, Inc. v. ITC; Arista foreseeable time. of infringement of certain claims of U.S. Networks, Inc. v. ITC, Appeal Nos. Background Patent Nos. 7,023,853 (‘‘the ’853 2017–2289, –2351, Order at 3 (Fed. Cir. The Commission, pursuant to section patent’’); 6,377,577 (‘‘the ’577 patent’’); Sept. 22, 2017). 751(c) of the Act (19 U.S.C. 1675(c)), 7,460,492 (‘‘the ’492 patent’’); 7,061,875 On September 27, 2017, Cisco instituted these reviews on April 3, (‘‘the ’875 patent’’); 7,224,668 (‘‘the ’668 petitioned for a modification proceeding 2017 (82 FR 16226) and determined on patent’’); and 8,051,211 (‘‘the ’211 to determine whether Arista’s July 7, 2017 that it would conduct patent’’). The Complaint further alleges redesigned switches infringe the patent expedited reviews (82 FR 37237, August the existence of a domestic industry. claims that are the subject of the LEO 9, 2017). and CDO issued in this investigation The Commission’s Notice of The Commission made these and for modification of the remedial Investigation named Arista Networks, determinations pursuant to section orders to specify the status of these Inc. of Santa Clara, California (‘‘Arista’’) 751(c) of the Act (19 U.S.C. 1675(c)). It redesigned products. On October 10, as the respondent. The Office of Unfair completed and filed its determinations Import Investigations (‘‘OUII’’) was also 2017, Arista filed its opposition to named as a party to the investigation. Cisco’s petition. On October 17, 2017, 1 The record is defined in sec. 207.2(f) of the The Commission terminated the Cisco filed a Motion for Leave to Submit Commission’s Rules of Practice and Procedure (19 investigation in part as to certain claims a Reply in Support of Its Petition for a CFR 207.2(f)). VerDate Sep<11>2014 18:16 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00071 Fmt 4703 Sfmt 4703 E:\FR\FM\01NON1.SGM 01NON1 sradovich on DSK3GMQ082PROD with NOTICES Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Notices 50679 in these reviews on October 27, 2017. Commission’s TDD terminal on (202) party suppliers have the capacity to The views of the Commission are 205–1810. replace the volume of articles contained in USITC Publication 4737 SUPPLEMENTARY INFORMATION: The potentially subject to the requested (October 2017), entitled Certain Commission has received a complaint exclusion order and/or a cease and Stilbenic Optical Brightening Agents and a submission pursuant to § 210.8(b) desist order within a commercially from China and Taiwan: Investigation of the Commission’s Rules of Practice reasonable time; and Nos. 731–TA–1186–1187 (Review). and Procedure filed on behalf of LG (v) explain how the requested By order of the Commission. Chem, Ltd.; LG Chem Michigan Inc.; LG remedial orders would impact United States consumers. Issued: October 27, 2017. Chem Power Inc.; and Toray Industries, Inc. on October 25, 2017. The complaint Written submissions must be filed no Lisa R. Barton, later than by close of business, eight Secretary to the Commission. alleges violations of section 337 of the Tariff Act of 1930 (19 U.S.C. 1337) in calendar days after the date of [FR Doc. 2017–23797 Filed 10–31–17; 8:45 am] the importation into the United States, publication of this notice in the Federal BILLING CODE 7020–02–P the sale for importation, and the sale Register. There will be further within the United States after opportunities for comment on the importation of certain batteries and public interest after the issuance of any INTERNATIONAL TRADE final initial determination in this COMMISSION electrochemical devices containing composite separators, components investigation. Persons filing written submissions thereof, and products containing same. Notice of Receipt of Complaint; must file the original document The complaint names as respondents Solicitation of Comments Relating to electronically on or before the deadlines Amperex Technology Limited of Hong the Public Interest stated above and submit 8 true paper Kong; DJI Technology Co., Ltd. of China; copies to the Office of the Secretary by AGENCY: U.S. International Trade DJI Technology, Inc. of Burbank, CA; noon the next day pursuant to § 210.4(f) Commission. Guangdong OPPO Mobile of the Commission’s Rules of Practice Telecommunications Corp., Ltd. of ACTION: Notice. and Procedure (19 CFR 210.4(f)). China; and OPPO Digital, Inc. of Menlo Submissions should refer to the docket Park, CA. The complainant requests that SUMMARY: Notice is hereby given that number (‘‘Docket No. 3269’’) in a the Commission issue a limited the U.S. International Trade prominent place on the cover page and/ exclusion order, cease and desist orders, Commission has received a complaint or the first page. (See Handbook for and impose a bond upon respondents’ entitled Certain Batteries and Electronic Filing Procedures, Electronic alleged infringing articles during the 60- Electrochemical Devices Containing Filing Procedures.) 1 Persons with day Presidential review period pursuant Composite Separators, Components questions regarding filing should to 19 U.S.C. 1337(j). Thereof, and Products Containing Same, contact the Secretary (202–205–2000). Proposed respondents, other DN 3269; the Commission is soliciting Any person desiring to submit a interested parties, and members of the comments on any public interest issues document to the Commission in public are invited to file comments, not raised by the complaint or confidence must request confidential to exceed five (5) pages in length, complainant’s filing pursuant to the treatment. All such requests should be inclusive of attachments, on any public Commission’s Rules of Practice and directed to the Secretary to the interest issues raised by the complaint Procedure. Commission and must include a full or § 210.8(b) filing. Comments should statement of the reasons why the FOR FURTHER INFORMATION CONTACT: Lisa address whether issuance of the relief Commission should grant such R. Barton, Secretary to the Commission, specifically requested by the treatment. See 19 CFR 201.6. Documents U.S. International Trade Commission, complainant in this investigation would for which confidential treatment by the 500 E Street SW., Washington, DC affect the public health and welfare in Commission is properly sought will be 20436, telephone (202) 205–2000. The the United States, competitive treated accordingly. All such requests public version of the complaint can be conditions in the United States should be directed to the Secretary to accessed on the Commission’s economy, the production of like or the Commission and must include a full Electronic Document Information directly competitive articles in the statement of the reasons why the System (EDIS) at https://edis.usitc.gov, United States, or United States Commission should grant such and will be available for inspection consumers. treatment. See 19 CFR 201.6. Documents during official business hours (8:45 a.m. In particular, the Commission is for which confidential treatment by the to 5:15 p.m.) in the Office of the interested in comments that: Commission is properly sought will be Secretary, U.S. International Trade (i) Explain how the articles treated accordingly. All information, Commission, 500 E Street SW., potentially subject to the requested including confidential business Washington, DC 20436, telephone (202) remedial orders are used in the United information and documents for which 205–2000. States; confidential treatment is properly (ii) identify any public health, safety, General information concerning the sought, submitted to the Commission for or welfare concerns in the United States Commission may also be obtained by purposes of this Investigation may be relating to the requested remedial accessing its Internet server at United disclosed to and used: (i) By the orders; States International Trade Commission Commission, its employees and Offices, (iii) identify like or directly (USITC) at https://www.usitc.gov. The and contract personnel (a) for competitive articles that complainant, public record for this investigation may developing or maintaining the records its licensees, or third parties make in the be viewed on the Commission’s of this or a related proceeding, or (b) in United States which could replace the Electronic Document Information internal investigations, audits, reviews, System (EDIS) at https://edis.usitc.gov. subject articles if they were to be Hearing-impaired persons are advised excluded; 1 Handbook for Electronic Filing Procedures: that information on this matter can be (iv) indicate whether complainant, https://www.usitc.gov/documents/handbook_on_ obtained by contacting the complainant’s licensees, and/or third filing_procedures.pdf. VerDate Sep<11>2014 19:26 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00072 Fmt 4703 Sfmt 4703 E:\FR\FM\01NON1.SGM 01NON1 sradovich on DSK3GMQ082PROD with NOTICES 50680 Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Notices and evaluations relating to the accessing its Internet server at United United States which could replace the programs, personnel, and operations of States International Trade Commission subject articles if they were to be the Commission including under 5 (USITC) at https://www.usitc.gov . The excluded; U.S.C. Appendix 3; or (ii) by U.S. public record for this investigation may (iv) indicate whether complainant, government employees and contract be viewed on the Commission’s complainant’s licensees, and/or third personnel,2 solely for cybersecurity Electronic Document Information party suppliers have the capacity to purposes. All nonconfidential written System (EDIS) at https://edis.usitc.gov. replace the volume of articles submissions will be available for public Hearing-impaired persons are advised potentially subject to the requested inspection at the Office of the Secretary that information on this matter can be exclusion order and/or a cease and and on EDIS.3 obtained by contacting the desist order within a commercially This action is taken under the Commission’s TDD terminal on (202) reasonable time; and authority of section 337 of the Tariff Act 205–1810. (v) explain how the requested of 1930, as amended (19 U.S.C. 1337), SUPPLEMENTARY INFORMATION: The remedial orders would impact United and of §§ 201.10 and 210.8(c) of the Commission has received a complaint States consumers. Commission’s Rules of Practice and and a submission pursuant to § 210.8(b) Written submissions must be filed no Procedure (19 CFR 201.10, 210.8(c)). of the Commission’s Rules of Practice later than by close of business, eight calendar days after the date of By order of the Commission. and Procedure filed on behalf of publication of this notice in the Federal Issued: October 26, 2017. Caterpillar Inc. and Caterpillar Paving Register. There will be further Lisa R. Barton, Products, Inc. on October 26, 2017. The complaint alleges violations of section opportunities for comment on the Secretary to the Commission. public interest after the issuance of any [FR Doc. 2017–23725 Filed 10–31–17; 8:45 am] 337 of the Tariff Act of 1930 (19 U.S.C. 1337) in the importation into the United final initial determination in this BILLING CODE 7020–02–P States, the sale for importation, and the investigation. Persons filing written submissions sale within the United States after must file the original document importation of certain road construction INTERNATIONAL TRADE electronically on or before the deadlines machines and components thereof. The COMMISSION stated above and submit 8 true paper complaint names as respondents copies to the Office of the Secretary by Notice of Receipt of Complaint; Wirtgen GmbH of Germany; Joseph V noon the next day pursuant to § 210.4(f) Solicitation of Comments Relating to gele AG of Germany; Wirtgen Group of the Commission’s Rules of Practice the Public Interest Holding GmbH of Germany; and and Procedure (19 CFR 210.4(f)). Wirtgen America, Inc. of Antioch, TN. AGENCY: Submissions should refer to the docket U.S. International Trade The complainant requests that the number (‘‘Docket No. 3270’’) in a Commission. Commission issue a limited exclusion prominent place on the cover page and/ ACTION: Notice. order, cease and desist orders, and or the first page. (See Handbook for impose a bond upon respondents’ SUMMARY: Notice is hereby given that Electronic Filing Procedures, Electronic alleged infringing articles during the 60- the U.S. International Trade Filing Procedures.) 1 Persons with day Presidential review period pursuant Commission has received a complaint questions regarding filing should to 19 U.S.C. 1337(j). entitled Certain Road Construction contact the Secretary (202–205–2000). Proposed respondents, other Machines and Components Thereof, DN Any person desiring to submit a interested parties, and members of the 3270; the Commission is soliciting document to the Commission in public are invited to file comments, not comments on any public interest issues confidence must request confidential to exceed five (5) pages in length, raised by the complaint or treatment. All such requests should be inclusive of attachments, on any public complainant’s filing pursuant to the directed to the Secretary to the interest issues raised by the complaint Commission’s Rules of Practice and Commission and must include a full or § 210.8(b) filing. Comments should Procedure. statement of the reasons why the address whether issuance of the relief Commission should grant such FOR FURTHER INFORMATION CONTACT: Lisa specifically requested by the treatment. See 19 CFR 201.6. Documents R. Barton, Secretary to the Commission, complainant in this investigation would for which confidential treatment by the U.S. International Trade Commission, affect the public health and welfare in Commission is properly sought will be 500 E Street SW., Washington, DC the United States, competitive treated accordingly. All such requests 20436, telephone (202) 205–2000. The conditions in the United States should be directed to the Secretary to public version of the complaint can be economy, the production of like or the Commission and must include a full accessed on the Commission’s directly competitive articles in the statement of the reasons why the Electronic Document Information United States, or United States Commission should grant such System (EDIS) at https://edis.usitc.gov, consumers. treatment. See 19 CFR 201.6. Documents and will be available for inspection In particular, the Commission is for which confidential treatment by the during official business hours (8:45 a.m. interested in comments that: Commission is properly sought will be to 5:15 p.m.) in the Office of the (i) Explain how the articles treated accordingly. All information, Secretary, U.S. International Trade potentially subject to the requested including confidential business Commission, 500 E Street SW., remedial orders are used in the United information and documents for which Washington, DC 20436, telephone (202) States; confidential treatment is properly 205–2000. (ii) identify any public health, safety, sought, submitted to the Commission for General information concerning the or welfare concerns in the United States purposes of this Investigation may be Commission may also be obtained by relating to the requested remedial disclosed to and used: (i) By the orders; 2 All contract personnel will sign appropriate nondisclosure agreements. (iii) identify like or directly 1 Handbook for Electronic Filing Procedures: 3 Electronic Document Information System competitive articles that complainant, https://www.usitc.gov/documents/handbook_on_ (EDIS): https://edis.usitc.gov. its licensees, or third parties make in the filing_procedures.pdf. VerDate Sep<11>2014 19:26 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00073 Fmt 4703 Sfmt 4703 E:\FR\FM\01NON1.SGM 01NON1 sradovich on DSK3GMQ082PROD with NOTICES Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Notices 50681 Commission, its employees and Offices, FOR FURTHER INFORMATION CONTACT: (4) The Domestic Industry is the U.S. and contract personnel (a) for Mary Messer (202–205–3193), Office of producers as a whole of the Domestic developing or maintaining the records Investigations, U.S. International Trade Like Product, or those producers whose of this or a related proceeding, or (b) in Commission, 500 E Street SW., collective output of the Domestic Like internal investigations, audits, reviews, Washington, DC 20436. Hearing- Product constitutes a major proportion and evaluations relating to the impaired persons can obtain of the total domestic production of the programs, personnel, and operations of information on this matter by contacting product. In its original determinations, the Commission including under 5 the Commission’s TDD terminal on 202– the Commission defined a single U.S.C. Appendix 3; or (ii) by U.S. 205–1810. Persons with mobility Domestic Industry as all producers of government employees and contract impairments who will need special CSPV cells and CSPV modules. One personnel,2 solely for cybersecurity assistance in gaining access to the firm was excluded from the Domestic purposes. All nonconfidential written Commission should contact the Office Industry under the related parties submissions will be available for public of the Secretary at 202–205–2000. provision. inspection at the Office of the Secretary General information concerning the (5) The Order Date is the date that the and on EDIS.3 Commission may also be obtained by antidumping and countervailing duty This action is taken under the accessing its internet server (https:// orders under review became effective. In authority of section 337 of the Tariff Act www.usitc.gov). The public record for these reviews, the Order Date is of 1930, as amended (19 U.S.C. 1337), this proceeding may be viewed on the December 7, 2012. and of §§ 201.10 and 210.8(c) of the Commission’s electronic docket (EDIS) (6) An Importer is any person or firm Commission’s Rules of Practice and at https://edis.usitc.gov. engaged, either directly or through a Procedure (19 CFR 201.10, 210.8(c)). SUPPLEMENTARY INFORMATION: parent company or subsidiary, in Background.—On December 7, 2012, importing the Subject Merchandise into By order of the Commission. the Department of Commerce issued the United States from a foreign Issued: October 26, 2017. antidumping and countervailing duty manufacturer or through its selling Lisa R. Barton, orders on imports of crystalline silicon agent. Secretary to the Commission. photovoltaic cells and modules from Participation in the proceeding and [FR Doc. 2017–23730 Filed 10–31–17; 8:45 am] China (77 FR 73017–73021). The public service list.—Persons, including BILLING CODE 7020–02–P Commission is conducting reviews industrial users of the Subject pursuant to section 751(c) of the Act, as Merchandise and, if the merchandise is amended (19 U.S.C. 1675(c)), to sold at the retail level, representative INTERNATIONAL TRADE determine whether revocation of the consumer organizations, wishing to COMMISSION orders would be likely to lead to participate in the proceeding as parties continuation or recurrence of material must file an entry of appearance with [Investigation Nos. 701–TA–481 and 731– injury to the domestic industry within the Secretary to the Commission, as TA–1190 (Review)] a reasonably foreseeable time. provided in section 201.11(b)(4) of the Provisions concerning the conduct of Commission’s rules, no later than 21 Crystalline Silicon Photovoltaic Cells this proceeding may be found in the days after publication of this notice in and Modules From China; Institution of Commission’s Rules of Practice and the Federal Register. The Secretary will Five-Year Reviews Procedure at 19 CFR parts 201, subparts maintain a public service list containing A and B and 19 CFR part 207, subparts the names and addresses of all persons, AGENCY: United States International A and F. The Commission will assess or their representatives, who are parties Trade Commission. the adequacy of interested party to the proceeding. ACTION: Notice. responses to this notice of institution to Former Commission employees who determine whether to conduct full or are seeking to appear in Commission SUMMARY: The Commission hereby gives expedited reviews. The Commission’s five-year reviews are advised that they notice that it has instituted reviews determinations in any expedited may appear in a review even if they pursuant to the Tariff Act of 1930 (‘‘the reviews will be based on the facts participated personally and Act’’), as amended, to determine available, which may include substantially in the corresponding whether revocation of the antidumping information provided in response to this underlying original investigation or an and countervailing duty orders on notice. earlier review of the same underlying crystalline silicon photovoltaic cells and Definitions.—The following investigation. The Commission’s modules from China would be likely to definitions apply to these reviews: designated agency ethics official has lead to continuation or recurrence of (1) Subject Merchandise is the class or advised that a five-year review is not the material injury. Pursuant to the Act, kind of merchandise that is within the same particular matter as the underlying interested parties are requested to scope of the five-year reviews, as original investigation, and a five-year respond to this notice by submitting the defined by the Department of review is not the same particular matter information specified below to the Commerce. as an earlier review of the same Commission. (2) The Subject Country in these underlying investigation for purposes of DATES: Instituted November 1, 2017. To reviews is China. 18 U.S.C. 207, the post employment be assured of consideration, the (3) The Domestic Like Product is the statute for Federal employees, and deadline for responses is December 1, domestically produced product or Commission rule 201.15(b) (19 CFR 2017. Comments on the adequacy of products which are like, or in the 201.15(b)), 79 FR 3246 (Jan. 17, 2014), responses may be filed with the absence of like, most similar in 73 FR 24609 (May 5, 2008). Commission by January 16, 2018. characteristics and uses with, the Consequently, former employees are not Subject Merchandise. In its original required to seek Commission approval determinations, the Commission to appear in a review under Commission 2 All contract personnel will sign appropriate nondisclosure agreements. defined a single Domestic Like Product, rule 19 CFR 201.15, even if the 3 Electronic Document Information System CPSV cells and CPSV modules, corresponding underlying original (EDIS): https://edis.usitc.gov. corresponding to Commerce’s scope. investigation or an earlier review of the VerDate Sep<11>2014 18:16 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00074 Fmt 4703 Sfmt 4703 E:\FR\FM\01NON1.SGM 01NON1 sradovich on DSK3GMQ082PROD with NOTICES 50682 Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Notices same underlying investigation was Commission’s rules; any submissions Product, a U.S. union or worker group, pending when they were Commission that contain BPI must also conform with a U.S. importer of the Subject employees. For further ethics advice on the requirements of sections 201.6, Merchandise, a foreign producer or this matter, contact Charles Smith, 207.3, and 207.7 of the Commission’s exporter of the Subject Merchandise, a Deputy Agency Ethics Official, at 202– rules. The Commission’s Handbook on U.S. or foreign trade or business 205–3408. E-Filing, available on the Commission’s association (a majority of whose Limited disclosure of business Web site at https://edis.usitc.gov, members are interested parties under proprietary information (BPI) under an elaborates upon the Commission’s rules the statute), or another interested party administrative protective order (APO) with respect to electronic filing. Also, in (including an explanation). If you are a and APO service list.—Pursuant to accordance with sections 201.16(c) and union/worker group or trade/business section 207.7(a) of the Commission’s 207.3 of the Commission’s rules, each association, identify the firms in which rules, the Secretary will make BPI document filed by a party to the your workers are employed or which are submitted in this proceeding available proceeding must be served on all other members of your association. to authorized applicants under the APO parties to the proceeding (as identified (3) A statement indicating whether issued in the proceeding, provided that by either the public or APO service list your firm/entity is willing to participate the application is made no later than 21 as appropriate), and a certificate of in this proceeding by providing days after publication of this notice in service must accompany the document information requested by the the Federal Register. Authorized (if you are not a party to the proceeding Commission. applicants must represent interested you do not need to serve your response). (4) A statement of the likely effects of parties, as defined in 19 U.S.C. 1677(9), No response to this request for the revocation of the antidumping and who are parties to the proceeding. A information is required if a currently countervailing duty orders on the separate service list will be maintained valid Office of Management and Budget Domestic Industry in general and/or by the Secretary for those parties (‘‘OMB’’) number is not displayed; the your firm/entity specifically. In your authorized to receive BPI under the OMB number is 3117 0016/USITC No. response, please discuss the various APO. 17–5–397, expiration date June 30, factors specified in section 752(a) of the Certification.—Pursuant to section 2020. Public reporting burden for the Act (19 U.S.C. 1675a(a)) including the 207.3 of the Commission’s rules, any request is estimated to average 15 hours likely volume of subject imports, likely person submitting information to the per response. Please send comments price effects of subject imports, and Commission in connection with this regarding the accuracy of this burden likely impact of imports of Subject proceeding must certify that the estimate to the Office of Investigations, Merchandise on the Domestic Industry. information is accurate and complete to U.S. International Trade Commission, (5) A list of all known and currently the best of the submitter’s knowledge. In 500 E Street SW., Washington, DC operating U.S. producers of the making the certification, the submitter 20436. will acknowledge that information Inability to provide requested Domestic Like Product. Identify any submitted in response to this request for information.—Pursuant to section known related parties and the nature of information and throughout this 207.61(c) of the Commission’s rules, any the relationship as defined in section proceeding or other proceeding may be interested party that cannot furnish the 771(4)(B) of the Act (19 U.S.C. disclosed to and used: (i) By the information requested by this notice in 1677(4)(B)). Commission, its employees and Offices, the requested form and manner shall (6) A list of all known and currently and contract personnel (a) for notify the Commission at the earliest operating U.S. importers of the Subject developing or maintaining the records possible time, provide a full explanation Merchandise and producers of the of this or a related proceeding, or (b) in of why it cannot provide the requested Subject Merchandise in the Subject internal investigations, audits, reviews, information, and indicate alternative Country that currently export or have and evaluations relating to the forms in which it can provide exported Subject Merchandise to the programs, personnel, and operations of equivalent information. If an interested United States or other countries since the Commission including under 5 party does not provide this notification the Order Date. U.S.C. Appendix 3; or (ii) by U.S. (or the Commission finds the (7) A list of 3–5 leading purchasers in government employees and contract explanation provided in the notification the U.S. market for the Domestic Like personnel, solely for cybersecurity inadequate) and fails to provide a Product and the Subject Merchandise purposes. All contract personnel will complete response to this notice, the (including street address, World Wide sign appropriate nondisclosure Commission may take an adverse Web address, and the name, telephone agreements. inference against the party pursuant to number, fax number, and Email address Written submissions.—Pursuant to section 776(b) of the Act (19 U.S.C. of a responsible official at each firm). section 207.61 of the Commission’s 1677e(b)) in making its determinations (8) A list of known sources of rules, each interested party response to in the reviews. information on national or regional this notice must provide the information Information To Be Provided in prices for the Domestic Like Product or specified below. The deadline for filing Response to This Notice of Institution: the Subject Merchandise in the U.S. or such responses is December 1, 2017. As used below, the term ‘‘firm’’ includes other markets. Pursuant to section 207.62(b) of the any related firms. (9) If you are a U.S. producer of the Commission’s rules, eligible parties (as (1) The name and address of your firm Domestic Like Product, provide the specified in Commission rule or entity (including World Wide Web following information on your firm’s 207.62(b)(1)) may also file comments address) and name, telephone number, operations on that product during concerning the adequacy of responses to fax number, and Email address of the calendar year 2016, except as noted the notice of institution and whether the certifying official. (report quantity data in kilowatts and Commission should conduct expedited (2) A statement indicating whether value data in U.S. dollars, f.o.b. plant). or full reviews. The deadline for filing your firm/entity is an interested party If you are a union/worker group or such comments is January 16, 2018. All under 19 U.S.C. 1677(9) and if so, how, trade/business association, provide the written submissions must conform with including whether your firm/entity is a information, on an aggregate basis, for the provisions of section 201.8 of the U.S. producer of the Domestic Like the firms in which your workers are VerDate Sep<11>2014 18:16 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00075 Fmt 4703 Sfmt 4703 E:\FR\FM\01NON1.SGM 01NON1 sradovich on DSK3GMQ082PROD with NOTICES Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Notices 50683 employed/which are members of your Subject Merchandise imported from the Domestic Like Product produced in the association. Subject Country. United States, Subject Merchandise (a) Production (quantity) and, if (11) If you are a producer, an exporter, produced in the Subject Country, and known, an estimate of the percentage of or a trade/business association of such merchandise from other countries. total U.S. production of the Domestic producers or exporters of the Subject (13) (OPTIONAL) A statement of Like Product accounted for by your Merchandise in the Subject Country, whether you agree with the above firm’s(s’) production; provide the following information on definitions of the Domestic Like Product (b) Capacity (quantity) of your firm to your firm’s(s’) operations on that and Domestic Industry; if you disagree produce the Domestic Like Product (that product during calendar year 2016 with either or both of these definitions, is, the level of production that your (report quantity data in kilowatts and please explain why and provide establishment(s) could reasonably have value data in U.S. dollars, landed and alternative definitions. expected to attain during the year, duty-paid at the U.S. port but not Authority: This proceeding is being assuming normal operating conditions including antidumping or conducted under authority of Title VII of the (using equipment and machinery in countervailing duties). If you are a Tariff Act of 1930; this notice is published place and ready to operate), normal trade/business association, provide the pursuant to section 207.61 of the operating levels (hours per week/weeks information, on an aggregate basis, for Commission’s rules. per year), time for downtime, the firms which are members of your By order of the Commission. association. maintenance, repair, and cleanup, and a Issued: October 26, 2017. typical or representative product mix); (a) Production (quantity) and, if known, an estimate of the percentage of Lisa R. Barton, (c) The quantity and value of U.S. Secretary to the Commission. commercial shipments of the Domestic total production of Subject Merchandise [FR Doc. 2017–23654 Filed 10–31–17; 8:45 am] Like Product produced in your U.S. in the Subject Country accounted for by plant(s); your firm’s(s’) production; BILLING CODE 7020–02–P (b) Capacity (quantity) of your firm(s) (d) The quantity and value of U.S. to produce the Subject Merchandise in internal consumption/company the Subject Country (that is, the level of INTERNATIONAL TRADE transfers of the Domestic Like Product production that your establishment(s) COMMISSION produced in your U.S. plant(s); and could reasonably have expected to (e) The value of (i) net sales, (ii) cost [Investigation No. 731–TA–893 (Third attain during the year, assuming normal Review)] of goods sold (COGS), (iii) gross profit, operating conditions (using equipment (iv) selling, general and administrative and machinery in place and ready to Honey From China; Institution of a (SG&A) expenses, and (v) operating operate), normal operating levels (hours Five-Year Review income of the Domestic Like Product per week/weeks per year), time for produced in your U.S. plant(s) (include downtime, maintenance, repair, and AGENCY: United States International both U.S. and export commercial sales, cleanup, and a typical or representative Trade Commission. internal consumption, and company product mix); and ACTION: Notice. transfers) for your most recently (c) The quantity and value of your SUMMARY: completed fiscal year (identify the date firm’s(s’) exports to the United States of The Commission hereby gives on which your fiscal year ends). Subject Merchandise and, if known, an notice that it has instituted a review (10) If you are a U.S. importer or a estimate of the percentage of total pursuant to the Tariff Act of 1930 (‘‘the trade/business association of U.S. exports to the United States of Subject Act’’), as amended, to determine importers of the Subject Merchandise Merchandise from the Subject Country whether revocation of the antidumping from the Subject Country, provide the accounted for by your firm’s(s’) exports. duty order on honey from China would following information on your firm’s(s’) (12) Identify significant changes, if be likely to lead to continuation or operations on that product during any, in the supply and demand recurrence of material injury. Pursuant calendar year 2016 (report quantity data conditions or business cycle for the to the Act, interested parties are in kilowatts and value data in U.S. Domestic Like Product that have requested to respond to this notice by dollars). If you are a trade/business occurred in the United States or in the submitting the information specified association, provide the information, on market for the Subject Merchandise in below to the Commission. an aggregate basis, for the firms which the Subject Country since the Order DATES: Instituted November 1, 2017. To are members of your association. Date, and significant changes, if any, be assured of consideration, the (a) The quantity and value (landed, that are likely to occur within a deadline for responses is December 1, duty-paid but not including reasonably foreseeable time. Supply 2017. Comments on the adequacy of antidumping or countervailing duties) conditions to consider include responses may be filed with the of U.S. imports and, if known, an technology; production methods; Commission by January 16, 2018. estimate of the percentage of total U.S. development efforts; ability to increase FOR FURTHER INFORMATION CONTACT: imports of Subject Merchandise from production (including the shift of Mary Messer (202–205–3193), Office of the Subject Country accounted for by production facilities used for other Investigations, U.S. International Trade your firm’s(s’) imports; products and the use, cost, or Commission, 500 E Street SW., (b) The quantity and value (f.o.b. U.S. availability of major inputs into Washington, DC 20436. Hearing- port, including antidumping and/or production); and factors related to the impaired persons can obtain countervailing duties) of U.S. ability to shift supply among different information on this matter by contacting commercial shipments of Subject national markets (including barriers to the Commission’s TDD terminal on 202– Merchandise imported from the Subject importation in foreign markets or 205–1810. Persons with mobility Country; and changes in market demand abroad). impairments who will need special (c) The quantity and value (f.o.b. U.S. Demand conditions to consider include assistance in gaining access to the port, including antidumping and/or end uses and applications; the existence Commission should contact the Office countervailing duties) of U.S. internal and availability of substitute products; of the Secretary at 202–205–2000. consumption/company transfers of and the level of competition among the General information concerning the VerDate Sep<11>2014 18:16 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00076 Fmt 4703 Sfmt 4703 E:\FR\FM\01NON1.SGM 01NON1 sradovich on DSK3GMQ082PROD with NOTICES 50684 Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Notices Commission may also be obtained by collective output of the Domestic Like Deputy Agency Ethics Official, at 202– accessing its internet server (https:// Product constitutes a major proportion 205–3408. www.usitc.gov). The public record for of the total domestic production of the Limited disclosure of business this proceeding may be viewed on the product. In its original determination proprietary information (BPI) under an Commission’s electronic docket (EDIS) and its expedited first and second five- administrative protective order (APO) at https://edis.usitc.gov. year review determinations, the and APO service list.—Pursuant to SUPPLEMENTARY INFORMATION: Commission found a single Domestic section 207.7(a) of the Commission’s Background.—On December 10, 2001, Industry consisting of the U.S. rules, the Secretary will make BPI the Department of Commerce issued an producers of honey, both raw and submitted in this proceeding available antidumping duty order on imports of processed. The Commission also found to authorized applicants under the APO honey from China (66 FR 63672). that packers, who produce processed issued in the proceeding, provided that Following the first five-year reviews by honey, as well as beekeepers, who the application is made no later than 21 Commerce and the Commission, produce raw honey, should be treated as days after publication of this notice in effective August 2, 2007, Commerce U.S. producers. the Federal Register. Authorized issued a continuation of the (5) An Importer is any person or firm applicants must represent interested antidumping duty order on honey from engaged, either directly or through a parties, as defined in 19 U.S.C. 1677(9), China (72 FR 42384). Following the parent company or subsidiary, in who are parties to the proceeding. A second five-year reviews by Commerce importing the Subject Merchandise into separate service list will be maintained the United States from a foreign by the Secretary for those parties and the Commission, effective manufacturer or through its selling authorized to receive BPI under the December 13, 2012, Commerce issued a agent. APO. continuation of the antidumping duty Participation in the proceeding and Certification.—Pursuant to section order on imports of honey from China public service list.—Persons, including 207.3 of the Commission’s rules, any (77 FR 74173). The Commission is now industrial users of the Subject person submitting information to the conducting a third review pursuant to Merchandise and, if the merchandise is Commission in connection with this section 751(c) of the Act, as amended sold at the retail level, representative proceeding must certify that the (19 U.S.C. 1675(c)), to determine consumer organizations, wishing to information is accurate and complete to whether revocation of the order would participate in the proceeding as parties the best of the submitter’s knowledge. In be likely to lead to continuation or must file an entry of appearance with making the certification, the submitter recurrence of material injury to the the Secretary to the Commission, as will acknowledge that information domestic industry within a reasonably provided in section 201.11(b)(4) of the submitted in response to this request for foreseeable time. Provisions concerning Commission’s rules, no later than 21 information and throughout this the conduct of this proceeding may be days after publication of this notice in proceeding or other proceeding may be found in the Commission’s Rules of the Federal Register. The Secretary will disclosed to and used: (i) By the Practice and Procedure at 19 CFR parts maintain a public service list containing Commission, its employees and Offices, 201, subparts A and B and 19 CFR part the names and addresses of all persons, and contract personnel (a) for 207, subparts A and F. The Commission or their representatives, who are parties developing or maintaining the records will assess the adequacy of interested to the proceeding. of this or a related proceeding, or (b) in party responses to this notice of Former Commission employees who internal investigations, audits, reviews, institution to determine whether to are seeking to appear in Commission and evaluations relating to the conduct a full review or an expedited five-year reviews are advised that they programs, personnel, and operations of review. The Commission’s may appear in a review even if they the Commission including under 5 determination in any expedited review participated personally and U.S.C. Appendix 3; or (ii) by U.S. will be based on the facts available, substantially in the corresponding government employees and contract which may include information underlying original investigation or an personnel, solely for cybersecurity provided in response to this notice. earlier review of the same underlying purposes. All contract personnel will Definitions.—The following investigation. The Commission’s sign appropriate nondisclosure definitions apply to this review: designated agency ethics official has agreements. (1) Subject Merchandise is the class or advised that a five-year review is not the Written submissions.—Pursuant to kind of merchandise that is within the same particular matter as the underlying section 207.61 of the Commission’s scope of the five-year review, as defined original investigation, and a five-year rules, each interested party response to by the Department of Commerce. review is not the same particular matter this notice must provide the information (2) The Subject Country in this review as an earlier review of the same specified below. The deadline for filing is China. underlying investigation for purposes of such responses is December 1, 2017. (3) The Domestic Like Product is the 18 U.S.C. 207, the post employment Pursuant to section 207.62(b) of the domestically produced product or statute for Federal employees, and Commission’s rules, eligible parties (as products which are like, or in the Commission rule 201.15(b) (19 CFR specified in Commission rule absence of like, most similar in 201.15(b)), 79 FR 3246 (Jan. 17, 2014), 207.62(b)(1)) may also file comments characteristics and uses with, the 73 FR 24609 (May 5, 2008). concerning the adequacy of responses to Subject Merchandise. In its original Consequently, former employees are not the notice of institution and whether the determination and its expedited first required to seek Commission approval Commission should conduct an and second five-year review to appear in a review under Commission expedited or full review. The deadline determinations, the Commission found rule 19 CFR 201.15, even if the for filing such comments is January 16, that there was one Domestic Like corresponding underlying original 2018. All written submissions must Product consisting of all honey, investigation or an earlier review of the conform with the provisions of section consistent with Commerce’s scope. same underlying investigation was 201.8 of the Commission’s rules; any (4) The Domestic Industry is the U.S. pending when they were Commission submissions that contain BPI must also producers as a whole of the Domestic employees. For further ethics advice on conform with the requirements of Like Product, or those producers whose this matter, contact Charles Smith, sections 201.6, 207.3, and 207.7 of the VerDate Sep<11>2014 18:16 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00077 Fmt 4703 Sfmt 4703 E:\FR\FM\01NON1.SGM 01NON1 sradovich on DSK3GMQ082PROD with NOTICES Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Notices 50685 Commission’s rules. The Commission’s exporter of the Subject Merchandise, a the percentage of total U.S. production Handbook on E-Filing, available on the U.S. or foreign trade or business and/or packing of the Domestic Like Commission’s Web site at https:// association (a majority of whose Product accounted for by your firm’s(s’) edis.usitc.gov, elaborates upon the members are interested parties under production and/or packing; Commission’s rules with respect to the statute), or another interested party (b) Number of domestic honey electronic filing. Also, in accordance (including an explanation). If you are a producing colonies, including yield per with sections 201.16(c) and 207.3 of the union/worker group or trade/business colony (quantity), and/or capacity Commission’s rules, each document association, identify the firms in which (quantity) of your firm to produce the filed by a party to the proceeding must your workers are employed or which are Domestic Like Product (that is, the level be served on all other parties to the members of your association. of production that your establishment(s) proceeding (as identified by either the (3) A statement indicating whether could reasonably have expected to public or APO service list as your firm/entity is willing to participate attain during the year, assuming normal appropriate), and a certificate of service in this proceeding by providing operating conditions (using equipment must accompany the document (if you information requested by the and machinery in place and ready to are not a party to the proceeding you do Commission. operate), normal operating levels (hours not need to serve your response). (4) A statement of the likely effects of per week/weeks per year), time for No response to this request for the revocation of the antidumping duty downtime, maintenance, repair, and information is required if a currently order on the Domestic Industry in cleanup, and a typical or representative valid Office of Management and Budget general and/or your firm/entity product mix); (‘‘OMB’’) number is not displayed; the specifically. In your response, please (c) The quantity and value of U.S. OMB number is 3117 0016/USITC No. discuss the various factors specified in commercial shipments of the Domestic 17–5–398, expiration date June 30, section 752(a) of the Act (19 U.S.C. Like Product produced in your U.S. 2020. Public reporting burden for the 1675a(a)) including the likely volume of plant(s); request is estimated to average 15 hours subject imports, likely price effects of (d) The quantity and value of U.S. per response. Please send comments subject imports, and likely impact of internal consumption/company regarding the accuracy of this burden imports of Subject Merchandise on the transfers of the Domestic Like Product estimate to the Office of Investigations, Domestic Industry. produced in your U.S. plant(s); and (5) A list of all known and currently U.S. International Trade Commission, (e) The value of (i) net sales, (ii) cost 500 E Street SW., Washington, DC operating U.S. producers of the of goods sold (COGS), (iii) gross profit, 20436. Domestic Like Product. Identify any (iv) selling, general and administrative Inability to provide requested known related parties and the nature of (SG&A) expenses, and (v) operating information.—Pursuant to section the relationship as defined in section income of the Domestic Like Product 207.61(c) of the Commission’s rules, any 771(4)(B) of the Act (19 U.S.C. produced in your U.S. plant(s) (include interested party that cannot furnish the 1677(4)(B)). information requested by this notice in (6) A list of all known and currently both U.S. and export commercial sales, the requested form and manner shall operating U.S. importers of the Subject internal consumption, and company notify the Commission at the earliest Merchandise and producers of the transfers) for your most recently possible time, provide a full explanation Subject Merchandise in the Subject completed fiscal year (identify the date of why it cannot provide the requested Country that currently export or have on which your fiscal year ends). information, and indicate alternative exported Subject Merchandise to the (10) If you are a U.S. importer or a forms in which it can provide United States or other countries after trade/business association of U.S. equivalent information. If an interested 2011. importers of the Subject Merchandise party does not provide this notification (7) A list of 3–5 leading purchasers in from the Subject Country, provide the (or the Commission finds the the U.S. market for the Domestic Like following information on your firm’s(s’) explanation provided in the notification Product and the Subject Merchandise operations on that product during inadequate) and fails to provide a (including street address, World Wide calendar year 2016 (report quantity data complete response to this notice, the Web address, and the name, telephone in pounds and value data in U.S. Commission may take an adverse number, fax number, and Email address dollars). If you are a trade/business inference against the party pursuant to of a responsible official at each firm). association, provide the information, on section 776(b) of the Act (19 U.S.C. (8) A list of known sources of an aggregate basis, for the firms which 1677e(b)) in making its determination in information on national or regional are members of your association. the review. prices for the Domestic Like Product or (a) The quantity and value (landed, Information To Be Provided in the Subject Merchandise in the U.S. or duty-paid but not including Response to This Notice of Institution: other markets. antidumping duties) of U.S. imports As used below, the term ‘‘firm’’ includes (9) If you are a U.S. producer of the and, if known, an estimate of the any related firms. Domestic Like Product, provide the percentage of total U.S. imports of (1) The name and address of your firm following information on your firm’s Subject Merchandise from the Subject or entity (including World Wide Web operations on that product during Country accounted for by your firm’s(s’) address) and name, telephone number, calendar year 2016, except as noted imports; fax number, and Email address of the (report quantity data in pounds and (b) the quantity and value (f.o.b. U.S. certifying official. value data in U.S. dollars, f.o.b. plant). port, including antidumping duties) of (2) A statement indicating whether If you are a union/worker group or U.S. commercial shipments of Subject your firm/entity is an interested party trade/business association, provide the Merchandise imported from the Subject under 19 U.S.C. 1677(9) and if so, how, information, on an aggregate basis, for Country; and including whether your firm/entity is a the firms in which your workers are (c) the quantity and value (f.o.b. U.S. U.S. producer of the Domestic Like employed/which are members of your port, including antidumping duties) of Product, a U.S. union or worker group, association. U.S. internal consumption/company a U.S. importer of the Subject (a) Production and/or packing transfers of Subject Merchandise Merchandise, a foreign producer or (quantity) and, if known, an estimate of imported from the Subject Country. VerDate Sep<11>2014 18:16 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00078 Fmt 4703 Sfmt 4703 E:\FR\FM\01NON1.SGM 01NON1 sradovich on DSK3GMQ082PROD with NOTICES 50686 Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Notices (11) If you are a producer, an exporter, Country, and such merchandise from Commission may also be obtained by or a trade/business association of other countries. accessing its internet server (https:// producers or exporters of the Subject (13) (OPTIONAL) A statement of www.usitc.gov). The public record for Merchandise in the Subject Country, whether you agree with the above this proceeding may be viewed on the provide the following information on definitions of the Domestic Like Product Commission’s electronic docket (EDIS) your firm’s(s’) operations on that and Domestic Industry; if you disagree at https://edis.usitc.gov. product during calendar year 2016 with either or both of these definitions, SUPPLEMENTARY INFORMATION: (report quantity data in pounds and please explain why and provide Background.—On December 10, 2012, value data in U.S. dollars, landed and alternative definitions. the Department of Commerce issued an duty-paid at the U.S. port but not Authority: This proceeding is being antidumping duty order on imports of including antidumping duties). If you conducted under authority of title VII of steel wire garment hangers from Taiwan are a trade/business association, provide the Tariff Act of 1930; this notice is (77 FR 73424). On February 5, 2013, the the information, on an aggregate basis, published pursuant to section 207.61 of Department of Commerce issued for the firms which are members of your the Commission’s rules. antidumping and countervailing duty association. By order of the Commission. orders on imports of steel wire garment (a) Production (quantity) and, if Issued: October 26, 2017. hangers from Vietnam (78 FR 8105– 8108). The Commission is conducting known, an estimate of the percentage of Lisa R. Barton, reviews pursuant to section 751(c) of the total production of Subject Merchandise Secretary to the Commission. in the Subject Country accounted for by Act, as amended (19 U.S.C. 1675(c)), to your firm’s(s’) production; [FR Doc. 2017–23655 Filed 10–31–17; 8:45 am] determine whether revocation of the (b) Capacity (quantity) of your firm(s) BILLING CODE 7020–02–P orders would be likely to lead to to produce the Subject Merchandise in continuation or recurrence of material the Subject Country (that is, the level of injury to the domestic industry within INTERNATIONAL TRADE a reasonably foreseeable time. production that your establishment(s) COMMISSION could reasonably have expected to Provisions concerning the conduct of attain during the year, assuming normal [Investigation Nos. 701–TA–487 and 731– this proceeding may be found in the operating conditions (using equipment TA–1197–1198 (Review)] Commission’s Rules of Practice and and machinery in place and ready to Procedure at 19 CFR parts 201, subparts Steel Wire Garment Hangers From operate), normal operating levels (hours A and B and 19 CFR part 207, subparts Taiwan and Vietnam; Institution of per week/weeks per year), time for A and F. The Commission will assess Five-Year Reviews downtime, maintenance, repair, and the adequacy of interested party cleanup, and a typical or representative AGENCY: United States International responses to this notice of institution to product mix); and Trade Commission. determine whether to conduct full or expedited reviews. The Commission’s (c) The quantity and value of your ACTION: Notice. firm’s(s’) exports to the United States of determinations in any expedited Subject Merchandise and, if known, an SUMMARY: The Commission hereby gives reviews will be based on the facts estimate of the percentage of total notice that it has instituted reviews available, which may include information provided in response to this exports to the United States of Subject pursuant to the Tariff Act of 1930 (‘‘the notice. Merchandise from the Subject Country Act’’), as amended, to determine whether revocation of the antidumping Definitions.—The following accounted for by your firm’s(s’) exports. definitions apply to these reviews: (12) Identify significant changes, if and countervailing duty orders on steel wire garment hangers from Taiwan and (1) Subject Merchandise is the class or any, in the supply and demand kind of merchandise that is within the conditions or business cycle for the Vietnam would be likely to lead to continuation or recurrence of material scope of the five-year reviews, as Domestic Like Product that have defined by the Department of injury. Pursuant to the Act, interested occurred in the United States or in the Commerce. parties are requested to respond to this market for the Subject Merchandise in (2) The Subject Countries in these the Subject Country after 2011, and notice by submitting the information reviews are Taiwan and Vietnam. significant changes, if any, that are specified below to the Commission. (3) The Domestic Like Product is the likely to occur within a reasonably DATES: Instituted November 1, 2017. To domestically produced product or foreseeable time. Supply conditions to be assured of consideration, the products which are like, or in the consider include technology; deadline for responses is December 1, absence of like, most similar in production methods; development 2017. Comments on the adequacy of characteristics and uses with, the efforts; ability to increase production responses may be filed with the Subject Merchandise. In its original (including the shift of production Commission by January 16, 2018. determinations, the Commission facilities used for other products and the FOR FURTHER INFORMATION CONTACT: defined a single Domestic Like Product use, cost, or availability of major inputs Mary Messer (202–205–3193), Office of consisting of steel wire garment hangers into production); and factors related to Investigations, U.S. International Trade that is coextensive with Commerce’s the ability to shift supply among Commission, 500 E Street SW., scope. different national markets (including Washington, DC 20436. Hearing- (4) The Domestic Industry is the U.S. barriers to importation in foreign impaired persons can obtain producers as a whole of the Domestic markets or changes in market demand information on this matter by contacting Like Product, or those producers whose abroad). Demand conditions to consider the Commission’s TDD terminal on 202– collective output of the Domestic Like include end uses and applications; the 205–1810. Persons with mobility Product constitutes a major proportion existence and availability of substitute impairments who will need special of the total domestic production of the products; and the level of competition assistance in gaining access to the product. In its original determinations, among the Domestic Like Product Commission should contact the Office the Commission defined a single produced in the United States, Subject of the Secretary at 202–205–2000. Domestic Industry as all producers of Merchandise produced in the Subject General information concerning the steel wire garment hangers. VerDate Sep<11>2014 18:16 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00079 Fmt 4703 Sfmt 4703 E:\FR\FM\01NON1.SGM 01NON1 sradovich on DSK3GMQ082PROD with NOTICES Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Notices 50687 (5) The Order Dates are the dates that submitted in this proceeding available proceeding must be served on all other the antidumping and countervailing to authorized applicants under the APO parties to the proceeding (as identified duty orders under review became issued in the proceeding, provided that by either the public or APO service list effective. In these reviews, the Order the application is made no later than 21 as appropriate), and a certificate of Dates are December 10, 2012 (Taiwan) days after publication of this notice in service must accompany the document and February 5, 2013 (Vietnam). the Federal Register. Authorized (if you are not a party to the proceeding (6) An Importer is any person or firm applicants must represent interested you do not need to serve your response). engaged, either directly or through a parties, as defined in 19 U.S.C. 1677(9), No response to this request for parent company or subsidiary, in who are parties to the proceeding. A information is required if a currently importing the Subject Merchandise into separate service list will be maintained valid Office of Management and Budget the United States from a foreign by the Secretary for those parties (‘‘OMB’’) number is not displayed; the manufacturer or through its selling authorized to receive BPI under the OMB number is 3117 0016/USITC No. agent. APO. 17–5–399, expiration date June 30, Participation in the proceeding and Certification.—Pursuant to section 2020. Public reporting burden for the public service list.—Persons, including 207.3 of the Commission’s rules, any request is estimated to average 15 hours industrial users of the Subject person submitting information to the per response. Please send comments Merchandise and, if the merchandise is Commission in connection with this regarding the accuracy of this burden sold at the retail level, representative proceeding must certify that the estimate to the Office of Investigations, consumer organizations, wishing to information is accurate and complete to U.S. International Trade Commission, participate in the proceeding as parties the best of the submitter’s knowledge. In 500 E Street SW., Washington, DC must file an entry of appearance with making the certification, the submitter 20436. the Secretary to the Commission, as will acknowledge that information Inability to provide requested provided in section 201.11(b)(4) of the submitted in response to this request for information.—Pursuant to section Commission’s rules, no later than 21 information and throughout this 207.61(c) of the Commission’s rules, any days after publication of this notice in proceeding or other proceeding may be interested party that cannot furnish the the Federal Register. The Secretary will disclosed to and used: (i) By the information requested by this notice in maintain a public service list containing Commission, its employees and Offices, the requested form and manner shall the names and addresses of all persons, and contract personnel (a) for notify the Commission at the earliest or their representatives, who are parties developing or maintaining the records possible time, provide a full explanation to the proceeding. of this or a related proceeding, or (b) in of why it cannot provide the requested Former Commission employees who internal investigations, audits, reviews, information, and indicate alternative are seeking to appear in Commission and evaluations relating to the forms in which it can provide five-year reviews are advised that they programs, personnel, and operations of equivalent information. If an interested may appear in a review even if they the Commission including under 5 party does not provide this notification participated personally and U.S.C. Appendix 3; or (ii) by U.S. (or the Commission finds the substantially in the corresponding government employees and contract explanation provided in the notification underlying original investigation or an personnel, solely for cybersecurity inadequate) and fails to provide a earlier review of the same underlying purposes. All contract personnel will complete response to this notice, the investigation. The Commission’s sign appropriate nondisclosure Commission may take an adverse designated agency ethics official has agreements. inference against the party pursuant to advised that a five-year review is not the Written submissions.—Pursuant to section 776(b) of the Act (19 U.S.C. same particular matter as the underlying section 207.61 of the Commission’s 1677e(b)) in making its determinations original investigation, and a five-year rules, each interested party response to in the reviews. review is not the same particular matter this notice must provide the information Information To Be Provided in as an earlier review of the same specified below. The deadline for filing Response to This Notice of Institution: If underlying investigation for purposes of such responses is December 1, 2017. you are a domestic producer, union/ 18 U.S.C. 207, the post employment Pursuant to section 207.62(b) of the worker group, or trade/business statute for Federal employees, and Commission’s rules, eligible parties (as association; import/export Subject Commission rule 201.15(b) (19 CFR specified in Commission rule Merchandise from more than one 201.15(b)), 79 FR 3246 (Jan. 17, 2014), 207.62(b)(1)) may also file comments Subject Country; or produce Subject 73 FR 24609 (May 5, 2008). concerning the adequacy of responses to Merchandise in more than one Subject Consequently, former employees are not the notice of institution and whether the Country, you may file a single response. required to seek Commission approval Commission should conduct expedited If you do so, please ensure that your to appear in a review under Commission or full reviews. The deadline for filing response to each question includes the rule 19 CFR 201.15, even if the such comments is January 16, 2018. All information requested for each pertinent corresponding underlying original written submissions must conform with Subject Country. As used below, the investigation or an earlier review of the the provisions of section 201.8 of the term ‘‘firm’’ includes any related firms. same underlying investigation was Commission’s rules; any submissions (1) The name and address of your firm pending when they were Commission that contain BPI must also conform with or entity (including World Wide Web employees. For further ethics advice on the requirements of sections 201.6, address) and name, telephone number, this matter, contact Charles Smith, 207.3, and 207.7 of the Commission’s fax number, and Email address of the Deputy Agency Ethics Official, at 202– rules. The Commission’s Handbook on certifying official. 205–3408. E-Filing, available on the Commission’s (2) A statement indicating whether Limited disclosure of business Web site at https://edis.usitc.gov, your firm/entity is an interested party proprietary information (BPI) under an elaborates upon the Commission’s rules under 19 U.S.C. 1677(9) and if so, how, administrative protective order (APO) with respect to electronic filing. Also, in including whether your firm/entity is a and APO service list.—Pursuant to accordance with sections 201.16(c) and U.S. producer of the Domestic Like section 207.7(a) of the Commission’s 207.3 of the Commission’s rules, each Product, a U.S. union or worker group, rules, the Secretary will make BPI document filed by a party to the a U.S. importer of the Subject VerDate Sep<11>2014 18:16 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00080 Fmt 4703 Sfmt 4703 E:\FR\FM\01NON1.SGM 01NON1 sradovich on DSK3GMQ082PROD with NOTICES 50688 Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Notices Merchandise, a foreign producer or (a) Production (quantity) and, if (11) If you are a producer, an exporter, exporter of the Subject Merchandise, a known, an estimate of the percentage of or a trade/business association of U.S. or foreign trade or business total U.S. production of the Domestic producers or exporters of the Subject association (a majority of whose Like Product accounted for by your Merchandise in any Subject Country, members are interested parties under firm’s(s’) production; provide the following information on the statute), or another interested party (b) Capacity (quantity) of your firm to your firm’s(s’) operations on that (including an explanation). If you are a produce the Domestic Like Product (that product during calendar year 2016 union/worker group or trade/business is, the level of production that your (report quantity data in number of association, identify the firms in which establishment(s) could reasonably have hangers and value data in U.S. dollars, your workers are employed or which are expected to attain during the year, landed and duty-paid at the U.S. port members of your association. assuming normal operating conditions but not including antidumping or (3) A statement indicating whether (using equipment and machinery in countervailing duties). If you are a your firm/entity is willing to participate place and ready to operate), normal trade/business association, provide the in this proceeding by providing operating levels (hours per week/weeks information, on an aggregate basis, for information requested by the per year), time for downtime, the firms which are members of your Commission. maintenance, repair, and cleanup, and a association. (4) A statement of the likely effects of typical or representative product mix); (a) Production (quantity) and, if the revocation of the antidumping and (c) the quantity and value of U.S. known, an estimate of the percentage of countervailing duty orders on the commercial shipments of the Domestic total production of Subject Merchandise Domestic Industry in general and/or Like Product produced in your U.S. in each Subject Country accounted for your firm/entity specifically. In your plant(s); by your firm’s(s’) production; response, please discuss the various (d) the quantity and value of U.S. (b) Capacity (quantity) of your firm(s) to produce the Subject Merchandise in factors specified in section 752(a) of the internal consumption/company each Subject Country (that is, the level Act (19 U.S.C. 1675a(a)) including the transfers of the Domestic Like Product of production that your establishment(s) likely volume of subject imports, likely produced in your U.S. plant(s); and could reasonably have expected to price effects of subject imports, and (e) the value of (i) net sales, (ii) cost attain during the year, assuming normal likely impact of imports of Subject of goods sold (COGS), (iii) gross profit, operating conditions (using equipment Merchandise on the Domestic Industry. (iv) selling, general and administrative and machinery in place and ready to (5) A list of all known and currently (SG&A) expenses, and (v) operating operate), normal operating levels (hours operating U.S. producers of the income of the Domestic Like Product per week/weeks per year), time for Domestic Like Product. Identify any produced in your U.S. plant(s) (include downtime, maintenance, repair, and known related parties and the nature of both U.S. and export commercial sales, cleanup, and a typical or representative the relationship as defined in section internal consumption, and company product mix); and 771(4)(B) of the Act (19 U.S.C. transfers) for your most recently (c) the quantity and value of your 1677(4)(B)). completed fiscal year (identify the date firm’s(s’) exports to the United States of (6) A list of all known and currently on which your fiscal year ends). Subject Merchandise and, if known, an operating U.S. importers of the Subject (10) If you are a U.S. importer or a estimate of the percentage of total Merchandise and producers of the trade/business association of U.S. exports to the United States of Subject Subject Merchandise in each Subject importers of the Subject Merchandise Merchandise from each Subject Country Country that currently export or have from any Subject Country, provide the accounted for by your firm’s(s’) exports. exported Subject Merchandise to the following information on your firm’s(s’) (12) Identify significant changes, if United States or other countries since operations on that product during any, in the supply and demand the Order Date. calendar year 2016 (report quantity data conditions or business cycle for the (7) A list of 3–5 leading purchasers in in number of hangers and value data in Domestic Like Product that have the U.S. market for the Domestic Like U.S. dollars). If you are a trade/business occurred in the United States or in the Product and the Subject Merchandise association, provide the information, on market for the Subject Merchandise in (including street address, World Wide an aggregate basis, for the firms which each Subject Country since the Order Web address, and the name, telephone are members of your association. Date, and significant changes, if any, number, fax number, and Email address (a) The quantity and value (landed, that are likely to occur within a of a responsible official at each firm). duty-paid but not including reasonably foreseeable time. Supply (8) A list of known sources of antidumping or countervailing duties) conditions to consider include information on national or regional of U.S. imports and, if known, an technology; production methods; prices for the Domestic Like Product or estimate of the percentage of total U.S. development efforts; ability to increase the Subject Merchandise in the U.S. or imports of Subject Merchandise from production (including the shift of other markets. each Subject Country accounted for by production facilities used for other (9) If you are a U.S. producer of the your firm’s(s’) imports; products and the use, cost, or Domestic Like Product, provide the (b) the quantity and value (f.o.b. U.S. availability of major inputs into following information on your firm’s port, including antidumping and/or production); and factors related to the operations on that product during countervailing duties) of U.S. ability to shift supply among different calendar year 2016, except as noted commercial shipments of Subject national markets (including barriers to (report quantity data in number of Merchandise imported from each importation in foreign markets or hangers and value data in U.S. dollars, Subject Country; and changes in market demand abroad). f.o.b. plant). If you are a union/worker (c) the quantity and value (f.o.b. U.S. Demand conditions to consider include group or trade/business association, port, including antidumping and/or end uses and applications; the existence provide the information, on an aggregate countervailing duties) of U.S. internal and availability of substitute products; basis, for the firms in which your consumption/company transfers of and the level of competition among the workers are employed/which are Subject Merchandise imported from Domestic Like Product produced in the members of your association. each Subject Country. United States, Subject Merchandise VerDate Sep<11>2014 18:16 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00081 Fmt 4703 Sfmt 4703 E:\FR\FM\01NON1.SGM 01NON1 sradovich on DSK3GMQ082PROD with NOTICES Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Notices 50689 produced in each Subject Country, and 5093) or email [email protected]. (5) An estimate of the total number of such merchandise from other countries. Written comments and/or suggestions respondents and the amount of time (13) (OPTIONAL) A statement of can also be sent to the Office of estimated for an average respondent to whether you agree with the above Management and Budget, Office of respond: It is estimated that 77,816 definitions of the Domestic Like Product Information and Regulatory Affairs, respondents will complete each form and Domestic Industry; if you disagree Attention Department of Justice Desk within approximately 5 minutes. with either or both of these definitions, Officer, Washington, DC 20503. (6) An estimate of the total public please explain why and provide Additionally, comments may be burden (in hours) associated with the alternative definitions. submitted via email to OIRA_ collection: There are an estimated 6,485 Authority: This proceeding is being [email protected]. total annual burden hours associated conducted under authority of Title VII SUPPLEMENTARY INFORMATION: Written with this collection. of the Tariff Act of 1930; this notice is comments and suggestions from the If additional information is required published pursuant to section 207.61 of public and affected agencies concerning contact: Melody Braswell, Department the Commission’s rules. the proposed collection of information Clearance Officer, United States By order of the Commission. are encouraged. Your comments should Department of Justice, Justice Issued: October 26, 2017. address one or more of the following Management Division, Policy and Lisa R. Barton, four points: Planning Staff, Two Constitution Square, 145 N Street NE., 3E.405A, Secretary to the Commission. —Evaluate whether the proposed Washington, DC 20530. [FR Doc. 2017–23656 Filed 10–31–17; 8:45 am] collection of information is necessary Dated: October 26, 2017. BILLING CODE 7020–02–P for the proper performance of the functions of the Bureau of Justice Melody Braswell, Statistics, including whether the Department Clearance Officer for PRA, U.S. DEPARTMENT OF JUSTICE information will have practical utility; Department of Justice. —Evaluate the accuracy of the agency’s [FR Doc. 2017–23704 Filed 10–31–17; 8:45 am] Federal Bureau of Investigation estimate of the burden of the BILLING CODE 4410–02–P proposed collection of information, [OMB Number 1110–0060] including the validity of the Agency Information Collection methodology and assumptions used; DEPARTMENT OF LABOR Activities; Proposed eCollection —Evaluate whether and if so how the eComments Requested; Revision of a quality, utility, and clarity of the Occupational Safety and Health Currently Approved Collection in Use information to be collected can be Administration enhanced; and Without an OMB Control Number, CJIS [Docket No. OSHA–2011–0033] Name Check Form (1–791) —Minimize the burden of the collection of information on those who are to Standard on the Control of Hazardous AGENCY: Criminal Justice Information respond, including through the use of Energy (Lockout/Tagout); Extension of Services Division, Federal Bureau of appropriate automated, electronic, the Office of Management and Investigation, Department of Justice. mechanical, or other technological Budget’s (OMB) Approval of ACTION: 60-Day notice. collection techniques or other forms Information Collection (Paperwork) of information technology, e.g., Requirements SUMMARY: The Department of Justice permitting electronic submission of (DOJ), Federal Bureau of Investigation responses. AGENCY: Occupational Safety and Health (FBI), Criminal Justice Information Administration (OSHA), Labor. Overview of This Information Services (CJIS) Division, will be ACTION: Request for public comments. submitting the following information Collection collection request to the Office of (1) Type of Information Collection: SUMMARY: OSHA solicits public Management and Budget (OMB) for Revision of a currently approved comments concerning its proposal to review and approval in accordance with collection in use without an OMB extend OMB approval of the the Paperwork Reduction Act of 1995. control number. information collection requirements The proposed information collection is (2) The Title of the Form/Collection: specified in the Standard on the Control published to obtain comments from the CJIS Name Check Request. of Hazardous Energy (Lockout/Tagout). public and affected agencies. (3) The agency form number, if any, DATES: Comments must be submitted DATES: Comments are encouraged and and the applicable component of the (postmarked, sent, or received) by will be accepted for 60 days until Department sponsoring the collection: January 2, 2018. January 2, 2018. 1–791. ADDRESSES: FOR FURTHER INFORMATION CONTACT: If (4) Affected public who will be asked Electronically: You may submit you have additional comments or required to respond, as well as a brief comments and attachments especially on the estimated public abstract: electronically at http:// burden or associated response time, Primary: Agencies authorized to www.regulations.gov, which is the suggestions, or need a copy of the submit applicant fingerprints into the Federal eRulemaking Portal. Follow the proposed information collection Next Generation Identification (NGI) instructions online for submitting instrument with instructions or system for noncriminal justice purposes comments. additional information, please contact such as employment, benefits, and Facsimile: If your comments, Gerry Lynn Brovey, Supervisory licensing. This form is completed to including attachments, are not longer Information Liaison Specialist, FBI, obtain a name check for an applicant than 10 pages, you may fax them to the CJIS, Resources Management Section, when the fingerprints have been OSHA Docket Office at (202) 693–1648. Administrative Unit, Module C–2, 1000 rejected twice for quality to ensure Mail, hand delivery, express mail, Custer Hollow Road, Clarksburg, West eligible individuals are not denied messenger, or courier service: When Virginia 26306 (facsimile: 304–625– employment, benefits, or licensing. using this method, you must submit VerDate Sep<11>2014 18:16 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00082 Fmt 4703 Sfmt 4703 E:\FR\FM\01NON1.SGM 01NON1 sradovich on DSK3GMQ082PROD with NOTICES 50690 Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Notices three copies of your comments and collection burden is accurate. The Paragraph (c)(5)(ii)(D) requires that attachments to the OSHA Docket Office, Occupational Safety and Health Act of lockout and tagout devices indicate the Docket No. OSHA–2011–0033, U.S. 1970 (the OSH Act) (29 U.S.C. 651 et identity of the employee applying it. Department of Labor, Occupational seq.) authorizes information collection Paragraph (c)(5)(iii) requires that tags Safety and Health Administration, by employers as necessary or warn against hazardous conditions if the Room N–3653, 200 Constitution Avenue appropriate for enforcement of the OSH machine or equipment is energized. In NW., Washington, DC 20210. Deliveries Act or for developing information addition, the tag must include a legend (hand, express mail, messenger, and regarding the causes and prevention of such as one of the following: Do Not courier service) are accepted during the occupational injuries, illnesses, and Start; Do Not Open; Do Not Close; Do Department of Labor’s and Docket accidents (29 U.S.C. 657). The OSH Act Not Energize; Do Not Operate. Office’s normal business hours, 10:00 also requires OSHA to obtain such Periodic Inspection Certification a.m. to 3:00 p.m., e.t. information with minimum burden Records (paragraph (c)(6)(ii)). Under Instructions: All submissions must upon employers, especially those paragraph (c)(6)(i), employers are to include the Agency name and OSHA operating small businesses, and to conduct inspections of energy control docket number (OSHA–2011–0033) for reduce to the maximum extent feasible procedures at least annually. An the Information Collection Request unnecessary duplication of efforts in authorized worker (other than an (ICR). All comments, including any obtaining information (29 U.S.C. 657). authorized worker using the energy personal information you provide, are The standard specifies several control procedure that is the subject of placed in the public docket without information collection requirements. the inspection) is to conduct the change, and may be made available The following sections describe who inspection and correct any deviations or online at http://www.regulations.gov. uses the information collected under inadequacies identified. For procedures For further information on submitting each requirement, as well as how they involving either lockout or tagout, the comments, see the ‘‘Public use it. The purpose of these inspection must include a review, Participation’’ heading in the section of requirements is to control the release of between the inspector and each this notice titled SUPPLEMENTARY hazardous energy while workers service, authorized worker, of that worker’s INFORMATION. maintain, or repair machines or responsibilities under the procedure; for Docket: To read or download equipment when activation, start up, or procedures using tagout systems, the comments or other material in the release of energy from an energy source review also involves affected workers, docket, go to http://www.regulations.gov is possible; proper control of hazardous and includes an assessment of the or the OSHA Docket Office at the energy prevents death or serious injury workers’ knowledge of the training address above. All documents in the among these workers. elements required for these systems. docket (including this Federal Register Energy Control Procedure (paragraph Paragraph (c)(6)(ii) requires employers notice) are listed in the http:// (c)(4)(i)). With limited exception, to certify the inspection by documenting www.regulations.gov index; however, employers must document the the date of the inspection and some information (e.g., copyrighted procedures used to isolate from its identifying the machine or equipment material) is not publicly available to energy source and render inoperative, inspected, the workers included in the read or download through the Web site. any machine or equipment prior to inspection, and the worker who All submissions, including copyrighted servicing, maintenance, or repair by performed the inspection. material, are available for inspection workers. These procedures are Training Certification Records and copying at the OSHA Docket Office. necessary when activation, start up, or (paragraph (c)(7)(iv)). Under paragraph You may also contact Theda Kenney at release of stored energy from the energy (c)(7)(iv), employers are to certify that the address below to obtain a copy of source is possible, and such release workers completed the required the ICR. could cause injury to the workers. training, and that this training is up-to- Paragraph (c)(4)(ii) states that the date. The certification is to contain each FOR FURTHER INFORMATION CONTACT: required documentation must clearly worker’s name and the training date. Theda Kenney or Todd Owen, and specifically outline the scope, Written certification of the training Directorate of Standards and Guidance, purpose, authorization, rules, and assures the employer that workers OSHA, U.S. Department of Labor, Room techniques workers are to use to control receive the training specified by the N–3609, 200 Constitution Avenue NW., hazardous energy, and the means to standard. Washington, DC 20210; telephone (202) enforce compliance. The document Notification of Employees (paragraph 693–2222. must include at least the following (c)(9)). This provision requires the SUPPLEMENTARY INFORMATION: elements: employer or authorized worker to notify I. Background (A) A specific statement regarding the affected workers prior to applying, and use of the procedure; after removing, a lockout or tagout The Department of Labor, as part of its (B) Detailed procedural steps for device from a machine or equipment. continuing effort to reduce paperwork shutting down, isolating, blocking, and Off-Site Personnel (Contractors, etc.) and respondent (i.e., employer) burden, securing machines or equipment to (paragraph (f)(2)(i)). When the on-site conducts a preclearance consultation control hazardous energy; employer uses an off-site employer (e.g., program to provide the public with an (C) Detailed procedural steps for a contractor) to perform the activities opportunity to comment on proposed placing, removing, and transferring covered by the scope and application of and continuing information collection lockout or tagout devices, including the the standard, the two employers must requirements in accordance with the responsibility for doing so; and inform each other regarding their Paperwork Reduction Act of 1995 (PRA) (D) Requirements for testing a respective lockout or tagout procedures. (44 U.S.C. 3506(c)(2)(A)). This program machine or equipment to determine and ensures that information is in the verify the effectiveness of lockout or II. Special Issues for Comment desired format, reporting burden (time tagout devices, as well as other energy OSHA has a particular interest in and costs) is minimal, collection control measures. comments on the following issues: instruments are clearly understood, and Protective Materials and Hardware • Whether the proposed information OSHA’s estimate of the information (paragraphs (c)(5)(ii)(D) and (c)(5)(iii)). collection requirements are necessary VerDate Sep<11>2014 18:16 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00083 Fmt 4703 Sfmt 4703 E:\FR\FM\01NON1.SGM 01NON1 sradovich on DSK3GMQ082PROD with NOTICES Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Notices 50691 for the proper performance of the electronic or facsimile submission, you NATIONAL AERONAUTICS AND Agency’s functions, including whether must submit them to the OSHA Docket SPACE ADMINISTRATION the information is useful; Office (see the section of this notice [Notice: (17–082)] • The accuracy of OSHA’s estimate of titled ADDRESSES). The additional the burden (time and costs) of the materials must clearly identify your Notice of Information Collection information collection requirements, electronic comments by your name, including the validity of the date, and the docket number so the AGENCY: National Aeronautics and methodology and assumptions used; Space Administration (NASA). • Agency can attach them to your The quality, utility, and clarity of comments. ACTION: Notice of information collection. the information collected; and • Ways to minimize the burden on Because of security procedures, the SUMMARY: The National Aeronautics and employers who must comply—for use of regular mail may cause a Space Administration, as part of its example, by using automated or other significant delay in the receipt of continuing effort to reduce paperwork technological information collection comments. For information about and respondent burden, invites the and transmission techniques. security procedures concerning the general public and other Federal delivery of materials by hand, express agencies to take this opportunity to III. Proposed Actions delivery, messenger, or courier service, comment on proposed and/or OSHA is requesting an adjustment please contact the OSHA Docket Office continuing information collections. increase of 102,613 burden hours (from at (202) 693–2350, (TTY (877) 889– DATES: All comments should be 2,646,702 hours to 2,749,315 hours). 5627). submitted within 60 calendar days from This increase is a result of updated data Comments and submissions are the date of this publication. showing an increase in the number of ADDRESSES: All comments should be affected low-impact establishments posted without change at http:// www.regulations.gov. Therefore, OSHA addressed to Lori Parker, National (from 435,063 establishments to 461,523 Aeronautics and Space Administration, establishments). In addition, OSHA is cautions commenters about submitting personal information such as social 300 E Street SW., Washington, DC requesting an adjustment increase of 20546–0001. $52,265 in operation and maintenance security numbers and date of birth. FOR FURTHER INFORMATION CONTACT: costs (from $1,426,421 to $1,478,686) Although all submissions are listed in associated with the purchase of tags and the http://www.regulations.gov index, Requests for additional information or ties by employers. This increase is also some information (e.g., copyrighted copies of the information collection a result of updated data showing an material) is not publicly available to instrument(s) and instructions should increase in the number of affected low- read or download through this Web site. be directed to Lori Parker, NASA Clearance Officer, NASA Headquarters, impact establishments. All submissions, including copyrighted 300 E Street SW., JF0000, Washington, Type of Review: Extension of a material, are available for inspection DC 20546, (202) 358–1351. currently approved collection. and copying at the OSHA Docket Office. SUPPLEMENTARY INFORMATION: Title: Standard on the Control of Information on using the http:// Hazardous Energy (Lockout/Tagout) (29 www.regulations.gov Web site to submit I. Abstract CFR 1910.147). comments and access the docket is Citizen science and crowdsourcing OMB Control Number: 1218–0150. available at the Web site’s ‘‘User Tips’’ Affected Public: Business or other for- are tools that engage, educate and link. Contact the OSHA Docket Office profits. empower the public to apply their for information about materials not Number of Respondents: 754,348. curiosity and contribute their talents to Frequency: Initially; Annually; On available through the Web site, and for a wide range of scientific and societal occasion. assistance in using the Internet to locate issues. NASA’s mission to reach for new Average Time per Response: Various. docket submissions. heights and reveal the unknown so that what we do and learn will benefit all Estimated Number of Responses: V. Authority and Signature 75,072,010. humankind. NASA uses the vantage Estimated Total Burden Hours: Loren Sweatt, Deputy Assistant point of space to achieve with the 2,749,315. Secretary of Labor for Occupational science community and our partners a Estimated Cost (Operation and Safety and Health, directed the deep scientific understanding of our Maintenance): $1,478,686. preparation of this notice. The authority planet, other planets and solar system bodies, the interplanetary environment, IV. Public Participation—Submission of for this notice is the Paperwork the Sun and its effects on the solar Comments on This Notice and Internet Reduction Act of 1995 (44 U.S.C. 3506 system, and the universe beyond. Access to Comments and Submissions et seq.) and Secretary of Labor’s Order Citizen science and crowdsourcing can No. 1–2012 (77 FR 3912). You may submit comments in support NASA’s mission and purpose response to this document as follows: Signed at Washington, DC, on October 26, by providing new opportunities to (1) Electronically at http:// 2017. explore our solar system and our own www.regulations.gov, which is the Loren Sweatt, home planet like never before, Federal eRulemaking Portal; (2) by Deputy Assistant Secretary of Labor for producing critical data that expands our facsimile (fax); or (3) by hard copy. All Occupational Safety and Health. knowledge of the universe, and comments, attachments, and other [FR Doc. 2017–23743 Filed 10–31–17; 8:45 am] advancing our ability to provide societal material must identify the Agency name BILLING CODE 4510–26–P benefit through the synergy of satellite and the OSHA docket number for the and ground based observations. ICR (Docket No. OSHA–2011–0033). You may supplement electronic II. Methods of Collection submissions by uploading document Citizen science and crowdsourcing files electronically. If you wish to mail collections submitted under this generic additional materials in reference to an clearance can be stand-alone projects or VerDate Sep<11>2014 18:16 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00084 Fmt 4703 Sfmt 4703 E:\FR\FM\01NON1.SGM 01NON1 sradovich on DSK3GMQ082PROD with NOTICES 50692 Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Notices the methods may be incorporated into is necessary for the proper performance send email to [email protected]. an existing or new project, including, of the functions of NASA, including Individuals who use a but not limited to, projects in the whether the information collected has telecommunications device for the deaf following typology: practical utility; (2) the accuracy of (TDD) may call the Federal Information D Data gathering projects. These NASA’s estimate of the burden Relay Service (FIRS) at 1–800–877– projects may include: (1) Observation, (including hours and cost) of the 8339, which is accessible 24 hours a characterization and documentation of proposed collection of information; (3) day, 7 days a week, 365 days a year natural phenomena or general ways to enhance the quality, utility, and (including federal holidays). environmental health observations, clarity of the information to be FOR FURTHER INFORMATION CONTACT: opinions, or preferences or (2) surveying collected; and (4) ways to minimize the Suzanne Plimpton at the address above. participants or screening environmental burden of the collection of information Copies of the submission(s) may be conditions, including using specialized on respondents, including automated obtained by calling 703–292–7556. equipment provided by project leaders collection techniques or the use of other SUPPLEMENTARY INFORMATION: This is the to record and submit data, or submitting forms of information technology. second notice for public comment; the samples plus descriptors (e.g. of air or Comments submitted in response to first was published in the Federal water) for testing. Data may be collected this notice will be summarized and Register at 82 FR 32724, and no using technologies mentioned above, included in the request for OMB comments were received. NSF is through structured data forms, surveys, approval of this information collection. forwarding the proposed renewal focus groups or interviews, submitting They will also become a matter of submission to the Office of Management photographs or other media, surveys or public record. and Budget (OMB) for clearance questionnaires, or providing written Lori Parker, simultaneously with the publication of observations. this second notice. The full submission NASA PRA Clearance Officer. D Classification/problem solving may be found at: http:// projects. Participants’ tasks may [FR Doc. 2017–23744 Filed 10–31–17; 8:45 am] www.reginfo.gov/public/do/PRAMain. include: (1) Observation of recorded BILLING CODE 7510–13–P The National Science Foundation materials provided by project organizers (NSF) is announcing plans to request (images, video, etc.) through structured renewed clearance of this collection. data submission forms, surveys or NATIONAL SCIENCE FOUNDATION The primary purpose of this revision is questionnaires in an online or computer to implement changes described in the program, clicking boxes, highlighting Agency Information Collection Supplementary Information section of parts of text or image, and providing Activities: Comment Request this notice. Comments regarding (a) comments and/or annotations; (2) AGENCY: National Science Foundation. whether the collection of information is necessary for the proper performance of Classification of images or sounds using ACTION: Submission for OMB Review; structured data submission forms or Comment Request. the functions of the agency, including clicking boxes in an online or computer whether the information will have program; (3) Transcribing information, SUMMARY: The National Science practical utility; (b) the accuracy of the by typing handwritten logs or notes; (4) Foundation (NSF) has submitted the agency’s estimate of burden including Performing a function meant to generate following information collection the validity of the methodology and human behavior data; or (5) Problem- requirement to OMB for review and assumptions used; (c) ways to enhance solving or manipulation of data. Tasks clearance under the Paperwork the quality, utility and clarity of the 1–5 may be conducted via structured Reduction Act of 1995 on the National information to be collected; (d) ways to actions or instructions or through the Science Foundation Proposal and minimize the burden of the collection of use of ‘‘human-based computational Award Policies and Procedures Guide. information on those who are to game’’ or ‘‘game with a purpose’’, a NSF may not conduct or sponsor a respond, including through the use of human-based computational technique collection of information unless the appropriate automated, electronic, in which a computational process collection of information displays a mechanical, or other technological performs its function by presenting currently valid OMB control number collection techniques or other forms of certain steps to humans in an and the agency informs potential information technology. entertaining way. persons who are to respond to the Title of Collection: ‘‘National Science Foundation Honorary Awards.’’ III. Data collection of information that such persons are not required to respond to OMB Approval Number: 3145–0035. Type of Request: Intent to seek Title: NASA Citizen Science. the collection of information unless it approval to extend with revision an OMB Number: 2700–XXXX. displays a currently valid OMB control information collection for three years. Type of review: New information number. collection. Abstract: The National Science DATES: Comments regarding these Affected Public: Individuals. Foundation (NSF) administers several Estimated Number of Respondents: information collections are best assured external awards, among them the 10,000–50,000. of having their full effect if received President’s National Medal of Science, Estimated Time per Response: 5–10 December 1, 2017. the Alan T. Waterman Award, the minutes. ADDRESSES: Comments should be National Science Board (NSB) Vannevar Estimated Total Annual Public addressed to: Office of Information and Bush Award, the NSB Public Service Burden Hours: 450,000 to 600,000 Regulatory Affairs of OMB, Attention: Award, the Presidential Awards for hours. Desk Officer for National Science Excellence in Science, Mathematics and Estimated Total Annual Government Foundation, 725 17th Street NW., Room Engineering Mentoring (PAESMEM) Cost: $100,000. 10235, Washington, DC 20503, and to program, and the Presidential Awards Suzanne H. Plimpton, Reports Clearance for Excellence in Mathematics and IV. Request for Comments Officer, National Science Foundation, Science Teaching (PAEMST) program. Comments are invited on: (1) Whether 2415 Eisenhower Avenue, Suite In 2003, to comply with E-government the proposed collection of information W182000, Alexandria, Virginia 22314 or requirements, the nomination processes VerDate Sep<11>2014 18:16 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00085 Fmt 4703 Sfmt 4703 E:\FR\FM\01NON1.SGM 01NON1 sradovich on DSK3GMQ082PROD with NOTICES Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Notices 50693 were converted to electronic submission by substantial contributions to the Director, NSF, and the National Science through the National Science content of science; Board (NSB). Foundation’s (NSF) FastLane system or d. The recognition of the nominee by Candidates must be U.S. citizens or via other electronic systems as peers within his or her community, and permanent residents and must be 35 described in the individual nomination whether s/he is recognized for years of age or younger or not more than process. Individuals can now prepare substantial impact in fields in addition seven years beyond receipt of the Ph.D. nominations and references through to his/her discipline; degree by December 31 of the year in www.fastlane.nsf.gov/honawards/. First- e. If the nominee has made which they are nominated. Candidates time users must register on the Fastlane contributions to innovation and should have demonstrated exceptional Web site using the link found in the industry; individual achievements in scientific or upper right-hand corner above the ‘‘Log f. Whether the nominee has engineering research of sufficient In’’ box before accessing any of the demonstrated sustained influence on quality to place them at the forefront of honorary award categories. The education through publications, their peers. Criteria include originality, nominations for PAESMEM also may be teaching activities, outreach, mentoring, innovation, and significant impact on submitted via www.grants.gov. etc., and; the field. Nominations and applications are g. Whether the nominee’s • Vannevar Bush Award. The submitted on the PAEMST portal at contributions have created significant Vannevar Bush Award honors truly www.PAEMST.org. positive impact for the Nation. exceptional lifelong leaders in science In 2003, the Committee changed the Use of the Information: The and technology who have made active period of eligibility to three years, Foundation has the following honorary substantial contributions to the welfare including the year of nomination. After award programs: of the Nation through public service that time, candidates must be re- • President’s National Medal of activities in science, technology, and nominated with a new nomination Science. Statutory authority for the public policy. The National Science package for them to be considered by President’s National Medal of Science is Board established this award in 1980 in the Committee. contained in 42 U.S.C. 1881 (Pub. L. 86– Narratives are now restricted to three the memory of Vannevar Bush, who 209), which established the award and pages of text, as stipulated in the served as a science advisor to President stated that ‘‘(t)he President shall . . . guidelines at: https://www.fast Franklin Roosevelt during World War II, award the Medal on the lane.nsf.gov/honawards/medal helped to establish Federal funding for recommendations received from the Home.do. science and engineering as a national National Academy of Sciences or on the • Alan T. Waterman Award. Congress priority during peacetime, and was basis of such other information and established the Alan T. Waterman behind the creation of the National evidence as . . . appropriate.’’ Award in August 1975 (42 U.S.C. 1881a Science Foundation. Subsequently, Executive Order 10961 (Pub. L. 94–86) and authorized NSF to The Vannevar Bush Award recipient specified procedures for the Award by ‘‘establish the Alan T. Waterman Award is selected annually by the National establishing a National Medal of Science for research or advanced study in any of Science Board’s Subcommittee on Committee which would ‘‘receive the sciences or engineering’’ to mark the Honorary Awards (AWD), which is recommendations made by any other 25th anniversary of the National Science established to solicit nominations from nationally representative scientific or Foundation and to honor its first scientific, engineering, and educational engineering organization.’’ On the basis Director. The annual award recognizes societies and institutions, in both the of these recommendations, the an outstanding young researcher in any public and private sectors. Committee was directed to select its field of science or engineering Candidates for the Vannevar Bush candidates and to forward its supported by NSF. In addition to a Award should have demonstrated recommendations to the President. medal, the awardee receives a grant of outstanding leadership and In 1962, to comply with these $1,000,000 over a five-year period for accomplishment in meeting at least two directives, the Committee initiated a scientific research or advanced study in of the following selection criteria: solicitation form letter to invite these the mathematical, physical, medical, 1. Candidates must be U.S. citizens. nominations. In 1979, the Committee biological, engineering, social, or other 2. Distinguished himself/herself initiated a nomination form as an sciences at the institution of the through public service activities in attachment to the solicitation letter. A recipient’s choice. science and technology. slightly modified version of the The Alan T. Waterman Award 3. Pioneered the exploration, charting, nomination form was used in 1980. Committee was established by NSF to and settlement of new frontiers in The Committee has established the comply with the directive contained in science, technology, education, and following considerations for selection of Public Law 94–86. The Committee public service. candidates: solicits nominations from members of 4. Demonstrated leadership and a. The impact of an individual’s body the National Academy of Sciences, creativity that have inspired others to of work on the current state of his or her National Academy of Engineering, distinguished careers in science and field of science or engineering; scientific and technical organizations, technology. b. Whether the individual’s and any other source, public or private, 5. Contributed to the welfare of the achievements are of an unusually as appropriate. Nation and mankind through activities significant nature in relation to the In 1976, the Committee initiated a in science and technology. potential effects on the development of form letter to solicit these nominations. 6. Demonstrated leadership and thought in his or her field of science or In 1980, a nomination form was used creativity that has helped mold the engineering; which standardized the nomination history of advancements in the Nation’s c. Whether the nominee has procedures, allowed for more effective science, technology, and education. demonstrated unusually distinguished Committee review, and permitted better Nomination Submissions must service in the general advancement of staff work in a short period of time. On include: science and/or engineering for the the basis of its review, the Committee 1. A current curriculum vita without Nation, especially when accompanied forwards its recommendation to the publications (no more than 5 pages). VerDate Sep<11>2014 18:16 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00086 Fmt 4703 Sfmt 4703 E:\FR\FM\01NON1.SGM 01NON1 sradovich on DSK3GMQ082PROD with NOTICES 50694 Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Notices 2. A narrative statement (no more 4. Contributed to the development of • Presidential Awards for Excellence in than 8 pages) addressing the candidate’s broad science and engineering policy Science, Mathematics and Engineering activities and contributions related to and its support. Mentoring (PAESMEM) Program the selection criteria. 5. Influenced and encouraged the next In 1996, the White House, through the 3. A proposed award citation generation of scientists and engineers. National Science and Technology addressing the candidate’s activities in 6. Achieved broad recognition outside Council (NSTC) and the Office of and contributions to national public of the candidate’s area of specialization. Science and Technology Policy (OSTP), service activities in science, technology, 7. Fostered awareness of science and established the Presidential Awards for and public policy. technology among broad segments of the Excellence in Science, Mathematics and 4. Contact information for award population. Engineering Mentoring (PAESMEM) candidate and nominator (mailing Note: Members of the U.S. program. The program, administered on address, email address, and phone Government are not eligible for this behalf of the White House by the number). award. National Science Foundation, seeks to 5. Two reference letters (no more than Nomination Procedures: identify outstanding mentoring efforts 2 pages each) from individuals familiar or programs designed to enhance the Nominations for an individual must with the candidate’s accomplishments, participation of groups (women, include: and not affiliated with the candidate’s minorities and persons with disabilities home institution. Letters should be 1. A current curriculum vita without as well as groups from low submitted by email to nsbawards@ publications (no more than 3 pages). socioeconomic regions) nsf.gov on letterhead as a PDF file. 2. A narrative statement (no more underrepresented in science, Nominations remain active for three than 5 pages) addressing the following: mathematics and engineering. The years, including the year of nomination. a. The candidate’s public service awardees will serve as exemplars to After that time, candidates must be activities in science and engineering, their colleagues and will be leaders in renominated with a new nomination for and the national effort to more fully develop them to be considered by the selection b. the candidate’s contributions to the Nation’s human resources in committee. public understanding of science and science, mathematics and engineering. Awards Ceremony engineering, as they relate to the This award is managed at NSF by the selection criteria. Directorate for Education and Human The award recipient is presented with 3. Contact information of candidate Resources (EHR). a medal and honored at the NSF Annual The award will be made to U.S. Awards Ceremony and Dinner in and nominator (mailing address, email address, phone number). citizens or U.S. permanent residents Washington, DC. based on the following: (1) An • NSB Public Service Award. The Nominations must be submitted by email to: [email protected]. individual who has demonstrated National Science Board established the outstanding and sustained mentoring Public Service Award in November Nominations for a group must and effective guidance to a significant 1996 to honor individuals and groups include: number of early career STEM that have made substantial 1. A narrative statement (no more professionals, students at the K–12, contributions to increasing public than 5 pages) addressing the following: undergraduate, or graduate education understanding of science and a. The group’s activities, and how it level or (2) to an organization that, engineering in the United States. These accomplishes the selection criteria for through its programming, has enabled a contributions may be in a wide variety the award, substantial number of students of areas that have the potential of b. length of years of the program, underrepresented in science, contributing to public understanding of c. number and type of individuals mathematics and engineering to and appreciation for science and served by the group’s activities; and successfully pursue and complete the engineering—including mass media, d. data on the success of the program relevant degree programs as well as education and/or training programs, and (if available). mentoring of early career STEM entertainment. 2. Contact information of candidate professionals. Nominees must have Eligibility includes any individual or served in a mentoring role for at least group (company, corporation or and nominator (mailing address, email address, phone number). five years. Nominations are reviewed for organization) that has increased the impact, significance of the mentoring public understanding of science or 3. Reference letters are optional, and activity and quality of the mentoring engineering. up to 3 letters (no more than to 2 pages activity. Nominations for organizational Candidates for the NSB Public Service each) may be submitted on letterhead as awards must demonstrate rigorous Award should have demonstrated a PDF file. evaluation and/or assessment during the outstanding leadership and Nominations must be submitted by five-year period of the mentoring accomplishment in meeting the email to: [email protected]. activity. following selection criteria: Nominations remain active for three 1. Increased the public’s years, including the year of nomination. Award Ceremony understanding of the processes of After that time, candidates must be re- The awardees are hosted for two days science and engineering through nominated with a new nomination for in Washington, DC, for celebratory scientific discovery, innovation, and its them to be considered by the selection activities. Recipients of the PAESMEM communication to the public. committee. award receive a monetary award in the 2. Encouraged others to help raise the amount of $10,000 from NSF and a Awards Ceremony public understanding of science and commemorative Presidential certificate. technology. Award recipients are presented with a If scheduling permits, the President 3. Promoted the engagement of medal and honored at the NSF Annual meets with the mentors for a photo scientists and engineers in public Awards Ceremony and Dinner in opportunity at the White House. The outreach and scientific literacy. Washington, DC. Director of OSTP and the Director of VerDate Sep<11>2014 18:16 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00087 Fmt 4703 Sfmt 4703 E:\FR\FM\01NON1.SGM 01NON1 sradovich on DSK3GMQ082PROD with NOTICES Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Notices 50695 NSF present the awards to the mentors • Be a full-time employee of the mathematicians, scientists, mathematics at an awards ceremony. school or school district. and science educators, and past • Have at least 5 years of mathematics awardees that review the application • Presidential Award for Excellence in or science teaching (including computer packets of the state finalists and make Mathematics and Science Teaching science) experience prior to application. recommendations to NSF. NSF reviews The Presidential Award for • Teach mathematics or science at the these recommendations and Excellence in Mathematics and Science kindergarten through 6th grade level or recommends one awardee in both Teaching (PAEMST) is the highest at the 7th through 12th grade level in a mathematics and science for all eligible recognition that a kindergarten through public or private school. jurisdictions, when possible, to OSTP. • 12th-grade mathematics or science Not have received the national Alternatively, NSF may recommend two teacher may receive for outstanding PAEMST award in any prior awardees from a discipline in a teaching in the United States. Enacted competition or category. jurisdiction, when warranted. by Congress in 1983, this program Application Process Award Ceremony authorizes the President to bestow 108 • Applicants complete a 12-page awards, assuming there are qualified The awardees are hosted for 3–4 days written document on five dimensions of applicants. In even-numbered years, in Washington, DC, for a variety of outstanding teaching (content nominations are accepted for professional development sessions and knowledge, pedagogy, assessment, elementary teachers (grades K–6); in celebratory activities. Each awardee leadership and professional odd-numbered years, secondary receives a citation signed by the development) and submit a video of one teachers (grades 7–12) are nominated. President and $10,000 from NSF. If class. Three letters of reference This award is managed at NSF by the scheduling permits, the President meets including one from a school official are Directorate for Education and Human the teachers for a photo opportunity at required, along with a resume or Resources (EHR). the White House. The Director of OSTP biographical sketch. Nomination Criteria • The applicant has a 7-month period and the Director of NSF present the (October to May) to complete citations to the teachers at an awards A teacher may be nominated by a applications and submit them for state ceremony. Awardees also have the principal, another teacher, students, review. The nomination period is from opportunity to meet their congressional members of the community, or the October to April. representatives and education general public. Self-nominations are representatives from other federal allowed. Awardees must be either U.S. Review of Nominations agencies. Citizens or U.S. Permanent Residents. A • State coordinators convene state Estimate of Burden: These are annual Nominee must meet the following selection committees of prominent award programs with application criteria to apply: mathematicians, scientists, mathematics deadlines varying according to the • Be highly qualified as deemed by and science educators, and past program. Public burden also may vary their states, districts, or schools; awardees to select up to five according to program; however, across • Teach in one of the 50 States, the mathematics and five science finalists all the programs, it is estimated that District of Columbia, the for recognition at the state level and for each submission will average 19 hours Commonwealth of Puerto Rico, and the submission to NSF. To ensure per respondent. If the nominator is four U.S. territories, including the consistency, state selection committees thoroughly familiar with the Department of Defense Schools review their applications using the same disciplinary background of the nominee, (DoDEA). criteria and scoring information that time spent to complete the nomination • Hold a degree or appropriate was approved by OSTP. may be considerably reduced. See the credentials in the category for which • NSF (EHR) convenes a National table below for the burden estimates for they are applying. Selection Committee of prominent each award. Estimated Total Estimated annual burden estimated Award number of hours per annual responses response burden hours President’s National Medal of Science ...... 80 20 1,600 Alan T. Waterman Award ...... 70 20 1,400 Vannevar Bush Award ...... 20 15 300 Public Service Award ...... 30 15 450 PAESMEM ...... 200 20 4,000 PAEMST ...... 1,000 24 24,000 Totals ...... 1,800 ...... 41,350 Respondents: Individuals, businesses Dated: October 27, 2017. POSTAL REGULATORY COMMISSION or other for-profit organizations, Suzanne H. Plimpton, universities, non-profit institutions, and Reports Clearance Officer, National Science [Docket Nos. MC2018–14 and CP2018–30; Federal and State governments. Foundation. MC2018–15 and CP2018–31; MC2018–16 Frequency of Responses: Annually. [FR Doc. 2017–23740 Filed 10–31–17; 8:45 am] and CP2018–32; MC2018–17 and CP2018– 33] BILLING CODE 7555–01–P New Postal Products AGENCY: Postal Regulatory Commission. VerDate Sep<11>2014 18:16 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00088 Fmt 4703 Sfmt 4703 E:\FR\FM\01NON1.SGM 01NON1 sradovich on DSK3GMQ082PROD with NOTICES 50696 Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Notices ACTION: Notice. concern market dominant product(s), POSTAL REGULATORY COMMISSION applicable statutory and regulatory [Docket No. CP2018–34; CP2018–35] SUMMARY: The Commission is noticing a requirements include 39 U.S.C. 3622, 39 recent Postal Service filing for the U.S.C. 3642, 39 CFR part 3010, and 39 Commission’s consideration concerning New Postal Products CFR part 3020, subpart B. For request(s) negotiated service agreements. This that the Postal Service states concern AGENCY: Postal Regulatory Commission. notice informs the public of the filing, competitive product(s), applicable ACTION: Notice. invites public comment, and takes other administrative steps. statutory and regulatory requirements SUMMARY: The Commission is noticing a include 39 U.S.C. 3632, 39 U.S.C. 3633, DATES: Comments are due: November 2, recent Postal Service filing for the 39 U.S.C. 3642, 39 CFR part 3015, and 2017. Commission’s consideration concerning 39 CFR part 3020, subpart B. Comment negotiated service agreements. This ADDRESSES: Submit comments deadline(s) for each request appear in notice informs the public of the filing, electronically via the Commission’s section II. invites public comment, and takes other Filing Online system at http:// administrative steps. www.prc.gov. Those who cannot submit II. Docketed Proceeding(s) comments electronically should contact DATES: Comments are due: November 3, the person identified in the FOR FURTHER 1. Docket No(s).: MC2018–14 and 2017. INFORMATION CONTACT section by CP2018–30; Filing Title: USPS Request ADDRESSES: Submit comments telephone for advice on filing to Add Priority Mail & First-Class electronically via the Commission’s alternatives. Package Service Contract 61 to Filing Online system at http:// Competitive Product List and Notice of www.prc.gov. Those who cannot submit FOR FURTHER INFORMATION CONTACT: Filing Materials Under Seal; Filing comments electronically should contact David A. Trissell, General Counsel, at the person identified in the FOR FURTHER 202–789–6820. Acceptance Date: October 25, 2017; Filing Authority: 39 U.S.C. 3642 and 39 INFORMATION CONTACT section by SUPPLEMENTARY INFORMATION: CFR 3020.30 et seq.; Public telephone for advice on filing alternatives. Table of Contents Representative: Timothy J. Schwuchow; FOR FURTHER INFORMATION CONTACT: I. Introduction Comments Due: November 2, 2017. David A. Trissell, General Counsel, at II. Docketed Proceeding(s) 2. Docket No(s).: MC2018–15 and 202–789–6820. CP2018–31; Filing Title: USPS Request I. Introduction SUPPLEMENTARY INFORMATION: to Add Priority Mail Contract 371 to The Commission gives notice that the Competitive Product List and Notice of Table of Contents Postal Service filed request(s) for the Filing Materials Under Seal; Filing I. Introduction Commission to consider matters related Acceptance Date: October 25, 2017; to negotiated service agreement(s). The II. Docketed Proceeding(s) Filing Authority: 39 U.S.C. 3642 and 39 request(s) may propose the addition or I. Introduction CFR 3020.30 et seq.; Public removal of a negotiated service The Commission gives notice that the agreement from the market dominant or Representative: Timothy J. Schwuchow; Comments Due: November 2, 2017. Postal Service filed request(s) for the the competitive product list, or the Commission to consider matters related modification of an existing product 3. Docket No(s).: MC2018–16 and to negotiated service agreement(s). The currently appearing on the market CP2018–32; Filing Title: USPS Request request(s) may propose the addition or dominant or the competitive product to Add Priority Mail Express Contract removal of a negotiated service list. 52 to Competitive Product List and agreement from the market dominant or Section II identifies the docket Notice of Filing Materials Under Seal; the competitive product list, or the number(s) associated with each Postal Filing Acceptance Date: October 25, modification of an existing product Service request, the title of each Postal 2017; Filing Authority: 39 U.S.C. 3642 currently appearing on the market Service request, the request’s acceptance and 39 CFR 3020.30 et seq.; Public dominant or the competitive product date, and the authority cited by the Representative: Jennaca D. Upperman; list. Postal Service for each request. For each Comments Due: November 2, 2017. Section II identifies the docket request, the Commission appoints an 4. Docket No(s).: MC2018–17 and number(s) associated with each Postal officer of the Commission to represent Service request, the title of each Postal CP2018–33; Filing Title: USPS Request the interests of the general public in the Service request, the request’s acceptance to Add Priority Mail Express, Priority proceeding, pursuant to 39 U.S.C. 505 date, and the authority cited by the (Public Representative). Section II also Mail & First-Class Package Service Postal Service for each request. For each establishes comment deadline(s) Contract 23 to Competitive Product List request, the Commission appoints an pertaining to each request. and Notice of Filing Materials Under officer of the Commission to represent The public portions of the Postal Seal; Filing Acceptance Date: October the interests of the general public in the Service’s request(s) can be accessed via 25, 2017; Filing Authority: 39 U.S.C. proceeding, pursuant to 39 U.S.C. 505 the Commission’s Web site (http:// 3642 and 39 CFR 3020.30 et seq.; Public (Public Representative). Section II also www.prc.gov). Non-public portions of Representative: Jennaca D. Upperman; establishes comment deadline(s) the Postal Service’s request(s), if any, Comments Due: November 2, 2017. pertaining to each request. can be accessed through compliance This notice will be published in the The public portions of the Postal with the requirements of 39 CFR Federal Register. Service’s request(s) can be accessed via 3007.40. the Commission’s Web site (http:// The Commission invites comments on Stacy L. Ruble, www.prc.gov). Non-public portions of whether the Postal Service’s request(s) Secretary. the Postal Service’s request(s), if any, in the captioned docket(s) are consistent [FR Doc. 2017–23705 Filed 10–31–17; 8:45 am] can be accessed through compliance with the policies of title 39. For with the requirements of 39 CFR BILLING CODE 7710–FW–P request(s) that the Postal Service states 3007.40. VerDate Sep<11>2014 18:16 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00089 Fmt 4703 Sfmt 4703 E:\FR\FM\01NON1.SGM 01NON1 sradovich on DSK3GMQ082PROD with NOTICES Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Notices 50697 The Commission invites comments on SECURITIES AND EXCHANGE The text of the proposed rule change whether the Postal Service’s request(s) COMMISSION is also available on the Exchange’s Web in the captioned docket(s) are consistent site (http://www.cboe.com/AboutCBOE/ with the policies of title 39. For [Release No. 34–81963; File No. SR– CBOELegalRegulatoryHome.aspx), at request(s) that the Postal Service states BatsEDGX–2017–41] the Exchange’s Office of the Secretary, concern market dominant product(s), Self-Regulatory Organizations; Bats and at the Commission’s Public applicable statutory and regulatory EDGX Exchange, Inc.; Notice of Filing Reference Room. requirements include 39 U.S.C. 3622, 39 and Immediate Effectiveness of a II. Self-Regulatory Organization’s U.S.C. 3642, 39 CFR part 3010, and 39 Proposed Rule Change To Reflect in Statement of the Purpose of, and CFR part 3020, subpart B. For request(s) the Exchange’s Governing Documents, Statutory Basis for, the Proposed Rule that the Postal Service states concern Rulebook and Fees Schedules, a Non- Change competitive product(s), applicable Substantive Corporate Branding statutory and regulatory requirements Change, Including Changes to the In its filing with the Commission, the include 39 U.S.C. 3632, 39 U.S.C. 3633, Company’s Name, the Intermediate’s Exchange included statements 39 U.S.C. 3642, 39 CFR part 3015, and Name, and the Exchange’s Name concerning the purpose of and basis for 39 CFR part 3020, subpart B. Comment the proposed rule change and discussed October 26, 2017. deadline(s) for each request appear in any comments it received on the section II. Pursuant to Section 19(b)(1) of the proposed rule change. The text of these Securities Exchange Act of 1934 (the statements may be examined at the II. Docketed Proceeding(s) ‘‘Act’’),1 and Rule 19b–4 thereunder,2 places specified in Item IV below. The notice is hereby given that on October Exchange has prepared summaries, set 1. Docket No(s).: CP2018–34; Filing 16, 2017, Bats EDGX Exchange, Inc. (the forth in sections A, B, and C below, of Title: Notice of the United States Postal ‘‘Exchange’’ or ‘‘EDGX’’) filed with the Service of Filing a Functionally Securities and Exchange Commission the most significant aspects of such Equivalent Global Plus 1D Negotiated (‘‘Commission’’) the proposed rule statements. Service Agreement and Application for change as described in Items I and II A. Self-Regulatory Organization’s Non-Public Treatment of Materials Filed below, which Items have been prepared Statement of the Purpose of, and Under Seal; Filing Acceptance Date: by the Exchange. The Commission is Statutory Basis for, the Proposed Rule October 26, 2017; Filing Authority: 39 publishing this notice to solicit Change CFR 3015.5; Public Representative: comments on the proposed rule change Kenneth R. Moeller; Comments Due: from interested persons. 1. Purpose November 3, 2017. I. Self-Regulatory Organization’s Background 2. Docket No(s).: CP2018–35; Filing Statement of the Terms of Substance of The purpose of this filing is to reflect Title: Notice of United States Postal the Proposed Rule Change Service of Filing a Functionally in the Exchange’s governing documents The Exchange file a proposed rule (and the governing documents of its Equivalent Global Expedited Package change with respect to amendments of Services 7 Negotiated Service parent company, CBOE Holdings) and the Second Amended and Restated the Exchange’s rulebook and fees Agreement and Application for Non- Certificate of Incorporation (the schedules, a non-substantive corporate Public Treatment of Materials Filed ‘‘Company’s Certificate’’) and Third branding change, including changes to Under Seal; Filing Acceptance Date: Amended and Restated Bylaws (the the Company’s name, the Intermediate’s October 26, 2017; Filing Authority: 39 ’’Company’s Bylaws’’) of its parent name, and the Exchange’s name. CFR 3015.5; Public Representative: corporation, CBOE Holdings, Inc. Particularly, references to Company’s, Kenneth R. Moeller; Comments Due: (‘‘CBOE Holdings’’ or the ‘‘Company’’) Intermediate’s and Exchange’s names November 3, 2017. to change the name of the Company to will be deleted and revised to state the Cboe Global Markets, Inc. With respect This notice will be published in the new names, as described more fully to CBOE V, LLC, an intermediate Federal Register. below. No other substantive changes are Holding Company of the Exchange (the Stacy L. Ruble, ‘‘Intermediate’’), the Exchange proposes being proposed in this filing. The Exchange represents that these changes Secretary. to amend the Certificate of Formation and Limited Liability Company are concerned solely with the [FR Doc. 2017–23758 Filed 10–31–17; 8:45 am] administration of the Exchange and do BILLING CODE 7710–FW–P Operating Agreement of CBOE V, LLC (the ‘‘Operating Agreement’’), in not affect the meaning, administration, connection with a related name change or enforcement of any rules of the for the Intermediate. The Exchange also Exchange or the rights, obligations, or proposes to amend its Second Amended privileges of Exchange members or their and Restated Certificate of Incorporation associated persons is any way. (the ‘‘Exchange Certificate’’), Seventh Accordingly, this filing is being Amended and Restated Bylaws of Bats submitted under Rule 19b–4(f)(3). In EDGX Exchange, Inc. (the ‘‘Exchange lieu of providing a copy of the marked Bylaws’’), rulebook and fees schedules name changes, the Exchange represents (collectively ‘‘operative documents’’) in that it will make the necessary non- connection with the name change of its substantive revisions described below to parent Company, Intermediate, and the the Exchange’s corporate governance Exchange. documents, rulebook, and fees schedules, and post updated versions of 1 15 U.S.C. 78s(b)(1). each on the Exchange’s Web site 2 17 CFR 240.19b–4. pursuant to Rule 19b–4(m)(2). VerDate Sep<11>2014 18:16 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00090 Fmt 4703 Sfmt 4703 E:\FR\FM\01NON1.SGM 01NON1 sradovich on DSK3GMQ082PROD with NOTICES 50698 Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Notices The Company’s Name Change amendment, alteration or repeal of any references to ‘‘CBOE V, LLC’’ will be In connection with the corporate provision of the Bylaws shall be deleted and revised to state its new name change of its parent company, the effective, such amendment, alteration or name ‘‘Cboe Bats, LLC’’ and references Exchange is proposing to amend the repeal shall be submitted to the board of to ‘‘CBOE Holdings, Inc.’’ will be Company’s Certificate and Bylaws. directors of each Regulated Securities deleted and revised to state ‘‘Cboe Specifically, the Company is changing Exchange Subsidiary, and if such Global Markets, Inc.’’. The Exchange its name from ‘‘CBOE Holdings, Inc.’’ to amendment, alteration or repeal must be also proposes to add clarifying and ‘‘Cboe Global Markets, Inc.’’. filed with or filed with and approved by conforming language in connection with the Securities and Exchange the proposed name change, including (a) Company’s Certificate Commission, then such amendment, new Section 12.5 (‘‘Effect of The Exchange proposes to (i) delete alteration or repeal shall not become Amendment’’), which provides that the the following language from Paragraph effective until filed with or filed with ‘‘Agreement amends, restates and (1) of the introductory paragraph: ‘‘The and approved by the Securities and supersedes the Original Agreement in name of the Corporation is CBOE Exchange Commission, as the case may all respects. From and after the date Holdings, Inc.’’ and (ii) amend Article be.’’ As the Company currently controls hereof, this Agreement shall be the First of the Company’s Certificate to a number of Regulated Securities limited liability company operating reflect the new name, ‘‘Cboe Global Exchange Subsidiaries, it does not agreement of the Company for all Markets, Inc.’’ The Exchange also believe it is necessary to explicitly purposes.’’ reference only Chicago Board Options proposes to add clarifying language and The Exchange’s Name Change cite to the applicable provisions of the Exchange, Incorporated and therefore General Corporation Law of the State of proposes to delete the following For purposes of consistency, certain Delaware in connection with the language: ‘‘including, but not limited to of the Parent’s subsidiaries have also proposed name change. The Exchange Chicago Board Options Exchange, undertaken to change their legal names. notes that it is not amending the Incorporated’’. As a result, the Exchange also proposes to change its name from ‘‘Bats EDGX Company’s name in the title or signature The Intermediate’s Name Change line as the name changes will not be Exchange, Inc.’’ to ‘‘Cboe EDGX effective until the Company, as For purposes of consistency, certain Exchange, Inc.’’ throughout its rules, currently named, files the proposed of the Parent’s subsidiaries have also fees schedules and corporate changes in Delaware. Thereafter, the undertaken to change their legal names. documents. Additionally, the Exchange Exchange will amend the Certificate to As a result, the Exchange also proposes notes that its affiliated exchanges Bats reflect the new name in the title and to change the name of the Intermediate BYX Exchange, Inc., Bats BZX signature line. The Exchange also notes from ‘‘CBOE V, LLC’’ to ‘‘Cboe Bats, Exchange, Inc., Bats EDGA Exchange, that although the name of ‘‘Chicago LLC.’’ Inc., Chicago Board Options Exchange, Incorporated, C2 Options Exchange, Board Options Exchange, Incorporated’’ (a) Certificate of Formation is changing to ‘‘Cboe Exchange Inc.’’, it Incorporated, and CBOE Futures is not amending the name of Chicago As it relates to the Certificate of Exchange, LLC (collectively the Board Options Exchange, Incorporated Formation of CBOE V, LLC, references ‘‘affiliates’’) have also proposed name (‘‘CBOE’’) referenced in Article to ‘‘CBOE V, LLC’’ will be deleted and changes to Cboe BYX Exchange, Inc., Fifth(a)(iii) at this time. Particularly, the revised to state its new name ‘‘Cboe Cboe BZX Exchange, Inc., Cboe EDGA Exchange notes that unlike the Bats, LLC’’. The Exchange also proposes Exchange, Inc., Cboe Exchange, Inc., exception applicable to proposed to add clarifying and conforming Cboe C2 Exchange, Inc. and Cboe changes to the Company’s name,3 a vote language in order to conform to, as well Futures Exchange, LLC, respectively. of stockholders is required to adopt an as cite to, the applicable provisions of Lastly, the Exchange is changing the amendment to the reference of CBOE’s the General Corporation Law of the name of ‘‘Bats Trading, Inc.’’ to ‘‘Cboe name. As such, the Exchange will State of Delaware in connection with Trading, Inc.’’ submit a rule filing to amend the the proposed name change. The Therefore, the Exchange proposes to Certificate to reflect the new CBOE Exchange notes to conform with the amend its: (i) Second Amended and name at such time it is ready to obtain revised language in the introductory Restated Certificate of Incorporation of stockholder approval. paragraph, it also proposes to amend Bats EDGX Exchange, Inc., (ii) Seventh references to ‘‘LLC’’ to ‘‘limited liability Amended and Restated Bylaws of Bats (b) Company’s Bylaws company’’. The Exchange also notes that EDGX Exchange, Inc., (iii) Rulebook, (iv) With respect to the Company’s it is not amending the Intermediate’s Fee Schedule for EDGX Equities and (v) Bylaws, references to ‘‘CBOE Holdings, name in the title or signature line as the Fee Schedule for EDGX Options Inc.’’ will be deleted and revised to state name changes will not be effective until (collectively, the ‘‘Operative ‘‘Cboe Global Markets, Inc.’’ The the Intermediate, as currently named, Documents’’) to reflect the name Exchange also proposes to eliminate the files the proposed changes in Delaware.4 changes. reference to ‘‘Chicago Board Options Thereafter, the Exchange will amend the (a) Exchange’s Certificate Exchange, Incorporated’’ in Article 10, Certificate of Formation to reflect the Section 10.2. Particularly, Section 10.2 new name in the title and signature line. The Exchange proposes to (i) delete provides that ‘‘for so long as the the following language from the (b) Operating Agreement Corporation shall control, directly or introductory paragraph: ‘‘The name of indirectly, any national securities As it relates to the Operating the Corporation is Bats EDGX Exchange, exchange, including, but not limited to Agreement of the Intermediate, Inc.’’ and (ii) amend Article First of the Chicago Board Options Exchange, Exchange’s Certificate to reflect the new Incorporated (a ‘‘Regulated Securities 4 The Exchange notes that the current signature name, ‘‘Cboe EDGX Exchange, Inc.’’. block of the Certificate of Formation references The Exchange also proposes to add Exchange Subsidiary’’), before any ‘‘CBOE Holdings, Inc.’’ instead of ‘‘CBOE V, LLC’’. The Exchange proposes to correct that reference and clarifying language and cite to the 3 See Section 242(b) of the General Corporation refer to ‘‘CBOE V, LLC’’, which as noted, will be applicable provisions of the General Law of the State of Delaware. changed to ‘‘Cboe Bats, LLC’’ at a later date. Corporation Law of the State of VerDate Sep<11>2014 18:16 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00091 Fmt 4703 Sfmt 4703 E:\FR\FM\01NON1.SGM 01NON1 sradovich on DSK3GMQ082PROD with NOTICES Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Notices 50699 Delaware in connection with the (d) Exchange’s Fees Schedule address competitive issues but rather is proposed name change. The Exchange For the EDGX Equities Fee Schedule, concerned solely with updating the notes that it is not amending the any reference to ‘‘Bats EDGX Exchange’’ Company’s and Exchange’s governance Exchange’s name in the title or signature will be deleted and revised to state and operative documents to reflect the line as the name changes will not be ‘‘Cboe EDGX Exchange’’. Additionally, abovementioned name changes. effective until the Exchange, as all references to ‘‘Bats One’’ will be C. Self-Regulatory Organization’s currently named, files the proposed deleted and revised to state ‘‘Cboe One’’ Statement on Comments on the changes in Delaware. Thereafter, the and all references to ‘‘Bats Connect’’ Proposed Rule Change Received From Exchange will amend the Certificate to will be deleted and revised to state Members, Participants, or Others reflect the new name in the title and ‘‘Cboe Connect’’. signature line. The Exchange neither solicited nor (e) EDGX Options Fee Schedule received comments on the proposed (b) Exchange’s Bylaws For the EDGX Options Fee Schedule, rule change. For the Exchange’s Bylaws, all all references to ‘‘Bats EDGX Options III. Date of Effectiveness of the references to ‘‘Bats EDGX Exchange, Exchange’’ will be deleted and revised Proposed Rule Change and Timing for Inc.’’ will be deleted and revised to state to state ‘‘Cboe EDGX Options Exchange’’ Commission Action ‘‘Cboe EDGX Exchange, Inc.’’. and all references to ‘‘CBOE’’ will be deleted and revised to state ‘‘Cboe Pursuant to Section 19(b)(3)(A) of the 8 9 (c) Exchange’s Rulebook Options’’. Lastly, all references to ‘‘Bats Act and Rule 19b–4(f)(3) thereunder, Connect’’ will be deleted and revised to the Exchange has designated this For the Rules of Bats EDGX Exchange, state ‘‘Cboe Connect’’. proposal as one that is concerned solely Inc., all references to ‘‘Bats EDGX with the administration of the self- Exchange, Inc.’’ will be deleted and 2. Statutory Basis regulatory organization, and therefore revised to state ‘‘Cboe EDGX Exchange, The Exchange believes the proposed has become effective. Inc.’’. Additionally, the Exchange’s rule change is consistent with the At any time within 60 days of the affiliates are also filing similar rule Securities Exchange Act of 1934 (the filing of the proposed rule change, the filings to change their names, as noted ‘‘Act’’) and the rules and regulations Commission summarily may above. As such, all references to ‘‘Bats thereunder applicable to the Exchange temporarily suspend such rule change if BYX Exchange, Inc.’’, ‘‘Bats EDGA and, in particular, the requirements of it appears to the Commission that such Exchange, Inc.’’, ‘‘Bats BZX Exchange, Section 6(b) of the Act.6 Specifically, action is necessary or appropriate in the Inc.’’, ‘‘C2 Options Exchange, the Exchange believes the proposed rule public interest, for the protection of Incorporated’’, ‘‘Chicago Board Options change is consistent with the Section investors, or otherwise in furtherance of Exchange, Incorporated’’ 5 and ‘‘CBOE 6(b)(5) 7 requirements that the rules of the purposes of the Act. If the Futures Exchange, LLC’’ in the EDGX’s an exchange be designed to prevent Commission takes such action, the rules will likewise be deleted and fraudulent and manipulative acts and Commission will institute proceedings revised to state ‘‘Cboe BYX Exchange, practices, to promote just and equitable to determine whether the proposed rule Inc.’’, Cboe EDGA Exchange, Inc.’’, principles of trade, to foster cooperation change should be approved or ‘‘Cboe BZX Exchange, Inc.’’, ‘‘Cboe C2 and coordination with persons engaged disapproved. in regulating, clearing, settling, Exchange, Inc.’’, ‘‘Cboe Exchange, Inc.’’ IV. Solicitation of Comments and ‘‘Cboe Futures Exchange, LLC’’, processing information with respect to, respectively. The Exchange notes that and facilitating transactions in Interested persons are invited to references to ‘‘CBOE’’ will be deleted securities, to remove impediments to submit written data, views, and and revised to state ‘‘Cboe Options’’. and perfect the mechanism of a free and arguments concerning the foregoing, The Exchange notes that references to open market and a national market including whether the proposed rule ‘‘Bats Exchange’’ will be deleted and system, and, in general, to protect change is consistent with the Act. revised to state ‘‘Cboe Bats Exchange’’. investors and the public interest. Comments may be submitted by any of Additionally, all references to ‘‘CBOE In particular, the proposed change is the following methods: a non-substantive change and does not Holdings, Inc.’’ will be deleted and Electronic Comments impact the governance, ownership or revised to state ‘‘Cboe Global Markets, • Inc.’’. operations of the Exchange. The Use the Commission’s Internet Exchange believes that by ensuring that comment form (http://www.sec.gov/ The Exchange will also delete its parent company’s governance rules/sro.shtml); or references to ‘‘Bats Trading, Inc.’’ and documents and the Exchange’s • Send an email to rule-comments@ ‘‘Bats Trading’’ and replace it with operative documents accurately reflect sec.gov. Please include File Number SR– references to ‘‘Cboe Trading, Inc.’’ and the new legal names, the proposed rule BatsEDGX–2017–41on the subject line. ‘‘Cboe Trading’’, respectively. change would reduce potential investor Paper Comments References to ‘‘Bats One’’ will be or market participant confusion. deleted and revised to state ‘‘Cboe One’’, • Send paper comments in triplicate all references to ‘‘Bats Connect’’ will be B. Self-Regulatory Organization’s to Brent J. Fields, Secretary, Securities deleted and revised to state ‘‘Cboe Statement on Burden on Competition and Exchange Commission, 100 F Street Connect’’, and all references to ‘‘CBOE The Exchange does not believe that NE., Washington, DC 20549–1090. Livevol, LLC’’ will be deleted and the proposed rule change will impose All submissions should refer to File revised to state ‘‘Cboe Livevol, LLC’’. any burden on competition that is not Number SR–BatsEDGX–2017–41. This necessary or appropriate in furtherance file number should be included on the 5 The Exchange notes that the EDGX rules refer of the purposes of the Act. The subject line if email is used. To help the to ‘‘C2 Options Exchange, Incorporated’’ and proposed rule change is not intended to Commission process and review your ‘‘Chicago Board Options Exchange, Incorporated’’ as ‘‘C2 Options Exchange, Inc.’’ and ‘‘Chicago Board Options Exchange’’ in Rules 2.3, 18.7, 18.9, 28.3, 6 15 U.S.C. 78f(b). 8 15 U.S.C. 78s(b)(3)(A). 29.5, and 29.7. 7 15 U.S.C. 78f(b)(5). 9 17 CFR 240.19b–4(f)(3). VerDate Sep<11>2014 18:16 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00092 Fmt 4703 Sfmt 4703 E:\FR\FM\01NON1.SGM 01NON1 sradovich on DSK3GMQ082PROD with NOTICES 50700 Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Notices comments more efficiently, please use SUMMARY: Applicants request an order to investment company. The Relative only one method. The Commission will permit certain registered closed-end Value Fund’s investment objective is post all comments on the Commission’s management investment companies to long-term capital appreciation. The Internet Web site (http://www.sec.gov/ issue multiple classes of shares and to Relative Value Fund seeks to achieve its rules/sro.shtml). Copies of the impose asset-based distribution and/or investment objective by generating submission, all subsequent service fees, early withdrawal charges attractive long-term returns with low amendments, all written statements (‘‘EWCs’’) and early repurchase fees. sensitivity to traditional equity and with respect to the proposed rule APPLICANTS: The Relative Value Fund fixed income indices through a ‘‘multi- change that are filed with the and the Infinity Core Alternative Fund manager’’ approach implementing Commission, and all written (the ‘‘Initial Funds’’) and Vivaldi Asset strategies including without limitation, communications relating to the Management, LLC (the ‘‘Adviser’’). global macro, opportunistic equity anf proposed rule change between the DATES: The application was filed on fixed income, systematic and arbitrage Commission and any person, other than August 8, 2016 and amended on March strategies that invest in different asset those that may be withheld from the 8, 2017 and June 30, 2017. classes, securities and derivatives public in accordance with the instruments. The Infinity Core HEARING OR NOTIFICATION OF HEARING: provisions of 5 U.S.C. 552, will be Alternative Fund is a Maryland available for Web site viewing and An order granting the requested relief statutory trust that is registered under printing in the Commission’s Public will be issued unless the Commission the Act as a non-diversified, Reference Room, 100 F Street NE., orders a hearing. Interested persons may continuously offered closed-end Washington, DC 20549, on official request a hearing by writing to the management investment company. The business days between the hours of Commission’s Secretary and serving Infinity Core Alternative Fund’s 10:00 a.m. and 3:00 p.m. Copies of the applicants with a copy of the request, investment objective is long-term capital filing also will be available for personally or by mail. growth. The Infinity Core Alternative Hearing requests should be received inspection and copying at the principal Fund seeks to achieve its investment by the Commission by 5:30 p.m. on office of the Exchange. All comments objective by operating as a ‘‘fund of November 20, 2017, and should be received will be posted without change. funds’’ that invests primarily in general accompanied by proof of service on the Persons submitting comments are or limited partnerships, funds, applicants, in the form of an affidavit, cautioned that we do not redact or edit corporations, trusts or other investment or, for lawyers, a certificate of service. personal identifying information from vehicles based primarily in the United Pursuant to rule 0–5 under the Act, comment submissions. You should States that invest or trade in a wide hearing requests should state the nature submit only information that you wish range of securities, and, to a lesser of the writer’s interest, any facts bearing to make available publicly. All extent, other property and currency upon the desirability of a hearing on the submissions should refer to File interests. The Infinity Core Alternative matter, the reason for the request, and Number SR-BatsEDGX–2017–41 and Fund may also make investments meant the issues contested. Persons who wish should be submitted on or before to hedge exposures deemed too risky or to be notified of a hearing may request November 22, 2017. to invest in strategies not employed by notification by writing to the investment funds or to hedge a position For the Commission, by the Division of Commission’s Secretary. Trading and Markets, pursuant to delegated in an investment fund that is locked-up authority.10 ADDRESSES: Secretary, U.S. Securities or difficult to sell. and Exchange Commission, 100 F Street Eduardo A. Aleman, 2. The Adviser, a Delaware limited NE., Washington, DC 20549–1090; Assistant Secretary. liability company, is registered as an Applicants: Vivaldi Asset Management, investment adviser under the [FR Doc. 2017–23739 Filed 10–31–17; 8:45 am] LLC, 225 W. Wacker Drive, Suite 2100, Investment Advisers Act of 1940, as BILLING CODE 8011–01–P Chicago IL 60606; The Relative Value amended. The Adviser serves as Fund and the Infinity Core Alternative investment adviser to the Initial Funds. Fund c/o UMB Fund Services, Inc., 235 3. The applicants seek an order to SECURITIES AND EXCHANGE West Galena Street, Milwaukee, WI COMMISSION permit the Initial Funds to issue 53212. multiple classes of shares and to impose [Investment Company Act Release No. FOR FURTHER INFORMATION CONTACT: asset-based distribution and/or service 32884; 812–14683] Rachel Loko, Senior Counsel or Holly fees and EWCs. Hunter-Ceci, Assistant Chief Counsel, at 4. Applicants request that the order The Relative Value Fund et al. (202) 551–6825 (Division of Investment also apply to any continuously offered October 26, 2017. Management, Chief Counsel’s Office). registered closed-end management investment company that may be AGENCY: Securities and Exchange SUPPLEMENTARY INFORMATION: The organized in the future for which the Commission (‘‘Commission’’). following is a summary of the Adviser, or any entity controlling, application. The complete application ACTION: Notice. controlled by, or under common control may be obtained via the Commission’s with the Adviser, or any successor in Notice of an application under section Web site by searching for the file interest to any such entity,1 acts as 6(c) of the Investment Company Act of number, or for an applicant using the investment adviser and which operates 1940 (the ‘‘Act’’) for an exemption from Company name box, at http:// as an interval fund pursuant to rule sections 18(a)(2), 18(c) and 18(i) of the www.sec.gov/search/search.htm or by 23c–3 under the Act or provides Act, under sections 6(c) and 23(c) of the calling (202) 551–8090. Act for an exemption from rule 23c–3 periodic liquidity with respect to its under the Act, and for an order pursuant Applicants’ Representations shares pursuant to rule 13e–4 under the to section 17(d) of the Act and rule 17d– 1. The Relative Value Fund is a 1 A successor in interest is limited to an entity 1 under the Act. Delaware statutory trust that is that results from a reorganization into another registered under the Act as a non- jurisdiction or a change in the type of business 10 17 CFR 200.30–3(a)(12). diversified, closed-end management organization. VerDate Sep<11>2014 18:16 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00093 Fmt 4703 Sfmt 4703 E:\FR\FM\01NON1.SGM 01NON1 sradovich on DSK3GMQ082PROD with NOTICES Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Notices 50701 Securities Exchange Act of 1934 repurchase fee (‘‘Early Repurchase Fee’’) required for open-end funds, each Fund (‘‘Exchange Act’’) (each, a ‘‘Future at a rate of no greater than 2% of the will disclose its expenses in shareholder Fund’’ and together with the Initial aggregate net asset value of a reports, and describe any arrangements Funds, the ‘‘Funds’’).2 shareholder’s shares repurchased by the that result in breakpoints in or 5. The Initial Funds are currently Fund if the interval between the date of elimination of sales loads in its making a continuous public offering of purchase of the shares and the valuation prospectus.5 In addition, applicants will beneficial interest in connection with date with respect to the repurchase of comply with applicable enhanced fee their registration statement. Applicants those shares is less than one year. Any disclosure requirements for fund of state that additional offerings by any Early Repurchase Fees will apply funds, including registered funds of Fund relying on the order may be on a equally to all classes of shares of a hedge funds.6 private placement or public offering Fund, consistent with section 18 of the 11. Each of the Funds will comply basis. Shares of the Funds will not be Act and rule 18f–3 thereunder. To the with any requirements that the listed on any securities exchange nor extent a Fund determines to waive, Commission or FINRA may adopt quoted on any quotation medium. The impose scheduled variations of, or regarding disclosure at the point of sale Funds do not expect there to be a eliminate any Early Repurchase Fee, it and in transaction confirmations about secondary trading market for their will do so consistently with the the costs and conflicts of interest arising shares. requirements of rule 22d–1 under the out of the distribution of open-end 6. If the requested relief is granted, the Act as if the Early Repurchase Fee were investment company shares, and Relative Value Fund will offer Advisor a CDSL (defined below) and as if the regarding prospectus disclosure of sales Class Shares alongside its current CIA Fund were an open-end investment loads and revenue sharing Class Shares and the Infinity Core company and the Fund’s waiver of, arrangements, as if those requirements Alternative Fund will amend its scheduled variation in, or elimination applied to the Fund. In addition, each registration statement to continuously of, any such Early Repurchase Fee will Fund will contractually require that any offer at least one additional class of apply uniformly to all shareholders of distributor of the Fund’s shares comply shares (the ‘‘New Class Shares’’) the Fund regardless of class. Applicants with such requirements in connection alongside its currently offered Initial state that the Initial Funds do not intend with the distribution of such Fund’s Class Shares. Each of the Adviser Class to impose an Early Repurchase Fee. shares. Shares, the CIA Class Shares, the Initial 9. Applicants state that the Relative 12. Each Fund will allocate all Class Shares and the New Class Shares Value Fund has adopted a fundamental expenses incurred by it among the will have their own fee and expense policy to repurchase a specified various classes of shares based on the structure. The Funds may in the future percentage of its shares at net asset net assets of that Fund attributable to offer additional classes of shares and/or value on a quarterly basis. Such each class, except that the net asset another sales charges structure. Because repurchase offers will be conducted value and expenses of each class will of the different distribution fees, pursuant to rule 23c–3 under the Act. reflect the expenses associated with the services and any other class expenses The Infinity Core Alternative Fund distribution plan of that class, service that may be attributable to the each class provides periodic liquidity with respect fees attributable to that class (if any), of shares, the net income attributable to, to its shares pursuant to Rule 13e–4 including transfer agency fees, and any and the dividends payable on, each under the Exchange Act. Each of the other incremental expenses of that class. class of shares may differ from each Future Funds will likewise adopt Expenses of a Fund allocated to a other. fundamental investment policies and particular class of shares will be borne 7. Applicants state that, from time to make periodic repurchase offers to its on a pro rata basis by each outstanding time, the Funds may create additional shareholders in compliance with rule share of that class. Applicants state that classes of shares, the terms of which 23c–3 or will provide periodic liquidity each Fund will comply with the may differ from other share classes in with respect to its shares pursuant to provisions of rule 18f–3 under the Act the following respects: (i) The amount of rule 13e–4 under the Exchange Act.3 as if it were an open-end investment fees permitted by different distribution Any repurchase offers made by the company. plans or different service fee 13. Applicants state that each Fund Funds will be made to all holders of arrangements; (ii) voting rights with may impose an EWC on shares shares of each such Fund. respect to a distribution plan of a class; 10. Applicants represent that any submitted for repurchase that have been (iii) different class designations; (iv) the asset-based service and/or distribution held less than a specified period and impact of any class expenses directly may waive the EWC for certain fees for each class of shares of the Funds attributable to a particular class of categories of shareholders or will comply with the provisions of the shares allocated on a class basis as transactions to be established from time NASD Rule 2830(d) (‘‘NASD Sales described in the application; (v) any to time. Applicants state that each Fund Charge Rule’’).4 Applicants also differences in dividends and net asset will apply the EWC (and any waivers or represent that each Fund will disclose value resulting from differences in fees in its prospectus the fees, expenses and under a distribution or service fee 5 See Shareholder Reports and Quarterly Portfolio other characteristics of each class of arrangement or in class expenses; (vi) Disclosure of Registered Management Investment shares offered for sale by the prospectus, Companies, Investment Company Act Release No. any EWC or other sales load structure; 26372 (Feb. 27, 2004) (adopting release) (requiring and (vii) exchange or conversion as is required for open-end multiple class funds under Form N–1A. As is open-end investment companies to disclose fund privileges of the classes as permitted expenses in shareholder reports); and Disclosure of Breakpoint Discounts by Mutual Funds, Investment under the Act. 3 8. Applicants state that shares of a Applicants submit that rule 23c–3 and Company Act Release No. 26464 (June 7, 2004) Regulation M under the Exchange Act permit an (adopting release) (requiring open-end investment Fund may be subject to an early interval fund to make repurchase offers to companies to provide prospectus disclosure of repurchase its shares while engaging in a certain sales load information). 2 Any Fund relying on this relief in the future will continuous offering of its shares pursuant to Rule 6 Fund of Funds Investments, Investment do so in a manner consistent with the terms and 415 under the Securities Act of 1933, as amended. Company Act Rel. Nos. 26198 (Oct. 1, 2003) conditions of the application. Applicants represent 4 Any reference to the NASD Sales Charge Rule (proposing release) and 27399 (Jun. 20, 2006) that each entity presently intending to rely on the includes any successor or replacement to the NASD (adopting release). See also Rules 12d1–1, et seq. of requested relief is listed as an applicant. Sales Charge Rule. the Act. VerDate Sep<11>2014 18:16 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00094 Fmt 4703 Sfmt 4703 E:\FR\FM\01NON1.SGM 01NON1 sradovich on DSK3GMQ082PROD with NOTICES 50702 Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Notices scheduled variations, or elimination of Applicants state that multiple classes of percent of the proceeds, that is paid to the EWC) uniformly to all shareholders shares of the Funds may violate section the interval fund and is reasonably in a given class and consistently with 18(i) of the Act because each class intended to compensate the fund for the requirements of rule 22d–1 under would be entitled to exclusive voting expenses directly related to the the Act as if the Funds were open-end rights with respect to matters solely repurchase. investment companies. related to that class. 3. Section 23(c)(3) provides that the 14. Each Fund operating as an interval 4. Section 6(c) of the Act provides that Commission may issue an order that fund pursuant to rule 23c–3 under the the Commission may exempt any would permit a closed-end investment Act may offer its shareholders an person, security or transaction or any company to repurchase its shares in exchange feature under which the class or classes of persons, securities or circumstances in which the repurchase shareholders of the Fund may, in transactions from any provision of the is made in a manner or on a basis that connection with such Fund’s periodic Act, or from any rule or regulation does not unfairly discriminate against repurchase offers, exchange their shares under the Act, if and to the extent such any holders of the class or classes of of the Fund for shares of the same class exemption is necessary or appropriate securities to be purchased. of (i) registered open-end investment in the public interest and consistent 4. Applicants request relief under companies or (ii) other registered with the protection of investors and the section 6(c), discussed above, and closed-end investment companies that purposes fairly intended by the policy section 23(c)(3) from rule 23c–3 to the comply with rule 23c–3 under the Act and provisions of the Act. Applicants extent necessary for the Funds to and continuously offer their shares at request an exemption under section 6(c) impose EWCs on shares of the Funds net asset value, that are in the Fund’s from sections 18(a)(2), 18(c) and 18(i) to submitted for repurchase that have been group of investment companies permit the Funds to issue multiple held for less than a specified period. (collectively, ‘‘Other Funds’’). Shares of classes of shares. 5. Applicants state that the EWCs they a Fund operating pursuant to rule 23c– 5. Applicants submit that the intend to impose are functionally 3 that are exchanged for shares of Other proposed allocation of expenses relating similar to CDSLs imposed by open-end Funds will be included as part of the to distribution and voting rights among investment companies under rule 6c–10 amount of the repurchase offer amount multiple classes is equitable and will under the Act. Rule 6c–10 permits open- for such Fund as specified in rule 23c– not discriminate against any group or end investment companies to impose 3 under the Act. Any exchange option class of shareholders. Applicants submit CDSLs, subject to certain conditions. will comply with rule 11a–3 under the that the proposed arrangements would Applicants note that rule 6c–10 is grounded in policy considerations Act, as if the Fund were an open-end permit a Fund to facilitate the supporting the employment of CDSLs investment company subject to rule distribution of its securities and provide where there are adequate safeguards for 11a–3. In complying with rule 11a–3, investors with a broader choice of the investor and state that the same each Fund will treat an EWC as if it shareholder services. Applicants assert policy considerations support were a contingent deferred sales load that the proposed closed-end imposition of EWCs in the interval fund (‘‘CDSL’’). investment company multiple class structure does not raise the concerns context. In addition, applicants state Applicants’ Legal Analysis underlying section 18 of the Act to any that EWCs may be necessary for the greater degree than open-end distributor to recover distribution costs. Multiple Classes of Shares investment companies’ multiple class Applicants represent that any EWC 1. Section 18(a)(2) of the Act provides structures that are permitted by rule imposed by the Funds will comply with that a closed-end investment company 18f–3 under the Act. Applicants state rule 6c–10 under the Act as if the rule may not issue or sell a senior security that each Fund will comply with the were applicable to closed-end that is a stock unless certain provisions of rule 18f–3 as if it were an investment companies. The Funds will requirements are met. Applicants state open-end investment company. disclose EWCs in accordance with the that the creation of multiple classes of requirements of Form N–1A concerning shares of the Funds may violate section Early Withdrawal Charges CDSLs. 18(a)(2) because the Funds may not 1. Section 23(c) of the Act provides, meet such requirements with respect to in relevant part, that no registered Asset-Based Distribution and/or Service a class of shares that may be a senior closed-end investment company shall Fees security. purchase securities of which it is the 1. Section 17(d) of the Act and rule 2. Section 18(c) of the Act provides, issuer, except: (a) On a securities 17d–1 under the Act prohibit an in relevant part, that a closed-end exchange or other open market; (b) affiliated person of a registered investment company may not issue or pursuant to tenders, after reasonable investment company, or an affiliated sell any senior security if, immediately opportunity to submit tenders given to person of such person, acting as thereafter, the company has outstanding all holders of securities of the class to principal, from participating in or more than one class of senior security. be purchased; or (c) under other effecting any transaction in connection Applicants state that the creation of circumstances as the Commission may with any joint enterprise or joint multiple classes of shares of the Funds permit by rules and regulations or arrangement in which the investment may be prohibited by section 18(c), as orders for the protection of investors. company participates unless the a class may have priority over another 2. Rule 23c–3 under the Act permits Commission issues an order permitting class as to payment of dividends an ‘‘interval fund’’ to make repurchase the transaction. In reviewing because shareholders of different classes offers of between five and twenty-five applications submitted under section would pay different fees and expenses. percent of its outstanding shares at net 17(d) and rule 17d–1, the Commission 3. Section 18(i) of the Act provides asset value at periodic intervals considers whether the participation of that each share of stock issued by a pursuant to a fundamental policy of the the investment company in a joint registered management investment interval fund. Rule 23c–3(b)(1) under enterprise or joint arrangement is company will be a voting stock and the Act permits an interval fund to consistent with the provisions, policies have equal voting rights with every deduct from repurchase proceeds only a and purposes of the Act, and the extent other outstanding voting stock. repurchase fee, not to exceed two to which the participation is on a basis VerDate Sep<11>2014 18:16 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00095 Fmt 4703 Sfmt 4703 E:\FR\FM\01NON1.SGM 01NON1 sradovich on DSK3GMQ082PROD with NOTICES Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Notices 50703 different from or less advantageous than SECURITIES AND EXCHANGE Proposed Changes that of other participants. COMMISSION Current Practice 2. Rule 17d–3 under the Act provides [Release No. 34–81956; File No. SR–OCC– Presently, Article VIII, Section 5(e) of an exemption from section 17(d) and 2017–017] OCC’s By-Laws provides OCC with the rule 17d–1 to permit open-end authority to borrow against the Clearing investment companies to enter into Self-Regulatory Organizations; The Fund in two circumstances. First, distribution arrangements pursuant to Options Clearing Corporation; Notice Article VIII, Section 5(e) of OCC’s By- rule 12b–1 under the Act. Applicants of Filing of Proposed Rule Change Laws provides OCC the authority to request an order under section 17(d) and Concerning Liquidity for Same Day borrow where OCC ‘‘deems it necessary rule 17d–1 under the Act to the extent Settlement or advisable to borrow or otherwise necessary to permit the Fund to impose October 26, 2017. obtain funds from third parties in order asset-based distribution and/or service to meet obligations arising out of the Pursuant to Section 19(b)(1) of the fees. Applicants have agreed to comply default or suspension of a Clearing Securities Exchange Act of 1934 with rules 12b–1 and 17d–3 as if those Member or any action taken by the (‘‘Act’’) 1 and Rule 19b–4 thereunder 2 rules applied to closed-end investment Corporation in connection therewith notice is hereby given that on October companies, which they believe will pursuant to Chapter XI of the Rules or 13, 2017, The Options Clearing resolve any concerns that might arise in otherwise.’’ Second, Article VIII, connection with a Fund financing the Corporation (‘‘OCC’’) filed with the Section 5(e) of OCC’s By-Laws provides distribution of its shares through asset- Securities and Exchange Commission OCC the authority to borrow against the based distribution fees. (‘‘Commission’’) the proposed rule Clearing Fund where OCC ‘‘sustains a change as described in Items I, II and III 3. For the reasons stated above, loss reimbursable out of the Clearing below, which Items have been prepared applicants submit that the exemptions Fund pursuant to [Article VIII, Section by OCC. The Commission is publishing requested under section 6(c) are 5(b) of OCC’s By-Laws] but [OCC] elects this notice to solicit comments on the necessary and appropriate in the public to borrow or otherwise obtain funds proposed rule change from interested interest and are consistent with the from third parties in lieu of immediately persons. protection of investors and the purposes charging such loss to the Clearing fairly intended by the policy and I. Clearing Agency’s Statement of the Fund.’’ In order for a loss to be provisions of the Act. Applicants further Terms of Substance of the Proposed reimbursable out of the Clearing Fund submit that the relief requested Rule Change under Article VIII, Section 5(b) of OCC’s By-Laws, it must arise from a situation pursuant to section 23(c)(3) will be This proposed rule change by the in which any bank or securities or consistent with the protection of OCC would revise OCC’s By-Laws to commodities clearing organization has investors and will insure that applicants expand upon existing authority to failed ‘‘to perform any obligation to do not unfairly discriminate against any borrow against the Clearing Fund. holders of the class of securities to be [OCC] when due because of its purchased. Finally, applicants state that II. Clearing Agency’s Statement of the bankruptcy, insolvency, receivership, the Funds’ imposition of asset-based Purpose of, and Statutory Basis for, the suspension of operations, or because of distribution and/or service fees is Proposed Rule Change any similar event.’’ 3 consistent with the provisions, policies In its filing with the Commission, Under either of the two and purposes of the Act and does not OCC included statements concerning aforementioned circumstances, OCC is involve participation on a basis different the purpose of and basis for the authorized to borrow against the from or less advantageous than that of proposed rule change and discussed any Clearing Fund for a period not to exceed other participants. comments it received on the proposed 30 days, and during such period, the borrowing shall not affect the amount or Applicants’ Condition rule change. The text of these statements may be examined at the places specified timing of any charges otherwise required to be made against the Clearing Applicants agree that any order in Item IV below. OCC has prepared Fund pursuant to Article VIII, Section 5. granting the requested relief will be summaries, set forth in sections (A), (B), However, if any part of the borrowing subject to the following condition: and (C) below, of the most significant aspects of these statements. remains outstanding after 30 days, then Each Fund relying on the order will at the close of business on the 30th day comply with the provisions of rules 6c– (A) Clearing Agency’s Statement of the (or the first Business Day thereafter) 10, 12b–1, 17d–3, 18f–3, 22d–1, and, Purpose of, and Statutory Basis for, the such amount must be considered an where applicable, 11a–3 under the Act, Proposed Rule Change actual loss to the Clearing Fund, and as amended from time to time, as if OCC must immediately allocate such 1. Purpose those rules applied to closed-end loss in accordance with Article VIII, management investment companies, The purpose of the proposed change Section 5. and will comply with the NASD Sales is to modify the tools available to OCC Charge Rule, as amended from time to in order to provide a mechanism for Proposed Change time, as if that rule applied to all closed- addressing the risks of liquidity While Article VIII, Section 5(e) of end management investment shortfalls, specifically, in the OCC’s By-Laws currently provides for companies. extraordinary situation where OCC faces borrowing authority in the more For the Commission, by the Division of a liquidity need to meet its same-day extreme scenarios involving a bank’s or Investment Management, under delegated settlement obligations as a result of a securities or commodities clearing authority. bank or securities or commodities clearing organization failing to achieve 3 To the extent that a loss resulting from any of Eduardo A. Aleman, daily settlement. the events referred to in Article VIII, Section 5(b) Assistant Secretary. is recoverable out of the Clearing Fund pursuant to Article VIII, Section 5(a), the provisions of Article [FR Doc. 2017–23695 Filed 10–31–17; 8:45 am] 1 15 U.S.C. 78s(b)(1). VIII, Section 5(a) control and render the provisions BILLING CODE 8011–01–P 2 17 CFR 240.19b–4. of Article VIII, Section 5(b) inapplicable. VerDate Sep<11>2014 18:16 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00096 Fmt 4703 Sfmt 4703 E:\FR\FM\01NON1.SGM 01NON1 sradovich on DSK3GMQ082PROD with NOTICES 50704 Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Notices organization’s bankruptcy, insolvency, OCC proposes to amend Sections 1(a), chargeable against the Clearing Fund receivership, suspension of operations 5(b) and 5(e) of Article VIII of its By- would be consistent with the or similar event, such authority does not Laws in order to give effect to the requirements of the borrowing authority extend to the similar, but less extreme expanded borrowing authority currently permitted by Section 5(e) of scenarios in which a bank or securities discussed herein. Section 5(e) of Article Article VIII of the By-Laws. VIII of OCC’s By-Laws would be or commodities clearing organization 2. Statutory Basis might be temporarily unable to timely amended to permit OCC to borrow make daily settlement with OCC for against the Clearing Fund if it Section 17A(b)(3)(F) of the Act 5 reasons other than its bankruptcy, reasonably believes such borrowing is requires, among other things, that the insolvency, receivership or suspension necessary to meet its liquidity needs for rules of a clearing agency be designed to of operations or similar events. An same-day settlement as a result of the perfect the mechanism of a national example of such a related scenario failure of any bank or securities or system for the prompt and accurate would be a disruption of the ordinary commodities clearing organization to clearance and settlement of securities operations of a settlement bank that achieve daily settlement. transactions. The proposed rule change temporarily prohibits the bank from Section 1(a) of Article VIII of OCC’s is designed to ensure that OCC can timely effecting settlement payments in By-Laws would be amended to include continue to promptly settle the accordance with OCC’s daily settlement conforming changes that would reflect securities and derivatives transactions it cycle. that the purpose of the Clearing Fund clears by enhancing the existing tools The proposed rule change would includes borrowing against the Clearing OCC has to address liquidity shortfalls. Specifically, the proposed rule change expand upon the existing borrowing Fund as permitted under Section 5(e) of would expand the existing borrowing authority in Article VIII, Section 5(e) of Article VIII of the By-Laws. Section 5(b) of Article VIII of the By- authority in OCC’s By-Laws to also OCC’s By-Laws. As expanded, OCC Laws would be amended to include authorize borrowing in the would be authorized to borrow (or conforming changes that would declare extraordinary event that OCC faces a otherwise obtain funds through any that any borrowing remaining liquidity need in order to complete means determined to be reasonable by outstanding for less than 30 days may be same day settlement, independent of the Executive Chairman, COO or CAO) considered, in OCC’s discretion, an whether OCC has suffered a loss against the Clearing Fund in the actual loss and the amount of any such resulting from the bankruptcy or similar extraordinary event that OCC faces a loss then shall be charged event of a bank or securities or liquidity need in order to complete proportionately against all Clearing commodities clearing organization. same-day settlement. As specified in the Members’ computed contributions to It is conceivable, though extremely proposed rule text, the funds obtained the Clearing Fund as fixed at the time, unlikely, that parties may fail to make from any such transaction can be used and any borrowing remaining timely settlement with OCC as the result only for their stated purpose, namely, to outstanding on the 30th day shall be of an event that does not result in a loss satisfy a need for liquidity for same-day considered an actual loss to the Clearing to OCC from the bankruptcy, settlement. Consistent with the existing Fund and the amount of any such loss insolvency, resolution, suspension of borrowing authority in Article VIII, shall be charged proportionately against operations or similar event of a bank or Section 5(e) of OCC’s By-Laws, OCC all Clearing Members’ computed securities or commodities clearing would be authorized to borrow against contributions to the Clearing Fund as organization. A hypothetical example of the Clearing Fund for a period not to fixed at the time. The OCC proposes to one such event might be a temporary exceed 30 days, and during such period, include discretionary authority to disruption to the ordinary operation of the funds obtained would not be declare any borrowing outstanding for a settlement bank resulting from a deemed to be charges against the less than 30 days as an actual loss technology issue. The issue presents no Clearing Fund, irrespective of how such chargeable against the Clearing Fund concern about the bank’s funds are applied, and the borrowing because the proposed borrowing creditworthiness (or the shall not affect the amount or timing of authority is intended only to address creditworthiness of any Clearing any charges otherwise required to be same-day liquidity needs, and intended Member that has selected such made against the Clearing Fund to be promptly repaid upon the bank’s institution as its settlement bank) but pursuant to Article VIII, Section 5. or securities or commodities clearing the bank’s technology issue nonetheless However, in the unlikely event that any organization’s resolution of the temporarily interferes with the ability of part of the borrowing were to remain temporary disruption. In the unlikely the bank to timely move funds in outstanding after 30 days, then at the circumstance that a disruption of a bank accordance with OCC’s daily settlement close of business on the 30th day (or the or securities or commodities clearing cycle. In this hypothetical, the most first Business Day thereafter), such organization is not timely resolved, OCC likely alternative for OCC is to exercise amount would be considered an actual may need to exercise its discretion to its ability under Rule 505 to extend the loss to the Clearing Fund, and OCC declare an actual loss, depending on the settlement window to the close of must immediately allocate such loss in size of the borrowing, to ensure that Fedwire. The proposed rule change accordance with Article VIII, Section 5. OCC replenishes its ‘‘Cover 1’’ financial would provide OCC with an alternative Like the existing borrowing authority resources.4 The requirement to tool with which to address the type of in Article VIII, Section 5(e) of OCC’s By- recognize any borrowing outstanding extraordinary circumstance highlighted Laws, OCC envisions that the proposed after 30 days as an actual loss by OCC’s hypothetical. The proposed expanded authority only would be rule change would improve OCC’s relevant in extraordinary circumstances 4 ‘‘Cover 1’’ financial resources refers to the ability to address the situation in the and, even then, only would be used requirement that a CCA maintains financial hypothetical example because use of the where OCC, exercising its discretion, resources sufficient to enable it to cover the proposed expanded borrowing authority believes the employment of this ‘‘default of the participant family that would would enable OCC to borrow against the potentially cause the largest aggregate credit particular authority would be exposure for the [CCA] in extreme but plausible Clearing Fund in order to avoid appropriate to address OCC’s immediate market conditions.’’ 17 CFR 240.17Ad– liquidity need. 22(e)(7)(viii). 5 15 U.S.C. 78q–1(b)(3)(F). VerDate Sep<11>2014 18:16 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00097 Fmt 4703 Sfmt 4703 E:\FR\FM\01NON1.SGM 01NON1 sradovich on DSK3GMQ082PROD with NOTICES Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Notices 50705 disrupting its ordinary settlement cycle Clearing Members and would not affect amendments, all written statements (and thusly, to avoid imposing the same Clearing Members’ access to OCC’s with respect to the proposed rule disruption on Clearing Members), services or disadvantage or favor any change that are filed with the thereby avoiding the need to extend the particular user in relationship to Commission, and all written settlement window and allowing OCC to another user. As such, OCC believes that communications relating to the settle transactions in a more timely the proposed changes would not have proposed rule change between the fashion. In this regard, OCC believes the any impact or impose any burden on Commission and any person, other than proposed rule change is designed to competition. those that may be withheld from the promote the prompt and accurate public in accordance with the clearance and settlement of securities (C) Clearing Agency’s Statement on provisions of 5 U.S.C. 552, will be transactions, in accordance with the Comments on the Proposed Rule available for Web site viewing and requirements of Section 17A(b)(3)(F) of Change Received From Members, printing in the Commission’s Public the Act.6 Participants or Others Reference Room, 100 F Street NE., Additionally, Rule 17Ad–22(e)(7)(viii) Written comments were not and are Washington, DC 20549, on official requires that a covered clearing agency not intended to be solicited with respect business days between the hours of (‘‘CCA’’) address foreseeable liquidity to the proposed rule change, and none 10:00 a.m. and 3:00 p.m. Copies of such shortfalls that would not be covered by have been received. filing also will be available for the CCA’s liquid resources and seek to inspection and copying at the principal III. Date of Effectiveness of the avoid unwinding, revoking, or delaying office of OCC and on OCC’s Web site at Proposed Rule Change and Timing for the same-day settlement of payment http://www.theocc.com/components/ Commission Action obligations.7 As stated above, OCC docs/legal/rules_and_bylaws/sr_occ_17_ believes that it could be foreseeable, Within 45 days of the date of 017.pdf. though extremely unlikely, that a bank publication of this notice in the Federal All comments received will be posted or securities or commodities clearing Register or within such longer period without change. Persons submitting organization may fail to make timely up to 90 days (i) as the Commission may comments are cautioned that we do not settlement with OCC as the result of an designate if it finds such longer period redact or edit personal identifying event that does not result in a loss to to be appropriate and publishes its information from comment submissions. OCC from the bankruptcy, insolvency, reasons for so finding or (ii) as to which You should submit only information resolution, suspension of operations or the self-regulatory organization that you wish to make available similar event of such bank or securities consents, the Commission will: publicly. or commodities clearing organization. (A) By order approve or disapprove All submissions should refer to File The proposed rule change would the proposed rule change, or Number SR–OCC–2017–017 and should improve OCC’s ability to address such (B) institute proceedings to determine be submitted on or before November 22, situations by expanding OCC’s whether the proposed rule change 2017. borrowing authority to enable OCC to should be disapproved. For the Commission by the Division of borrow against the Clearing Fund in IV. Solicitation of Comments Trading and Markets, pursuant to delegated order to avoid disrupting its ordinary authority.9 settlement cycle (and thusly, to avoid Interested persons are invited to Eduardo A. Aleman, imposing the same disruption on submit written data, views, and Assistant Secretary. arguments concerning the foregoing, Clearing Members). [FR Doc. 2017–23736 Filed 10–31–17; 8:45 am] including whether the proposed rule The proposed rule change is not BILLING CODE 8011–01–P inconsistent with the existing rules of change is consistent with the Act. OCC, including any other rules Comments may be submitted by any of proposed to be amended. the following methods: SECURITIES AND EXCHANGE (B) Clearing Agency’s Statement on Electronic Comments COMMISSION Burden on Competition • Use the Commissions Internet [Release No. 34–81950; File No. SR– Section 17A(b)(3)(I) of the Act 8 comment form (http://www.sec.gov/ BatsBZX–2017–71] requires that the rules of a clearing rules/sro.shtml); or • Send an email to rule-comments@ Self-Regulatory Organizations; Cboe agency not impose any burden on BZX Exchange, Inc.; Notice of Filing competition not necessary or sec.gov. Please include File Number SR– OCC–2017–017 on the subject line. and Immediate Effectiveness of a appropriate in furtherance of the Proposed Rule Change To Update Rule purposes of the Act. OCC does not Paper Comments 21.1 To Adopt a New Time in Force believe the proposed rule change would • Send paper comments in triplicate Applicable to the Exchange’s Equity have any impact or impose any burden Options Platform on competition. The primary purpose of to Secretary, Securities and Exchange the proposed rule change is to enhance Commission, 100 F Street NE., October 26, 2017. the existing tools OCC has to address Washington, DC 20549–1090. Pursuant to Section 19(b)(1) of the liquidity shortfalls by expanding the All submissions should refer to File Securities Exchange Act of 1934 existing borrowing authority in OCC’s Number SR–OCC–2017–017. This file (‘‘Act’’),1 and Rule 19b–4 thereunder,2 By-Laws to also authorize borrowing in number should be included on the notice is hereby given that on October the extraordinary event that OCC faces subject line if email is used. To help the 20, 2017, Cboe BZX Exchange, Inc. (the a liquidity need in order to complete Commission process and review your ‘‘Exchange’’) (formerly known as Bats same day settlement. The proposed rule comments more efficiently, please use BZX Exchange, Inc.) filed with the change would apply equally to all only one method. The Commission will Securities and Exchange Commission post all comments on the Commission’s 6 Id. Internet Web site (http://www.sec.gov/ 9 17 CFR 200.30–3(a)(12). 7 17 CFR 240.17Ad–22(e)(7)(viii). rules/sro.shtml). Copies of the 1 15 U.S.C. 78s(b)(1). 8 15 U.S.C. 78q–1(b)(3)(I). submission, all subsequent 2 17 CFR 240.19b–4. VerDate Sep<11>2014 18:16 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00098 Fmt 4703 Sfmt 4703 E:\FR\FM\01NON1.SGM 01NON1 sradovich on DSK3GMQ082PROD with NOTICES 50706 Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Notices (‘‘Commission’’) the proposed rule Exchange, Incorporated (now known as system, and, in general to protect change as described in Items I and II Cboe Exchange, Inc.) (‘‘Cboe Options’’) investors and the public interest. In below, which Items have been prepared and C2 Options Exchange, Incorporated particular, consistent rules and by the Exchange. The Exchange has (now known as Cboe C2 Exchange, Inc.) functionality between the Exchange and designated this proposal as a ‘‘non- (‘‘C2 Options’’, and together with the its affiliated exchanges will reduce controversial’’ proposed rule change Exchange, BYX, EDGA, EDGX, and Cboe complexity and help avoid potential pursuant to Section 19(b)(3)(A) of the Options the ‘‘Cboe Affiliated confusion by the Users of the Exchange 3 Act and Rule 19b–4(f)(6)(iii) Exchanges’’).5 The Cboe Affiliated that are also participants on other Cboe 4 thereunder, which renders it effective Exchanges are working to align certain Affiliated Exchanges. upon filing with the Commission. The system functionality, retaining only Commission is publishing this notice to intended differences between the Cboe The Exchange believes the proposed solicit comments on the proposed rule Affiliated Exchanges, in the context of a amendment will reduce complexity and change from interested persons. technology migration. In the context of increase the understanding of the such migration, the Exchange is working Exchange’s operations for all Users of I. Self-Regulatory Organization’s the Exchange. In particular, by offering Statement of the Terms of Substance of to align its systems to offer certain the same Times in Force as EDGX the Proposed Rule Change features currently offered by Cboe Options and C2 Options as well as Options, the Exchange will avoid The Exchange filed a proposal to striving to maintain consistent confusion from market participants that update Rule 21.1 to adopt a new Time technology with the options platform participate on both the Exchange and in Force applicable to the Exchange’s operated by EDGX (‘‘EDGX Options’’). EDGX Options. In turn, when Cboe equity options platform (‘‘BZX Although the Exchange intentionally Options and C2 Options are migrated to Options’’). offers certain features that differ from the same technology as that of the The text of the proposed rule change those offered by its affiliates and will is available at the Exchange’s Web site Exchange, Users of the Exchange and continue to do so, the Exchange believes at www.markets.cboe.com, at the other Cboe Affiliated Exchanges will that offering similar functionality to the principal office of the Exchange, and at have access to similar functionality on extent practicable will reduce potential the Commission’s Public Reference all Cboe Affiliated Exchanges. As such, confusion for Users. Room. the proposed rule change would foster The Exchange proposes to amend cooperation and coordination with II. Self-Regulatory Organization’s Exchange Rule 21.1, Definitions, to add persons engaged in facilitating a new Time in Force, namely the time Statement of the Purpose of, and transactions in securities and would Statutory Basis for, the Proposed Rule in force of ‘‘At the Open’’ or ‘‘OPG’’. remove impediments to and perfect the Change As proposed, ‘‘At the Open’’ or ‘‘OPG’’ shall mean, for an order so mechanism of a free and open market In its filing with the Commission, the and a national market system. Exchange included statements designated, an order that shall only concerning the purpose of and basis for participate in the opening process on B. Self-Regulatory Organization’s the proposed rule change and discussed the Exchange. An OPG order not Statement on Burden on Competition any comments it received on the executed in the opening process will be proposed rule change. The text of these cancelled. The Exchange’s affiliate, The Exchange does not believe that statements may be examined at the EDGX Options, recently received the proposed rule change will impose places specified in Item IV below. The approval of various rule changes, any burden on competition that is not Exchange has prepared summaries, set including the adoption of a Time in necessary or appropriate in furtherance forth in Sections A, B, and C below, of Force of OPG that is identical to the of the purposes of the Act. The 6 the most significant parts of such Exchange’s proposed rule. The Exchange notes that the proposal will statements. Exchange notes that other options promote consistency between the exchanges also offer Times in Force Exchange and its affiliated exchanges, A. Self-Regulatory Organization’s that, similar to OPG, limit an order to Statement of the Purpose of, and and is part of a larger technology participating in an exchange’s opening integration that will ultimately reduce Statutory Basis for, the Proposed Rule process.7 Change complexity for Users of the Exchange 2. Statutory Basis that are also participants on other Cboe 1. Purpose The Exchange believes that its Affiliated Exchanges. The Exchange In 2016, the Exchange and its proposal is consistent with Section 6(b) does not believe that the proposed affiliates Bats BYX Exchange, Inc. (now of the Act 8 in general, and furthers the changes will have any direct impact on known as Cboe BYX Exchange, Inc.) objectives of Section 6(b)(5) of the Act 9 competition. Thus, the Exchange does (‘‘BYX’’), Bats EDGA Exchange, Inc. in particular, in that it is designed to not believe that the proposal creates any (now known as Cboe EDGA Exchange, promote just and equitable principles of significant impact on competition. Inc.) (‘‘EDGA’’), and Bats EDGX trade, to remove impediments to and C. Self-Regulatory Organization’s Exchange, Inc. (now known as Cboe perfect the mechanism of a free and Statement on Comments on the EDGX Exchange, Inc.) (‘‘EDGX’’) open market and a national market received approval to affect a merger (the Proposed Rule Change Received From ‘‘Merger’’) of the Exchange’s indirect 5 See Securities Exchange Act Release No. 79585 Members, Participants, or Others parent company, Bats Global Markets, (December 16, 2016), 81 FR 93988 (December 22, Inc. (‘‘BGM’’), with CBOE Holdings, Inc. 2016) (SR–BatsBZX–2016–68; SR–BatsBYX–2016– The Exchange has not solicited, and (now known as Cboe Global Markets, 29; SR–BatsEDGA–2016–24; SR–BatsEDGX–2016– does not intend to solicit, comments on 60). this proposed rule change. The Inc.) (‘‘CBOE Holdings’’), the direct 6 See Securities Exchange Act Release No. 81891 Exchange has not received any written parent of Chicago Board Options (October 17, 2017) (SR–Bats–EDGX–2017–29). 7 See, e.g., C2 Rule 6.10(c)(7); ISE Rule 715(o). comments from members or other 3 15 U.S.C. 78s(b)(3)(A). 8 15 U.S.C. 78f(b). interested parties. 4 17 CFR 240.19b–4(f)(6)(iii). 9 15 U.S.C. 78f(b)(5). VerDate Sep<11>2014 18:16 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00099 Fmt 4703 Sfmt 4703 E:\FR\FM\01NON1.SGM 01NON1 sradovich on DSK3GMQ082PROD with NOTICES Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Notices 50707 III. Date of Effectiveness of the IV. Solicitation of Comments For the Commission, by the Division of Proposed Rule Change and Timing for Trading and Markets, pursuant to delegated Commission Action Interested persons are invited to authority.14 submit written data, views, and Eduardo A. Aleman, Because the foregoing proposed rule arguments concerning the foregoing, Assistant Secretary. change does not: (i) Significantly affect including whether the proposed rule [FR Doc. 2017–23732 Filed 10–31–17; 8:45 am] the protection of investors or the public change is consistent with the Act. BILLING CODE 8011–01–P interest; (ii) impose any significant Comments may be submitted by any of burden on competition; and (iii) become the following methods: operative for 30 days from the date on SECURITIES AND EXCHANGE which it was filed, or such shorter time Electronic Comments COMMISSION as the Commission may designate, it has • Use the Commission’s Internet become effective pursuant to Section comment form (http://www.sec.gov/ [Release No. 34–81955; File No. SR–OCC– 19(b)(3)(A) of the Act and Rule 19b– 2017–010] 4(f)(6) thereunder.10 rules/sro.shtml); or • Self-Regulatory Organizations; The A proposed rule change filed Send an email to rule-comments@ Options Clearing Corporation; Notice pursuant to Rule 19b–4(f)(6) under the sec.gov. Please include File Number SR– of Filing of Proposed Rule Change Act 11 normally does not become BatsBZX–2017–71 on the subject line. Related to The Options Clearing operative for 30 days after the date of its Paper Comments Corporation’s Default Management filing. However, Rule 19b–4(f)(6)(iii) 12 Policy permits the Commission to designate a • Send paper comments in triplicate shorter time if such action is consistent to Secretary, Securities and Exchange October 26, 2017. with the protection of investors and the Commission, 100 F Street NE., Pursuant to Section 19(b)(1) of the public interest. The Exchange has asked Washington, DC 20549–1090. Securities Exchange Act of 1934 the Commission to waive the 30-day (‘‘Act’’),1 and Rule 19b–4 thereunder,2 operative delay so that the proposal may All submissions should refer to File Number SR–BatsBZX–2017–71. This file notice is hereby given that on October become operative immediately upon 12, 2017, The Options Clearing number should be included on the filing. The Commission notes that the Corporation (‘‘OCC’’) filed with the subject line if email is used. To help the proposed rule change is based on EDGX Securities and Exchange Commission Commission process and review your Rule 21.1(f)(6) and is identical to such (‘‘Commission’’) the proposed rule rule. Thus, the Commission believes comments more efficiently, please use change as described in Items I, II, and that waiver of the operative delay is only one method. The Commission will III below, which Items have been consistent with the protection of post all comments on the Commission’s prepared primarily by OCC. The investors and the public because the Internet Web site (http://www.sec.gov/ Commission is publishing this notice to proposal does not present any new or rules/sro.shtml). Copies of the solicit comments on the proposed rule novel issues that have not been submission, all subsequent change from interested persons. previously considered by the amendments, all written statements Commission. Therefore, the with respect to the proposed rule I. Clearing Agency’s Statement of the Commission hereby waives the 30-day change that are filed with the Terms of Substance of the Proposed Rule Change operative delay and designates the Commission, and all written proposal operative upon filing.13 communications relating to the This proposed rule change by The At any time within 60 days of the proposed rule change between the Options Clearing Corporation (‘‘OCC’’) filing of the proposed rule change, the Commission and any person, other than would formalize and update OCC’s Commission summarily may those that may be withheld from the Default Management Policy, which temporarily suspend such rule change if public in accordance with the would promote compliance with it appears to the Commission that such provisions of 5 U.S.C. 552, will be multiple requirements applicable to action is necessary or appropriate in the available for Web site viewing and OCC under Rule 17Ad–22, including public interest, for the protection of printing in the Commission’s Public Rules 17Ad–22(e)(4)(ix) (Replenishment investors, or otherwise in furtherance of Reference Room, 100 F Street NE., of Resources) and (e)(13) (Default Management).3 The Default the purposes of the Act. If the Washington, DC 20549 on official Management Policy is included as Commission takes such action, the business days between the hours of confidential Exhibit 5.4 Commission shall institute proceedings 10:00 a.m. and 3:00 p.m. Copies of the to determine whether the proposed rule The proposed rule change does not filing also will be available for require any changes to the text of OCC’s change should be approved or inspection and copying at the principal disapproved. By-Laws or Rules. All terms with initial office of the Exchange. All comments capitalization that are not otherwise received will be posted without change. 10 17 CFR 240.19b–4(f)(6). As required under Rule defined herein have the same meaning 19b–4(f)(6)(iii), the Exchange provided the Persons submitting comments are as set forth in the OCC By-Laws and Commission with written notice of its intent to file cautioned that we do not redact or edit Rules.5 the proposed rule change, along with a brief personal identifying information from description and the text of the proposed rule comment submissions. You should 14 change, at least five business days prior to the date 17 CFR 200.30–3(a)(12). of filing of the proposed rule change, or such submit only information that you wish 1 15 U.S.C. 78s(b)(1). shorter time as designated by the Commission. to make available publicly. All 2 17 CFR 240.19b–4. 11 17 CFR 240.19b–4(f)(6). submissions should refer to File 3 17 CFR 240.17Ad–22(e)(4)(ix) and (e)(13). 12 17 CFR 240.19b–4(f)(6)(iii). Number SR–BatsBZX–2017–71 and 4 The Commission notes that Exhibit 5 is 13 For purposes only of waiving the 30-day included in the filing, not in this Notice. operative delay, the Commission has considered the should be submitted on or before 5 OCC’s By-Laws and Rules can be found on proposed rule’s impact on efficiency, competition, November 22, 2017. OCC’s public Web site: http://optionsclearing.com/ and capital formation. See 15 U.S.C. 78c(f). about/publications/bylaws.jsp. VerDate Sep<11>2014 18:16 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00100 Fmt 4703 Sfmt 4703 E:\FR\FM\01NON1.SGM 01NON1 sradovich on DSK3GMQ082PROD with NOTICES 50708 Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Notices II. Clearing Agency’s Statement of the any financial resources it may use covered clearing agency, including Purpose of, and Statutory Basis for, the following a default or other event in under Rule 17Ad–22.16 Proposed Rule Change which use of such resources is The DM Policy describes the authority In its filing with the Commission, contemplated’’ 12 and (ii) ensure that of OCC’s Board of Directors (‘‘Board’’) or OCC included statements concerning OCC ‘‘has the authority and operational a Designated Officer 17 to summarily the purpose of and basis for the capacity to take timely action to contain suspend a Clearing Member pursuant to proposed rule change and discussed any losses and liquidity demands and OCC Rule 1102(a) in the event the comments it received on the proposed continue to meet its obligations by, at a Clearing Member defaults. The DM rule change. The text of these statements minimum, requiring [OCC’s] Policy further provides that, pursuant to may be examined at the places specified participants and, when practicable, OCC Rule 707, OCC may suspend a in Item IV below. OCC has prepared other stakeholders to participate in the Clearing Member that participates in a summaries, set forth in sections (A), (B), testing and review of its default cross-margining program in the event of and (C) below, of the most significant procedures, including any close-out a default regarding its cross-margining aspects of these statements. procedure, at least annually and accounts. Upon any suspension of a 13 (A) Clearing Agency’s Statement of the following material changes thereto.’’ Clearing Member, the DM Policy states Purpose of, and Statutory Basis for, the OCC believes that the DM Policy that OCC would immediately notify a Proposed Rule Change promotes compliance with these number of parties, including the requirements under Rules 17Ad– suspended Clearing Member, regulatory (1) Purpose 22(e)(4)(ix) and (e)(13), and an overview authorities, participant and other Background of the DM Policy is provided below. exchanges (as applicable) in which the suspended Clearing Member is a On September 28, 2016, the Default Management Policy common member, other Clearing Commission adopted amendments to Members,18 and OCC’s Board.19 Rule 17Ad–22 6 and added new Rule OCC proposes to formalize its DM 17Ab2–2 7 pursuant to Section 17A of Policy, which would apply in the event In the event of a Clearing Member the Securities Exchange Act of 1934, as of a default by a Clearing Member, suspension, the DM Policy provides that amended, (‘‘Act’’) 8 and the Payment, settlement bank or a financial market OCC’s Financial Risk Management Clearing, and Settlement Supervision utility with which OCC has a department (‘‘FRM’’) shall prepare an Act of 2010 (‘‘Payment, Clearing and relationship (‘‘FMU’’).14 The purpose of exposure summary report to be Settlement Supervision Act’’) 9 to the policy is to outline OCC’s default provided to OCC’s Management establish enhanced standards for the management framework and describe Committee detailing, among other operation and governance of those the default management steps that OCC things, the open obligations of the clearing agencies registered with the has authority to take depending upon suspended Clearing Member, collateral Commission that meet the definition of the facts and circumstances of a default. deposited by the Clearing Member, a ‘‘covered clearing agency,’’ as defined The DM Policy focuses on Clearing obligations to other FMUs and a by Rule 17Ad–22(a)(5) 10 (collectively, Member default, which OCC believes is summary of related entity exposure. The the new and amended rules are herein appropriate because Clearing Member report summarizes the net settlement referred to as the ‘‘CCA’’ rules). OCC default represents a substantial part of obligation of the suspended Clearing meets the definition of a covered the overall default risk that is posed to Member at the time of default. The DM clearing agency and is therefore subject OCC in connection with its central Policy further provides that a 11 to the requirements of the CCA rules. counterparty clearing services.15 recommendation as to any liquidity needs requiring a draw on OCC’s credit Relevance of OCC’s Default OCC notes that the DM Policy is part facilities would be provided to OCC’s Management Policy to Rules 17Ad– of a broader framework used by OCC to Management Committee and 22(e)(4)(ix) and (e)(13) manage the default of a Clearing subsequently be authorized, as Certain of the CCA rules relate to Member, settlement bank or FMU, applicable, by the Executive Chairman, matters that, as described below, are including OCC’s By-Laws, Rules, and CAO, or COO, as provided for in Article addressed by OCC’s Default other policies and procedures. The VIII, Section 5 of the By-Laws. These Management Policy (‘‘DM Policy’’). broader framework is designed to practices ensure that OCC’s Specifically, Rules 17Ad–22(e)(4)(ix) collectively ensure that OCC would Management Committee remains and (e)(13) respectively require OCC to, appropriately manage any such default properly informed and can make among other things, establish, consistent with OCC’s obligations as a implement, maintain, and enforce 16 In this regard, the DM Policy provides that OCC written policies and procedures 12 17 CFR 240.17Ad–22(e)(4)(ix). publishes key aspects of its default management reasonably designed to: (i) Effectively 13 17 CFR 240.17Ad–22(e)(13). Rules and procedures on its Web site. The summary identify, measure, and manage its credit 14 Examples of such FMUs contemplated by the is available at https://www.theocc.com/risk- exposures to participants and those DM Policy are the following securities or management/default-rules/. commodities clearing organizations: The Depository 17 For this purpose, the term Designated Officer arising from its payment, clearing and Trust Company, National Securities Clearing includes the Executive Chairman, Chief settlement processes, including by Corporation, and the Chicago Mercantile Exchange. Administrative Officer (‘‘CAO’’), Chief Operating ‘‘describing [OCC’s] process to replenish In an event of default by one of these securities or Officer (‘‘COO’’), Chief Risk Officer (‘‘CRO’’) and commodities clearing organizations, or by a Executive Vice President—Financial Risk settlement bank, OCC has authority under certain Management (‘‘EVP–FRM’’). 6 Securities Exchange Act Release No. 78961 conditions pursuant to Article VIII, Section 18 OCC Rule 1103 requires OCC to notify all (September 28, 2016), 81 FR 70786 (October 13, 1.(a)(vii) and 5.(b) of the By-Laws to manage the Clearing Members of the suspension as soon as 2016) (‘‘CCA Adopting Release’’); see also 17 CFR default using Clearing Member contributions to the possible. 240.17Ad–22. Clearing Fund. 19 With respect to pending transactions of a 7 17 CFR 240.17Ab2–2. 15 For purposes of the DM Policy, references to a suspended Clearing Member, the DM Policy 8 15 U.S.C. 78q–1. Clearing Member suspension or default contemplate provides that these will be handled pursuant to 9 12 U.S.C. 5461 et. seq. the circumstances specified in OCC Rule 1102, OCC Rule 1105, provided that OCC has no 10 17 CFR 240.17Ad–22(a)(5). which constitute events of ‘‘default’’ under obligation to accept the trades effected by a 11 Id. Interpretation and Policy .01 to the Rule. suspended Clearing Member post-suspension. VerDate Sep<11>2014 18:16 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00101 Fmt 4703 Sfmt 4703 E:\FR\FM\01NON1.SGM 01NON1 sradovich on DSK3GMQ082PROD with NOTICES Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Notices 50709 appropriate decisions in the default means by which OCC may determine derivatives clearing organization with management process. close out positions and collateral of the the CFTC, OCC is required to comply The DM Policy describes OCC’s suspended Clearing Member pursuant to with regulatory requirements to existing authority under OCC Rule 505 OCC’s Rules, including certain safeguard customer assets. to extend the time for OCC’s settlement provisions under Chapter XI of the In the event of a default, OCC would obligations (i.e., payment obligations Rules. Based upon recommendations immediately demand any pledged owed by OCC to Clearing Members). from OCC’s risk staff, the EVP–FRM collateral of the suspended Clearing The DM Policy notes that any such may take any one, or any combination, Member from custodian(s) to ensure determination to extend the settlement of the following actions pursuant to the those resources are available for default time and the reasons thereof will be terms of OCC’s By-Laws and Rules: (i) management purposes. For example, the Net the suspended Clearing Member’s promptly reported by OCC to the DM Policy provides that, among other positions by offset; (ii) effect market Commission and the Commodity things, cash and proceeds from any transactions to close out open short Futures Trading Commission (‘‘CFTC’’), liquidated collateral or demand of positions, long positions, and collateral; however, the effectiveness of the payment on a letter of credit would be (iii) transfer the positions and related extension is not be conditioned upon placed in the appropriate liquidating collateral to a non-suspended Clearing such reporting. The DM Policy notes settlement account, pursuant to OCC Member; (iv) effect hedging transactions that such an extension may be necessary Rule 1104. The DM Policy further to reduce the risk to OCC of open as a result of a Clearing Member default provides that all pledged valued margin positions; (v) conduct a private auction or a failure of a Clearing Member’s collateral will be moved by the settlement bank. of the positions and collateral of the suspended Clearing Member; (vi) Collateral Services Department into an To address situations in which a OCC account and may be transferred to Clearing Member’s settlement bank fails exercise unsegregated and segregated long options; (vii) set cash settlement an auction recipient, delivered to a or experiences an operational outage liquidating agent or delivered to a that prevents the Clearing Member from values or perform buy-in or sell-out processes; and (viii) defer close-out, as liquidating settlement account. In the meeting its settlement obligations to case of deposits in lieu of margin, OCC, the DM Policy provides that OCC may be authorized by certain officers of OCC.22 however, the DM Policy states that OCC requires each Clearing Member to would only demand such collateral to maintain procedures detailing how it In addition, the DM Policy specifies that OCC risk staff will develop a Close- meet obligations arising from the would meet its settlement obligations in assignment of a related contract. such an event. The DM Policy further out Action Plan (‘‘CAP’’) and present it provides that a Designated Officer to the EVP–FRM for approval. The DM After the close-out of the suspended would determine whether to enact these Policy provides that upon approval of Clearing Member is completed, the DM alternate settlement procedures in the the CAP by the EVP–FRM, FRM and Policy describes that the Executive event that a Clearing Member’s other designated business OCC business Chairman, CAO, or COO would settlement bank is unable to perform. units and personnel will be responsible determine whether, consistent with The DM Policy sets forth the sequence for its execution. The DM Policy also Article VIII, Section 5(a) of OCC’s By- or ‘‘waterfall’’ of financial resources that provides that OCC’s legal department Laws, an assessment must be made OCC may use to meet its obligations in would advise OCC’s Management against the Clearing Fund in connection the event of a Clearing Member Committee on OCC’s authority to with the liquidation. In the event of a execute the proposed CAP and describe suspension to provide certainty shortfall whereby the close-out of the the responsibilities for the execution, regarding the order in which these suspended Clearing Member does not monitoring and reporting of the CAP resources would be applied. result in enough resources to cover its and escalation of issues to OCC’s Specifically, the DM Policy describes obligations, the DM Policy states that Management Committee. The CAP that OCC is able to use the following each Clearing Member, consistent with process is designed to ensure that OCC financial resources: (i) Margin deposits Article VIII, Section 6 of OCC’s By- has an appropriate process in place to of the suspended Clearing Member; (ii) Laws, may be assessed an additional analyze its exposures, take into deposits in lieu of margin of the amount equal to the amount of its initial consideration current and expected suspended Clearing Member; 20 Clearing Fund deposit, as determined by (iii) market conditions, and evaluate the Clearing Fund deposits of the the Executive Chairman, CAO, or COO. tools and resources available to deal The DM Policy notes that any such suspended Clearing Member; (iv) with those exposures under the Clearing Fund deposits of non- assessment decision would be circumstances so that OCC can communicated via email in accordance defaulting Clearing Members; (v) appropriately manage any default in a Clearing Fund assessments against with the procedure covering the manner that would protect Clearing assessment process. The DM Policy also Clearing Members; and (vi) the current Members, investors, the public interest, or retained earnings of OCC, subject to specifies that a Clearing Member is and the markets that OCC serves. liable for further assessments until the the unanimous approval of certain OCC The DM Policy provides that OCC shareholders.21 balance of OCC’s losses are covered or would generally liquidate all positions the Clearing Member has withdrawn In the case of a suspended Clearing and collateral of a suspended Clearing Member, the DM Policy outlines the from membership as set forth in Article Member, and the proceeds would be VIII, Sections 6 and 7 of OCC’s By-Laws. attributed to the account type from 20 See Rule 610(f) and (g). which they originated. It also specifies The DM Policy provides that, on at 21 See OCC By-Law Article VIII, Section 5(d). In least an annual basis, OCC’s default lieu of charging a loss or deficiency proportionately that as a registered clearing agency with to the computed Clearing Fund contributions of the Commission and a registered management working group will non-defaulting Clearing Members, OCC may charge provide OCC’s Management Committee the loss or deficiency to current or retained 22 The DM Policy also provides that any with recommended areas for testing, earnings. This same discretion applies in determination to defer close-out or hedging including close-out procedures, and that connection with any loss by reason of the failure transactions under the CAP would be reported to the Management Committee is of a bank or securities or commodities clearing the Board and/or the Risk Committee, as required organization to perform an obligation to OCC. under OCC Rules 1106. responsible for reviewing and ultimately VerDate Sep<11>2014 18:16 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00102 Fmt 4703 Sfmt 4703 E:\FR\FM\01NON1.SGM 01NON1 sradovich on DSK3GMQ082PROD with NOTICES 50710 Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Notices approving the overall test plan.23 In consistent with Section 17A(b)(3)(F) of 22(e)(4)(ix) 32 because the DM Policy addition, the DM Policy specifies that the Act.26 describes the process by which OCC the default management working group Rules 17Ad–22(e)(4)(ix) and (e)(13) may initiate a Clearing Fund assessment maintains the authority to approve respectively require a covered clearing to replenish financial resources that individual test plans and overall plan agency to, among other things, establish, may be used following a default and changes, but that any changes to the implement, maintain, and enforce attendant suspension of a Clearing overall plan would be reported to and written policies and procedures Member. Specifically, the DM Policy reviewed by OCC’s Management reasonably designed to: (i) Effectively provides that where the liquidation of a Committee. The DM Policy further identify, measure, and manage its credit suspended Clearing Member results in a provides that testing is recommended exposures to participants and those shortfall, certain officers of OCC may and performed more frequently than arising from its payment, clearing and require that all Clearing Members be annually if a material change is made to settlement processes, including by assessed an additional amount equal to OCC’s default management procedures describing its process to replenish any the amount of their respective Clearing or if it is deemed necessary by OCC’s financial resources it may use following Fund deposits, consistent with OCC’s default management working group. a default or other event in which use of By-Laws, and that a Clearing Member is These provisions are designed to ensure such resources is contemplated 27 and liable for further assessments until the that OCC maintains policies and (ii) ensure that it has the authority and balance of OCC’s losses are covered or procedures reasonably designed to operational capacity to take timely the Clearing Member has withdrawn satisfy the requirements of Rule 17Ad– action to contain losses and liquidity from membership as set forth in OCC’s 22(e)(13) 24 relating to the testing and demands and continue to meet its By-Laws. In addition, the DM Policy review of its default procedures. obligations by, at a minimum, requiring also provides that, pursuant to the In addition, the DM Policy outlines its participants and, when practicable, waterfall of financial resources used in the execution of the testing plan and the other stakeholders to participate in the the event of a Clearing Member review of the results of the testing plan, testing and review of its default suspension, OCC could use current or including the production of annual procedures, including any close-out retained earnings, consistent with OCC’s reports to OCC’s Management procedure, at least annually and By-Laws, to continue meeting its Committee and Risk Committee following material changes thereto.28 financial obligations. regarding the results of OCC’s default OCC believes that the proposed rule The proposed rule change is not tests to provide appropriate oversight change is consistent with Rule 17Ad– inconsistent with the existing rules of over the default testing process. 22(e)(13) 29 because the DM Policy, OCC, including any other rules proposed to be amended. (2) Statutory Basis among other things, sets forth OCC’s authority and operational capabilities to 25 (B) Clearing Agency’s Statement on Section 17A(b)(3)(F) of the Act take timely action to contain losses and requires, among other things, that the Burden on Competition liquidity demands and continue to meet 33 rules of a clearing agency be designed to its obligations. For example, the DM Section 17A(b)(3)(I) of the Act promote the prompt and accurate Policy sets forth the procedures by requires that the rules of a clearing clearance and settlement of securities which OCC would suspend a Clearing agency not impose any burden on transactions, and, in general, protect Member as well as the waterfall of competition not necessary or investors and the public interest. The financial resources that OCC would use appropriate in furtherance of the purposes of the Act. OCC does not DM Policy focuses on the processes that to contain losses arising from the believe that the proposed rule change OCC would use to take timely action to Clearing Member’s default. The DM would impact or impose any burden on contain losses and liquidity demands in Policy also sets forth, among other competition. As a general matter, the an event of default by a Clearing things, the various means by which OCC DM Policy describes the processes OCC Member, such as closing out open may close-out the positions of a would follow in a default that are positions and collateral of a defaulted suspended Clearing Member and the already set forth in OCC’s approved By- Clearing Member, using alternate process it uses to make such Laws and Rules. More specifically, the settlement bank procedures or relying determinations, which OCC believes proposed rule change sets forth in a on Clearing Fund contributions of helps ensure that OCC has sufficient single document the framework OCC Clearing Members under certain operational capacity take timely action would use to manage the default conditions. In this regard, the DM Policy to contain losses and liquidity demands primarily of a Clearing Member, as well is designed to ensure that OCC can and continue to meet its obligations as the default of a settlement bank or maintain its resilience in the event of a consistent with Rule 17Ad–22(e)(13).30 FMU. Because any individual Clearing default, thereby enabling OCC to In addition, OCC believes that the DM Member, settlement bank, or FMU continue to provide its clearance and Policy is consistent with the testing under the DM Policy is equally subject settlement services to the public in such requirement in Rule 17Ad–22(e)(13) 31 to the aspects of OCC’s default circumstances. Accordingly, OCC because the DM Policy sets forth OCC’s management framework that apply to it, believes that the DM Policy is designed processes for managing annual testing, the proposed rule change would not to (i) protect investors and the public or more frequent testing following a provide any such entity with a interest, and (ii) promote the prompt change to OCC’s default management competitive advantage over any other and accurate clearance and settlement of procedures. securities transactions in a manner OCC also believes that the DM Policy similar entity. OCC notes that, in is consistent with Rule 17Ad– managing any potential default, OCC 23 The DM Policy also provides that Clearing focuses on the risk posed to OCC by Members are required to participate in default 26 such default. Accordingly, to the extent, management testing pursuant to OCC Rules 218(c) Id. 27 for example, that OCC were to close-out and (d). See Securities Exchange Act Release No. 17 CFR 240.17Ad–22(e)(4)(ix). 80372 (April 4, 2017), 82 FR 17311 (April 10, 2017) 28 17 CFR 240.17Ad–22(e)(13). the open positions of one suspended (SR–OCC–2017–003). 29 Id. 24 17 CFR 240.17Ad–22(e)(13). 30 Id. 32 17 CFR 240.17Ad–22(e)(4)(ix). 25 15 U.S.C. 78q–1(b)(3)(F). 31 Id. 33 15 U.S.C. 78q–1(b)(3)(I). VerDate Sep<11>2014 18:16 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00103 Fmt 4703 Sfmt 4703 E:\FR\FM\01NON1.SGM 01NON1 sradovich on DSK3GMQ082PROD with NOTICES Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Notices 50711 Clearing Member in a different manner Paper Comments SECURITIES AND EXCHANGE than it were to close-out the open • COMMISSION positions of another Clearing Member, Send paper comments in triplicate such differences result from the risks to Secretary, Securities and Exchange [Release No. 34–81962; File No. SR– posed to OCC by each Clearing Commission, 100 F Street NE., BatsBZX–2017–70] Member’s respective positions. Washington, DC 20549–1090. Self-Regulatory Organizations; Bats Moreover, the treatment of customer All submissions should refer to File versus proprietary positions in a default BZX Exchange, Inc.; Notice of Filing Number SR–OCC–2017–010. This file and Immediate Effectiveness of a scenario are not specifically addressed number should be included on the in the DM Policy, which as noted sets Proposed Rule Change To Reflect in subject line if email is used. To help the forth a general framework for managing the Exchange’s Governing Documents, Commission process and review your defaults, but rather in OCC’s existing Rulebook and Fees Schedules, a Non- By-Laws and Rules. Further, the comments more efficiently, please use Substantive Corporate Branding proposed rule change would not affect only one method. The Commission will Change, Including Changes to the Clearing Members’ access to OCC’s post all comments on the Commission’s Company’s Name, the Intermediate’s services or impose any direct burdens Internet Web site (http://www.sec.gov/ Name, and the Exchange’s Name rules/sro.shtml). Copies of the on Clearing Members. October 26, 2017. submission, all subsequent For the foregoing reasons, OCC Pursuant to Section 19(b)(1) of the amendments, all written statements believes that the proposed rule change Securities Exchange Act of 1934 (the with respect to the proposed rule is in the public interest, would be ‘‘Act’’),1 and Rule 19b–4 thereunder,2 consistent with the requirements of the change that are filed with the notice is hereby given that on October Act applicable to clearing agencies, and Commission, and all written 16, 2017, Bats BZX Exchange, Inc. (the would not impact or impose a burden communications relating to the ‘‘Exchange’’ or ‘‘BZX’’) filed with the on competition. proposed rule change between the Securities and Exchange Commission (C) Clearing Agency’s Statement on Commission and any person, other than (‘‘Commission’’) the proposed rule Comments on the Proposed Rule those that may be withheld from the change as described in Items I and II Change Received From Members, public in accordance with the below, which Items have been prepared Participants or Others provisions of 5 U.S.C. 552, will be by the Exchange. The Commission is available for Web site viewing and publishing this notice to solicit Written comments on the proposed printing in the Commission’s Public comments on the proposed rule change rule change were not and are not Reference Room, 100 F Street NE., from interested persons. intended to be solicited with respect to Washington, DC 20549, on official the proposed rule change and none have I. Self-Regulatory Organization’s been received. business days between the hours of Statement of the Terms of Substance of 10:00 a.m. and 3:00 p.m. Copies of such the Proposed Rule Change III. Date of Effectiveness of the filing also will be available for Proposed Rule Change and Timing for inspection and copying at the principal The Exchange filed a proposed rule Commission Action office of OCC and on OCC’s Web site at change with respect to amendments of Within 45 days of the date of http://www.theocc.com/components/ the Second Amended and Restated publication of this notice in the Federal docs/legal/rules_and_bylaws/sr_occ_17_ Certificate of Incorporation (the ‘‘Company’s Certificate’’) and Third Register or within such longer period 010.pdf. up to 90 days (i) as the Commission may Amended and Restated Bylaws (the ’’ All comments received will be posted Company’s Bylaws’’) of its parent designate if it finds such longer period without change. Persons submitting to be appropriate and publishes its corporation, CBOE Holdings, Inc. comments are cautioned that the (‘‘CBOE Holdings’’ or the ‘‘Company’’) reasons for so finding or (ii) as to which Commission does not redact or edit the self-regulatory organization to change the name of the Company to personal identifying information from consents, the Commission will: Cboe Global Markets, Inc. With respect (A) By order approve or disapprove comment submissions. You should to CBOE V, LLC, an intermediate the proposed rule change, or submit only information that you wish Holding Company of the Exchange (the (B) institute proceedings to determine to make available publicly. ‘‘Intermediate’’), the Exchange proposes whether the proposed rule change All submissions should refer to File to amend the Certificate of Formation should be disapproved. Number SR–OCC–2017–010 and should and Limited Liability Company Operating Agreement of CBOE V, LLC be submitted on or before November 22, IV. Solicitation of Comments (the ‘‘Operating Agreement’’), in 2017. Interested persons are invited to connection with a related name change submit written data, views and For the Commission, by the Division of for the Intermediate. The Exchange also arguments concerning the foregoing, Trading and Markets, pursuant to delegated proposes to amend its Amended and 34 including whether the proposed rule Authority. Restated Certificate of Incorporation (the change is consistent with the Act. Eduardo A. Aleman, ‘‘Exchange Certificate’’), Sixth Amended Comments may be submitted by any of Assistant Secretary. and Restated Bylaws of Bats BZX the following methods: [FR Doc. 2017–23735 Filed 10–31–17; 8:45 am] Exchange, Inc. (the ‘‘Exchange Bylaws’’), rulebook and fees schedules BILLING CODE 8011–01–P Electronic Comments (collectively ‘‘operative documents’’) in • Use the Commission’s Internet connection with the name change of its comment form (http://www.sec.gov/ parent Company, Intermediate, and the rules/sro.shtml); or Exchange. • Send an email to rule-comments@ sec.gov. Please include File Number SR– 1 15 U.S.C. 78s(b)(1). OCC–2017–010 on the subject line. 34 17 CFR 200.30–3(a)(12). 2 17 CFR 240.19b–4. VerDate Sep<11>2014 18:16 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00104 Fmt 4703 Sfmt 4703 E:\FR\FM\01NON1.SGM 01NON1 sradovich on DSK3GMQ082PROD with NOTICES 50712 Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Notices The text of the proposed rule change The Company’s Name Change amendment, alteration or repeal of any is also available on the Exchange’s Web In connection with the corporate provision of the Bylaws shall be site (http://www.cboe.com/AboutCBOE/ name change of its parent company, the effective, such amendment, alteration or CBOELegalRegulatoryHome.aspx), at Exchange is proposing to amend the repeal shall be submitted to the board of the Exchange’s Office of the Secretary, Company’s Certificate and Bylaws. directors of each Regulated Securities and at the Commission’s Public Specifically, the Company is changing Exchange Subsidiary, and if such Reference Room. its name from ‘‘CBOE Holdings, Inc.’’ to amendment, alteration or repeal must be ‘‘Cboe Global Markets, Inc.’’. filed with or filed with and approved by II. Self-Regulatory Organization’s the Securities and Exchange Statement of the Purpose of, and (a) Company’s Certificate Commission, then such amendment, Statutory Basis for, the Proposed Rule The Exchange proposes to (i) delete alteration or repeal shall not become Change the following language from Paragraph effective until filed with or filed with (1) of the introductory paragraph: ‘‘The and approved by the Securities and In its filing with the Commission, the name of the Corporation is CBOE Exchange Commission, as the case may Exchange included statements Holdings, Inc.’’ and (ii) amend Article be.’’ As the Company currently controls concerning the purpose of and basis for First of the Company’s Certificate to a number of Regulated Securities the proposed rule change and discussed reflect the new name, ‘‘Cboe Global Exchange Subsidiaries, it does not any comments it received on the Markets, Inc.’’ The Exchange also believe it is necessary to explicitly proposed rule change. The text of these proposes to add clarifying language and reference only Chicago Board Options statements may be examined at the cite to the applicable provisions of the Exchange, Incorporated and therefore places specified in Item IV below. The General Corporation Law of the State of proposes to delete the following Exchange has prepared summaries, set Delaware in connection with the language: ‘‘including, but not limited to forth in sections A, B, and C below, of proposed name change. The Exchange Chicago Board Options Exchange, the most significant aspects of such notes that it is not amending the Incorporated’’. statements. Company’s name in the title or signature The Intermediate’s Name Change line as the name changes will not be A. Self-Regulatory Organization’s effective until the Company, as For purposes of consistency, certain Statement of the Purpose of, and currently named, files the proposed of the Parent’s subsidiaries have also Statutory Basis for, the Proposed Rule changes in Delaware. Thereafter, the undertaken to change their legal names. Change Exchange will amend the Certificate to As a result, the Exchange also proposes to change the name of the Intermediate 1. Purpose reflect the new name in the title and signature line. The Exchange also notes from ‘‘CBOE V, LLC’’ to ‘‘Cboe Bats, Background that although the name of ‘‘Chicago LLC.’’ Board Options Exchange, Incorporated’’ The purpose of this filing is to reflect (a) Certificate of Formation is changing to ‘‘Cboe Exchange Inc.’’, it in the Exchange’s governing documents is not amending the name of Chicago As it relates to the Certificate of (and the governing documents of its Board Options Exchange, Incorporated Formation of CBOE V, LLC, references parent company, CBOE Holdings) and (‘‘CBOE’’) referenced in Article to ‘‘CBOE V, LLC’’ will be deleted and the Exchange’s rulebook and fees Fifth(a)(iii) at this time. Particularly, the revised to state its new name ‘‘Cboe schedules, a non-substantive corporate Exchange notes that unlike the Bats, LLC’’. The Exchange also proposes branding change, including changes to exception applicable to proposed to add clarifying and conforming the Company’s name, the Intermediate’s changes to the Company’s name,3 a vote language in order to conform to, as well name, and the Exchange’s name. of stockholders is required to adopt an as cite to, the applicable provisions of Particularly, references to Company’s, amendment to the reference of CBOE’s the General Corporation Law of the Intermediate’s and Exchange’s names name. As such, the Exchange will State of Delaware in connection with will be deleted and revised to state the submit a rule filing to amend the the proposed name change. The new names, as described more fully Certificate to reflect the new CBOE Exchange notes to conform with the below. No other substantive changes are name at such time it is ready to obtain revised language in the introductory being proposed in this filing. The stockholder approval. paragraph, it also proposes to amend references to ‘‘LLC’’ to ‘‘limited liability Exchange represents that these changes (b) Company’s Bylaws are concerned solely with the company’’. The Exchange also notes that administration of the Exchange and do With respect to the Company’s it is not amending the Intermediate’s not affect the meaning, administration, Bylaws, references to ‘‘CBOE Holdings, name in the title or signature line as the name changes will not be effective until or enforcement of any rules of the Inc.’’ will be deleted and revised to state ‘‘Cboe Global Markets, Inc.’’ The the Intermediate, as currently named, Exchange or the rights, obligations, or Exchange also proposes to eliminate the files the proposed changes in Delaware.4 privileges of Exchange members or their reference to ‘‘Chicago Board Options Thereafter, the Exchange will amend the associated persons is any way. Exchange, Incorporated’’ in Article 10, Certificate of Formation to reflect the Accordingly, this filing is being Section 10.2. Particularly, Section 10.2 new name in the title and signature line. submitted under Rule 19b–4(f)(3). In provides that ‘‘for so long as the (b) Operating Agreement lieu of providing a copy of the marked Corporation shall control, directly or name changes, the Exchange represents indirectly, any national securities As it relates to the Operating that it will make the necessary non- exchange, including, but not limited to Agreement of the Intermediate, substantive revisions described below to Chicago Board Options Exchange, the Exchange’s corporate governance Incorporated (a ‘‘Regulated Securities 4 The Exchange notes that the current signature documents, rulebook, and fees Exchange Subsidiary’’), before any block of the Certificate of Formation references schedules, and post updated versions of ‘‘CBOE Holdings, Inc.’’ instead of ‘‘CBOE V, LLC’’. The Exchange proposes to correct that reference and each on the Exchange’s Web site 3 See Section 242(b) of the General Corporation refer to ‘‘CBOE V, LLC’’, which as noted, will be pursuant to Rule 19b–4(m)(2). Law of the State of Delaware. changed to ‘‘Cboe Bats, LLC’’ at a later date. VerDate Sep<11>2014 18:16 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00105 Fmt 4703 Sfmt 4703 E:\FR\FM\01NON1.SGM 01NON1 sradovich on DSK3GMQ082PROD with NOTICES Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Notices 50713 references to ‘‘CBOE V, LLC’’ will be line as the name changes will not be all references to ‘‘CBOE DJIA Buy Write deleted and revised to state its new effective until the Exchange, as Index(sm)’’ will be deleted and revised name ‘‘Cboe Bats, LLC’’ and references currently named, files the proposed to state ‘‘Cboe DJIA Buy Write to ‘‘CBOE Holdings, Inc.’’ will be changes in Delaware. Thereafter, the Index(sm)’’, all references to ‘‘CBOE deleted and revised to state ‘‘Cboe Exchange will amend the Certificate to Nasdaq-100 BuyWrite Index(sm)’’ will Global Markets, Inc.’’. The Exchange reflect the new name in the title and be deleted and revised to state ‘‘Cboe also proposes to add clarifying and signature line. Nasdaq-100 BuyWrite Index(sm)’’, and conforming language in connection with (b) Exchange’s Bylaws all references to ‘‘CBOE Livevol, LLC’’ the proposed name change, including will be deleted and revised to state new Section 12.5 (‘‘Effect of For the Exchange’s Bylaws, all ‘‘Cboe Livevol, LLC’’. Amendment’’), which provides that the references to ‘‘Bats BZX Exchange, Inc.’’ ‘‘Agreement amends, restates and will be deleted and revised to state (d) Exchange’s Fees Schedule supersedes the Original Agreement in ‘‘Cboe BZX Exchange, Inc.’’. For the BZX Equities Fee Schedule, all respects. From and after the date (c) Exchange’s Rulebook any reference to ‘‘Bats BZX Exchange’’ hereof, this Agreement shall be the will be deleted and revised to state limited liability company operating For the Rules of Bats BZX Exchange, ‘‘Cboe BZX Exchange’’, ‘‘Bats-listed’’ agreement of the Company for all Inc., all references to ‘‘Bats BZX will be deleted and revised to state purposes.’’ Exchange, Inc.’’ and ‘‘Bats BZX ‘‘Cboe listed’’. Additionally, all Exchange’’ will be deleted and revised references to ‘‘Bats One’’ will be deleted The Exchange’s Name Change to state ‘‘Cboe BZX Exchange, Inc.’’ and and revised to state ‘‘Cboe One’’ and all For purposes of consistency, certain ‘‘Cboe BZX Exchange’’, respectively. All references to ‘‘Bats Connect’’ will be of the Parent’s subsidiaries have also references to ‘‘Bats BZX Options’’ will deleted and revised to state ‘‘Cboe undertaken to change their legal names. be deleted and revised to state ‘‘Cboe Connect’’. As a result, the Exchange also proposes BZX Options’’. Additionally, the to change its name from ‘‘Bats BZX Exchange’s affiliates are also filing (e) BZX Options Fee Schedule Exchange, Inc.’’ to ‘‘Cboe BZX similar rule filings to change their For the BZX Options Fee Schedule, Exchange, Inc.’’ throughout its rules, names, as noted above. As such, all all references to ‘‘Bats BZX Options fees schedules and corporate references to ‘‘Bats BYX Exchange, Exchange’’ will be deleted and revised documents. Additionally, the Exchange Inc.’’, ‘‘Bats EDGA Exchange, Inc.’’, to state ‘‘Cboe BZX Options Exchange’’, notes that its affiliated exchanges Bats ‘‘Bats EDGX Exchange, Inc.’’, ‘‘C2 all references to ‘‘CBOE’’ will be deleted BYX Exchange, Inc., Bats EDGX Options Exchange, Inc.’’ and ‘‘Chicago and revised to state ‘‘Cboe Options’’ and Exchange, Inc., Bats EDGA Exchange, Board Options Exchange’’ 5 in the BZX’s lastly, all references to ‘‘Bats Connect’’ Inc., Chicago Board Options Exchange, rules will likewise be deleted and will be deleted and revised to state Incorporated and C2 Options Exchange, revised to state ‘‘Cboe BYX Exchange, ‘‘Cboe Connect’’. Incorporated (collectively the Inc.’’, Cboe EDGA Exchange, Inc.’’ and ‘‘affiliates’’) have also proposed name ‘‘Cboe EDGX Exchange, Inc.’’, ‘‘Cboe C2 2. Statutory Basis changes to Cboe BYX Exchange, Inc., Exchange, Inc.’’ and ‘‘Cboe Exchange, The Exchange believes the proposed Cboe EDGX Exchange, Inc., Cboe EDGA Inc.’’, respectively. The Exchange notes rule change is consistent with the Exchange, Inc., Cboe Exchange, Inc. and that references to ‘‘CBOE’’ will be Securities Exchange Act of 1934 (the Cboe C2 Exchange, Inc., respectively. deleted and revised to state ‘‘Cboe ‘‘Act’’) and the rules and regulations Lastly, the Exchange is changing the Options’’. The Exchange notes that thereunder applicable to the Exchange name of ‘‘Bats Trading, Inc.’’ to ‘‘Cboe references to ‘‘Bats Exchange’’ will be and, in particular, the requirements of Trading, Inc.’’ deleted and revised to state ‘‘Cboe Bats Section 6(b) of the Act.6 Specifically, Therefore, the Exchange proposes to Exchange’’. Additionally, all references the Exchange believes the proposed rule amend its: (i) Amended and Restated to ‘‘CBOE Holdings, Inc.’’ will be change is consistent with the Section Certificate of Incorporation of Bats BZX deleted and revised to state ‘‘Cboe 6(b)(5) 7 requirements that the rules of Exchange, Inc., (ii) Sixth Amended and Global Markets, Inc.’’ an exchange be designed to prevent Restated Bylaws of Bats BZX Exchange, The Exchange will also delete fraudulent and manipulative acts and Inc., (iii) Rulebook and (iv) Exchange references to ‘‘Bats Trading, Inc.’’ and practices, to promote just and equitable Fee Schedules (collectively, the ‘‘Bats Trading’’ and replace it with principles of trade, to foster cooperation ‘‘Operative Documents’’) to reflect the references to ‘‘Cboe Trading, Inc.’’ and and coordination with persons engaged name changes. ‘‘Cboe Trading’’, respectively. in regulating, clearing, settling, References to ‘‘Bats One Feed’’ will be (a) Exchange’s Certificate processing information with respect to, deleted and revised to state ‘‘Cboe One and facilitating transactions in The Exchange proposes to (i) delete Feed’’, all references to ‘‘Bats Connect’’ securities, to remove impediments to the following language from the will be deleted and revised to state and perfect the mechanism of a free and introductory paragraph: ‘‘The name of ‘‘Cboe Connect’’, all references to open market and a national market the Corporation is Bats BZX Exchange, ‘‘CBOE Volatility Index (VIX)’’ will be system, and, in general, to protect Inc.’’ and (ii) amend Article First of the deleted and revised to state ‘‘Cboe investors and the public interest. Exchange’s Certificate to reflect the new Volatility Index (VIX)’’, all references to In particular, the proposed change is name, ‘‘Cboe BZX Exchange, Inc.’’. The ‘‘CBOE S&P 500 BuyWrite Index(sm)’’ a non-substantive change and does not Exchange also proposes to add will be deleted and revised to state impact the governance, ownership or clarifying language and cite to the ‘‘Cboe S&P 500 BuyWrite Index(sm)’’, operations of the Exchange. The applicable provisions of the General Exchange believes that by ensuring that Corporation Law of the State of 5 The Exchange notes that the BZX rules refer to its parent company’s governance Delaware in connection with the ‘‘C2 Options Exchange, Incorporated’’ and ‘‘Chicago documents and the Exchange’s Board Options Exchange, Incorporated’’ as ‘‘C2 proposed name change. The Exchange Options Exchange, Inc.’’ and ‘‘Chicago Board notes that it is not amending the Options Exchange’’. See Rules 2.3, 18.7, 18.9, 28.3, 6 15 U.S.C. 78f(b). Exchange’s name in the title or signature 29.5, and 29.7. 7 15 U.S.C. 78f(b)(5). VerDate Sep<11>2014 18:16 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00106 Fmt 4703 Sfmt 4703 E:\FR\FM\01NON1.SGM 01NON1 sradovich on DSK3GMQ082PROD with NOTICES 50714 Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Notices operative documents accurately reflect • Send an email to rule-comments@ SECURITIES AND EXCHANGE the new legal names, the proposed rule sec.gov. Please include File Number SR– COMMISSION change would reduce potential investor BatsBZX–2017–70 on the subject line. or market participant confusion. Paper Comments [Release No. 34–81953; File No. SR–BX– B. Self-Regulatory Organization’s 2017–044] Statement on Burden on Competition • Send paper comments in triplicate to Brent J. Fields, Secretary, Securities Self-Regulatory Organizations; The Exchange does not believe that and Exchange Commission, 100 F Street NASDAQ BX, Inc.; Notice of Filing and the proposed rule change will impose NE., Washington, DC 20549–1090. Immediate Effectiveness of Proposed any burden on competition that is not Rule Change to Remove References To necessary or appropriate in furtherance All submissions should refer to File Surrender Feature for Auto-Match of the purposes of the Act. The Number SR–BatsBZX–2017–70. This file Submissions in the Price Improvement proposed rule change is not intended to number should be included on the Auction address competitive issues but rather is subject line if email is used. To help the concerned solely with updating the Commission process and review your October 26, 2017. Company’s and Exchange’s governance comments more efficiently, please use Pursuant to Section 19(b)(1) of the and operative documents to reflect the only one method. The Commission will abovementioned name changes. Securities Exchange Act of 1934 post all comments on the Commission’s (‘‘Act’’),1 and Rule 19b–4 thereunder,2 C. Self-Regulatory Organization’s Internet Web site (http://www.sec.gov/ notice is hereby given that on October Statement on Comments on the rules/sro.shtml). Copies of the 16, 2017, NASDAQ BX, Inc. (‘‘BX’’ or Proposed Rule Change Received From submission, all subsequent ‘‘Exchange’’) filed with the Securities Members, Participants, or Others amendments, all written statements and Exchange Commission (‘‘SEC’’ or with respect to the proposed rule The Exchange neither solicited nor ‘‘Commission’’) the proposed rule change that are filed with the received comments on the proposed change as described in Items I, II, and Commission, and all written rule change. III, below, which Items have been communications relating to the prepared by the Exchange. The III. Date of Effectiveness of the proposed rule change between the Commission is publishing this notice to Proposed Rule Change and Timing for Commission and any person, other than solicit comments on the proposed rule Commission Action those that may be withheld from the change from interested persons. Pursuant to Section 19(b)(3)(A) of the public in accordance with the Act 8 and Rule 19b–4(f)(3) thereunder,9 provisions of 5 U.S.C. 552, will be I. Self-Regulatory Organization’s the Exchange has designated this available for Web site viewing and Statement of the Terms of Substance of proposal as one that is concerned solely printing in the Commission’s Public the Proposed Rule Change Reference Room, 100 F Street NE., with the administration of the self- The Exchange proposes to modify BX regulatory organization, and therefore Washington, DC 20549, on official rules at Chapter VI, Section 9, entitled has become effective. business days between the hours of ‘‘Price Improvement Auction 10:00 a.m. and 3:00 p.m. Copies of the At any time within 60 days of the (‘‘PRISM’’)’’ to correct an error. filing of the proposed rule change, the filing also will be available for Commission summarily may inspection and copying at the principal The text of the proposed rule change temporarily suspend such rule change if office of the Exchange. All comments is available on the Exchange’s Web site it appears to the Commission that such received will be posted without change. at http://nasdaqbx.cchwallstreet.com/, action is necessary or appropriate in the Persons submitting comments are at the principal office of the Exchange, public interest, for the protection of cautioned that we do not redact or edit and at the Commission’s Public investors, or otherwise in furtherance of personal identifying information from Reference Room. the purposes of the Act. If the comment submissions. You should II. Self-Regulatory Organization’s Commission takes such action, the submit only information that you wish Statement of the Purpose of, and Commission will institute proceedings to make available publicly. All to determine whether the proposed rule Statutory Basis for, the Proposed Rule submissions should refer to File Change change should be approved or Number SR–BatsBZX–2017–70 and disapproved. should be submitted on or before In its filing with the Commission, the IV. Solicitation of Comments November 22, 2017. Exchange included statements concerning the purpose of and basis for Interested persons are invited to For the Commission, by the Division of the proposed rule change and discussed submit written data, views, and Trading and Markets, pursuant to delegated 10 any comments it received on the arguments concerning the foregoing, authority. including whether the proposed rule Eduardo A. Aleman, proposed rule change. The text of these statements may be examined at the change is consistent with the Act. Assistant Secretary. places specified in Item IV below. The Comments may be submitted by any of [FR Doc. 2017–23738 Filed 10–31–17; 8:45 am] the following methods: Exchange has prepared summaries, set BILLING CODE 8011–01–P forth in sections A, B, and C below, of Electronic Comments the most significant aspects of such • Use the Commission’s Internet statements. comment form (http://www.sec.gov/ rules/sro.shtml); or 8 15 U.S.C. 78s(b)(3)(A). 1 15 U.S.C. 78s(b)(1). 9 17 CFR 240.19b–4(f)(3). 10 17 CFR 200.30–3(a)(12). 2 17 CFR 240.19b–4. VerDate Sep<11>2014 18:16 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00107 Fmt 4703 Sfmt 4703 E:\FR\FM\01NON1.SGM 01NON1 sradovich on DSK3GMQ082PROD with NOTICES Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Notices 50715 A. Self-Regulatory Organization’s Initiating Order with a designation of This similarly applies to Section Statement of the Purpose of, and ‘‘surrender’’ to other PRISM Participants 9(ii)(F)(2)(b).10 Statutory Basis for, the Proposed Rule (‘‘Surrender’’), which will result in the The Exchange inadvertently included Change Initiating Participant forfeiting priority the references to Section 9(ii)(E)(2)(b) and trade allocation privileges. If and Section 9(ii)(F)(2)(b) when 1. Purpose Surrender is specified the Initiating discussing Surrender. Surrender only The Exchange filed a proposed rule Order will only trade if there is not applies to the single stop price feature. change to establish a price improvement enough interest available to fully The Exchange proposes to amend its mechanism.3 By way of background, execute the PRISM Order at prices rule text to update its rules to delete this price improvement mechanism or which are equal to or improve upon the these references to make the rule text ‘‘PRISM’’ includes auto-match stop price.6 At the time the Exchange accurate. functionality in which a Participant (an filed to permit Surrender within the BX 2. Statutory Basis ‘‘Initiating Participant’’) may PRISM auction,7 the rule text at Chapter electronically submit for execution an VI, Section 9(ii)(A)(1) provided that, The Exchange believes that its order it represents as agent on behalf of ‘‘When starting an Auction, the proposal is consistent with Section 6(b) a Public Customer, Professional Initiating Participant may submit the of the Act,11 in general, and furthers the customer, broker dealer, or any other Initiating Order with a designation of objectives of Section 6(b)(5) of the Act,12 entity (‘‘PRISM Order’’) against ‘‘surrender’’ to the other PRISM in particular, in that it is designed to principal interest or against any other Participants (‘‘Surrender’’) which will promote just and equitable principles of order it represents as agent (an result in the Initiating Participant trade, to remove impediments to and ‘‘Initiating Order’’) provided it submits forfeiting the priority and trade perfect the mechanism of a free and the PRISM Order for electronic allocation privileges which he is open market and a national market execution into the PRISM Auction otherwise entitled to as per Section system, and, in general to protect (‘‘Auction’’) pursuant to the proposed 9(ii)(E)(2)(a) and (b) and Section investors and the public interest, by Rule.4 To initiate the Auction, the 9(ii)(F)(2)(a) and (b).’’ Section updating references in the PRISM rule Initiating Participant must mark the 9(ii)(E)(2)(b) and Section 9(ii)(F)(2)(b) which indicate Surrender applies to the PRISM Order for Auction processing, refer to the auto-match functionality. auto-match feature. The Exchange and specify either: (a) A single price at The Exchange has not offered Surrender inadvertently referenced the auto-match which it seeks to execute the PRISM with respect to auto-match. The feature. The Surrender feature only Order (a ‘‘stop price’’); (b) that it is Exchange does not believe that auto- applies to the single stop price feature. willing to automatically match as match is suitable for Surrender. By The Exchange does not believe that principal or as agent on behalf of an definition the purpose of the auto-match auto-match is suitable for Surrender. By Initiating Order the price and size of all feature is that the Initiating Participant definition the purpose of the auto-match PRISM Auction Notifications (‘‘PAN’’) is going to match all responses and seek feature is that the Initiating Participant responses, and trading interest (‘‘auto- a greater allocation. This language is at is going to match all responses and seek match’’) in which case the PRISM Order odds with the Surrender feature where a greater allocation. This language is at will be stopped at the NBBO on the the Initiating Participant is not seeking odds with the Surrender feature where Initiating Order side; 5 or (c) that it is allocation. Depending on the option the Initiating Participant is not seeking willing to either: (i) Stop the entire selected, the Initiating Participant may allocation. The Exchange believes that order at a single stop price and auto- elect in the single stop option selection correcting the rule text to remove the match PAN responses and trading to give up the allocation priority, if references to auto-match will perfect the interest at a price or prices that improve Surrender is selected,8 or with the auto- mechanism of a free and open market the stop price to a specified price (a ‘‘No match option the Initiating Participant and a national market system, and, in Worse Than’’ or ‘‘NWT’’ price); (ii) stop will only be allocated the remainder in the entire order at a single stop price accordance with the allocation allocated to the Initiating Participant.’’ There is no and auto-match all PAN responses and 9 reference to the Surrender provision in this percentages in Section 9(ii)(E)(2)(b). paragraph similar to reference at Chapter VI, trading interest at or better than the stop Section 9(ii)(E)(2)(a). price; or (iii) stop the entire order at the 6 Surrender is not applied if both the Initiating 10 See Chapter VI, Section 9(ii)(F)(2)(b), which NBBO on the Initiating Order side, and Order and PRISM Order are Public Customer states, ‘‘If the Initiating Participant selected the auto-match PAN responses and trading Orders. auto-match option of the PRISM Auction the interest at a price or prices that improve 7 See note 3 above. Initiating Participant shall be allocated an equal 8 See Chapter VI, Section 9(ii)(E)(2)(a) and Section number of contracts as the aggregate size of all other the stop price up to the NWT price. In 9(ii)(F)(2)(a). quotes, orders and PAN responses at each price all cases, if the BX BBO on the same 9 See Chapter VI, Section 9(ii)(E)(2)(b), which point until a price point is reached where the side of the market as the PRISM Order states, ‘‘If the Initiating Participant selected the balance of the order can be fully executed, except represents a limit order on the book, the auto-match option of the PRISM Auction the that the Initiating Participant shall be entitled to receive up to 40% (multiple competing quotes, stop price must be at least the Minimum Initiating Participant shall be allocated an equal number of contracts as the aggregate size of all other orders or PAN responses) or 50% (one competing Increment better than the booked limit quotes, orders and PAN responses at each price quote, order or PAN response) of the contracts order’s limit price. point until a price point is reached where the remaining at the final price point (including When starting an Auction, the balance of the order can be fully executed, except situations where the stop price is the final price), Initiating Participant may submit the that the Initiating Participant shall be entitled to after Public Customer interest has been satisfied but receive up to 40% (multiple competing quotes, before remaining interest. If there are other quotes, orders or PAN responses) or 50% (one competing orders and PAN responses at the final price point 3 See Securities Exchange Act Release No. 76301 quote, order or PAN response) of the contracts the contracts will be allocated to such interest (October 29, 2015), 80 FR 68347 (November 4, 2015) remaining at the final price point (including pursuant to Chapter VI, Section 9(ii)(F)(3) through (SR–BX–2015–032). situations where the stop price is the final price) (4) below. Any remaining contracts shall be 4 BX only conducts auctions for Simple Orders. after Public Customer interest has been satisfied but allocated to the Initiating Participant.’’ There is no Only one Auction may be conducted at a time in before remaining interest. If there are other quotes, reference to the Surrender provision in this any given series. Once commenced, an Auction may orders and PAN responses at the final price point paragraph similar to reference at Chapter VI, not be cancelled. the contracts will be allocated to such interest Section 9(ii)(F)(2)(a). 5 This is accomplished by marking the Initiating pursuant to Chapter VI, Section 9(ii)(E)(3) through 11 15 U.S.C. 78f(b). Order with a market (MKT) price. (5) below. Any remaining contracts shall be 12 15 U.S.C. 78f(b)(5). VerDate Sep<11>2014 18:16 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00108 Fmt 4703 Sfmt 4703 E:\FR\FM\01NON1.SGM 01NON1 sradovich on DSK3GMQ082PROD with NOTICES 50716 Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Notices general to protect investors and the IV. Solicitation of Comments For the Commission, by the Division of public interest, by updating these Trading and Markets, pursuant to delegated references to the BX PRISM rule. This Interested persons are invited to authority.15 amendment will correct the references submit written data, views, and Eduardo A. Aleman, within the BX PRISM rule to make clear arguments concerning the foregoing, Assistant Secretary. the manner in which the auction including whether the proposed rule [FR Doc. 2017–23734 Filed 10–31–17; 8:45 am] operates. change is consistent with the Act. BILLING CODE 8011–01–P Comments may be submitted by any of B. Self-Regulatory Organization’s the following methods: Statement on Burden on Competition SECURITIES AND EXCHANGE The Exchange does not believe that Electronic Comments COMMISSION the proposed rule change will impose • Use the Commission’s Internet [Release No. 34–81957; File No. SR– any burden on competition not comment form (http://www.sec.gov/ BatsEDGA–2017–28] necessary or appropriate in furtherance rules/sro.shtml); or of the purposes of the Act. The Self-Regulatory Organizations; Bats • Exchange inadvertently referenced the Send an email to rule-comments@ EDGA Exchange, Inc.; Notice of Filing auto-match feature as applicable to sec.gov. Please include File Number SR– and Immediate Effectiveness of a Surrender provision. No BX Participant BX–2017–044 on the subject line. Proposed Rule Change To Reflect in is able today to utilize the Surrender Paper Comments the Exchange’s Governing Documents, feature when selecting auto-match. This Rulebook and Fee Schedule, a Non- amendment will correct the references • Send paper comments in triplicate Substantive Corporate Branding within the BX PRISM rule to make clear to Brent J. Fields, Secretary, Securities Change, Including Changes to the the manner in which the auction and Exchange Commission, 100 F Street Company’s Name, the Intermediate’s operates. NE., Washington, DC 20549–1090. Name, and the Exchange’s Name C. Self-Regulatory Organization’s All submissions should refer to File October 26, 2017. Statement on Comments on the Number SR–BX–2017–044. This file Pursuant to Section 19(b)(1) of the Proposed Rule Change Received From number should be included on the Securities Exchange Act of 1934 (the Members, Participants, or Others subject line if email is used. To help the ‘‘Act’’),1 and Rule 19b–4 thereunder,2 No written comments were either Commission process and review your notice is hereby given that on October solicited or received. comments more efficiently, please use 16, 2017, Bats EDGA Exchange, Inc. (the ‘‘Exchange’’ or ‘‘EDGA’’) filed with the III. Date of Effectiveness of the only one method. The Commission will post all comments on the Commission’s Securities and Exchange Commission Proposed Rule Change and Timing for (‘‘Commission’’) the proposed rule Commission Action Internet Web site (http://www.sec.gov/ rules/sro.shtml). Copies of the change as described in Items I and II below, which Items have been prepared Because the foregoing proposed rule submission, all subsequent by the Exchange. The Commission is change does not: (i) Significantly affect amendments, all written statements the protection of investors or the public publishing this notice to solicit with respect to the proposed rule interest; (ii) impose any significant comments on the proposed rule change change that are filed with the burden on competition; and (iii) become from interested persons. Commission, and all written operative for 30 days from the date on I. Self-Regulatory Organization’s which it was filed, or such shorter time communications relating to the proposed rule change between the Statement of the Terms of Substance of as the Commission may designate, it has the Proposed Rule Change become effective pursuant to Section Commission and any person, other than 19(b)(3)(A)(iii) of the Act 13 and those that may be withheld from the The Exchange proposes a rule change subparagraph (f)(6) of Rule 19b–4 public in accordance with the with respect to amendments of the thereunder.14 provisions of 5 U.S.C. 552, will be Second Amended and Restated At any time within 60 days of the available for Web site viewing and Certificate of Incorporation (the filing of the proposed rule change, the printing in the Commission’s Public ‘‘Company’s Certificate’’) and Third Commission summarily may Reference Room, 100 F Street NE., Amended and Restated Bylaws (the temporarily suspend such rule change if Washington, DC 20549, on official ‘‘Company’s Bylaws’’) of its parent it appears to the Commission that such business days between the hours of corporation, CBOE Holdings, Inc. action is: (i) Necessary or appropriate in 10:00 a.m. and 3:00 p.m. Copies of the (‘‘CBOE Holdings’’ or the ‘‘Company’’) the public interest; (ii) for the protection filing also will be available for to change the name of the Company to of investors; or (iii) otherwise in inspection and copying at the principal Cboe Global Markets, Inc. With respect furtherance of the purposes of the Act. office of the Exchange. All comments to CBOE V, LLC, an intermediate If the Commission takes such action, the received will be posted without change. Holding Company of the Exchange (the ‘‘Intermediate’’), the Exchange proposes Commission shall institute proceedings Persons submitting comments are to amend the Certificate of Formation to determine whether the proposed rule cautioned that we do not redact or edit should be approved or disapproved. and Limited Liability Company personal identifying information from Operating Agreement of CBOE V, LLC comment submissions. You should 13 (the ‘‘Operating Agreement’’), in 15 U.S.C. 78s(b)(3)(A)(iii). submit only information that you wish 14 17 CFR 240.19b–4(f)(6). In addition, Rule 19b– connection with a related name change 4(f)(6) requires a self-regulatory organization to give to make available publicly. All for the Intermediate. The Exchange also the Commission written notice of its intent to file submissions should refer to File proposes to amend its Second Amended the proposed rule change at least five business days Number SR–BX–2017–044 and should prior to the date of filing of the proposed rule change, or such shorter time as designated by the be submitted on or before November 22, 15 17 CFR 200.30–3(a)(12). Commission. The Exchange has satisfied this 2017. 1 15 U.S.C. 78s(b)(1). requirement. 2 17 CFR 240.19b–4. VerDate Sep<11>2014 19:28 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00109 Fmt 4703 Sfmt 4703 E:\FR\FM\01NON1.SGM 01NON1 sradovich on DSK3GMQ082PROD with NOTICES Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Notices 50717 and Restated Certificate of Incorporation substantive revisions described below to provides that ‘‘for so long as the (the ‘‘Exchange Certificate’’), Seventh the Exchange’s corporate governance Corporation shall control, directly or Amended and Restated Bylaws of Bats documents, rulebook, and fees indirectly, any national securities EDGA Exchange, Inc. (the ‘‘Exchange schedules, and post updated versions of exchange, including, but not limited to Bylaws’’), rulebook and fee schedule each on the Exchange’s Web site Chicago Board Options Exchange, (collectively ‘‘operative documents’’) in pursuant to Rule 19b–4(m)(2). Incorporated (a ‘‘Regulated Securities connection with the name change of its Exchange Subsidiary’’), before any The Company’s Name Change parent Company, Intermediate, and the amendment, alteration or repeal of any Exchange. In connection with the corporate provision of the Bylaws shall be The text of the proposed rule change name change of its parent company, the effective, such amendment, alteration or is also available on the Exchange’s Web Exchange is proposing to amend the repeal shall be submitted to the board of site (http://www.cboe.com/AboutCBOE/ Company’s Certificate and Bylaws. directors of each Regulated Securities CBOELegalRegulatoryHome.aspx), at Specifically, the Company is changing Exchange Subsidiary, and if such the Exchange’s Office of the Secretary, its name from ‘‘CBOE Holdings, Inc.’’ to amendment, alteration or repeal must be and at the Commission’s Public ‘‘Cboe Global Markets, Inc.’’. filed with or filed with and approved by Reference Room. (a) Company’s Certificate the Securities and Exchange Commission, then such amendment, II. Self-Regulatory Organization’s The Exchange proposes to (i) delete Statement of the Purpose of, and alteration or repeal shall not become the following language from Paragraph effective until filed with or filed with Statutory Basis for, the Proposed Rule (1) of the introductory paragraph: ‘‘The Change and approved by the Securities and name of the Corporation is CBOE Exchange Commission, as the case may In its filing with the Commission, the Holdings, Inc.’’ and (ii) amend Article be.’’ As the Company currently controls Exchange included statements First of the Company’s Certificate to a number of Regulated Securities concerning the purpose of and basis for reflect the new name, ‘‘Cboe Global Exchange Subsidiaries, it does not the proposed rule change and discussed Markets, Inc.’’ The Exchange also believe it is necessary to explicitly any comments it received on the proposes to add clarifying language and reference only Chicago Board Options proposed rule change. The text of these cite to the applicable provisions of the Exchange, Incorporated and therefore statements may be examined at the General Corporation Law of the State of proposes to delete the following places specified in Item IV below. The Delaware in connection with the language: ‘‘including, but not limited to Exchange has prepared summaries, set proposed name change. The Exchange Chicago Board Options Exchange, forth in sections A, B, and C below, of notes that it is not amending the Incorporated’’. the most significant aspects of such Company’s name in the title or signature statements. line as the name changes will not be The Intermediate’s Name Change A. Self-Regulatory Organization’s effective until the Company, as For purposes of consistency, certain Statement of the Purpose of, and currently named, files the proposed of the Parent’s subsidiaries have also Statutory Basis for, the Proposed Rule changes in Delaware. Thereafter, the undertaken to change their legal names. Change Exchange will amend the Certificate to As a result, the Exchange also proposes reflect the new name in the title and to change the name of the Intermediate 1. Purpose signature line. The Exchange also notes from ‘‘CBOE V, LLC’’ to ‘‘Cboe Bats, Background that although the name of ‘‘Chicago LLC.’’ Board Options Exchange, Incorporated’’ The purpose of this filing is to reflect is changing to ‘‘Cboe Exchange Inc.’’, it (a) Certificate of Formation in the Exchange’s governing documents is not amending the name of Chicago As it relates to the Certificate of (and the governing documents of its Board Options Exchange, Incorporated Formation of CBOE V, LLC, references parent company, CBOE Holdings) and (‘‘CBOE’’) referenced in Article to ‘‘CBOE V, LLC’’ will be deleted and the Exchange’s rulebook and fees Fifth(a)(iii) at this time. Particularly, the revised to state its new name ‘‘Cboe schedules, a non-substantive corporate Exchange notes that unlike the Bats, LLC’’. The Exchange also proposes branding change, including changes to exception applicable to proposed to add clarifying and conforming the Company’s name, the Intermediate’s changes to the Company’s name,3 a vote language in order to conform to, as well name, and the Exchange’s name. of stockholders is required to adopt an as cite to, the applicable provisions of Particularly, references to Company’s, amendment to the reference of CBOE’s the General Corporation Law of the Intermediate’s and Exchange’s names name. As such, the Exchange will State of Delaware in connection with will be deleted and revised to state the submit a rule filing to amend the the proposed name change. The new names, as described more fully Certificate to reflect the new CBOE Exchange notes to conform with the below. No other substantive changes are name at such time it is ready to obtain revised language in the introductory being proposed in this filing. The stockholder approval. Exchange represents that these changes paragraph, it also proposes to amend are concerned solely with the (b) Company’s Bylaws references to ‘‘LLC’’ to ‘‘limited liability administration of the Exchange and do With respect to the Company’s company’’. The Exchange also notes that not affect the meaning, administration, Bylaws, references to ‘‘CBOE Holdings, it is not amending the Intermediate’s or enforcement of any rules of the Inc.’’ will be deleted and revised to state name in the title or signature line as the Exchange or the rights, obligations, or ‘‘Cboe Global Markets, Inc.’’ The name changes will not be effective until privileges of Exchange members or their Exchange also proposes to eliminate the the Intermediate, as currently named, 4 associated persons is any way. reference to ‘‘Chicago Board Options files the proposed changes in Delaware. Accordingly, this filing is being Exchange, Incorporated’’ in Article 10, submitted under Rule 19b–4(f)(3). In 4 The Exchange notes that the current signature Section 10.2. Particularly, Section 10.2 block of the Certificate of Formation references lieu of providing a copy of the marked ‘‘CBOE Holdings, Inc.’’ instead of ‘‘CBOE V, LLC’’. name changes, the Exchange represents 3 See Section 242(b) of the General Corporation The Exchange proposes to correct that reference and that it will make the necessary non- Law of the State of Delaware. Continued VerDate Sep<11>2014 18:16 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00110 Fmt 4703 Sfmt 4703 E:\FR\FM\01NON1.SGM 01NON1 sradovich on DSK3GMQ082PROD with NOTICES 50718 Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Notices Thereafter, the Exchange will amend the introductory paragraph: ‘‘The name of (d) Exchange’s Fee Schedule Certificate of Formation to reflect the the Corporation is Bats EDGA Exchange, new name in the title and signature line. Inc.’’ and (ii) amend Article First of the For the EDGA Equities Fee Schedule, Exchange’s Certificate to reflect the new any reference to ‘‘Bats EDGA Exchange’’ (b) Operating Agreement name, ‘‘Cboe EDGA Exchange, Inc.’’. will be deleted and revised to state As it relates to the Operating The Exchange also proposes to add ‘‘Cboe EDGA Exchange’’. Additionally, Agreement of the Intermediate, clarifying language and cite to the all references to ‘‘Bats One’’ will be references to ‘‘CBOE V, LLC’’ will be applicable provisions of the General deleted and revised to state ‘‘Cboe One’’ deleted and revised to state its new Corporation Law of the State of and all references to ‘‘Bats Connect’’ name ‘‘Cboe Bats, LLC’’ and references Delaware in connection with the will be deleted and revised to state to ‘‘CBOE Holdings, Inc.’’ will be proposed name change. The Exchange ‘‘Cboe Connect’’. deleted and revised to state ‘‘Cboe notes that it is not amending the Global Markets, Inc.’’. The Exchange Exchange’s name in the title or signature 2. Statutory Basis also proposes to add clarifying and line as the name changes will not be The Exchange believes the proposed conforming language in connection with effective until the Exchange, as the proposed name change, including rule change is consistent with the currently named, files the proposed Securities Exchange Act of 1934 (the new Section 12.5 (‘‘Effect of changes in Delaware. Thereafter, the ‘‘Act’’) and the rules and regulations Amendment’’), which provides that the Exchange will amend the Certificate to thereunder applicable to the Exchange ‘‘Agreement amends, restates and reflect the new name in the title and and, in particular, the requirements of supersedes the Original Agreement in signature line. all respects. From and after the date Section 6(b) of the Act.6 Specifically, hereof, this Agreement shall be the (b) Exchange’s Bylaws the Exchange believes the proposed rule change is consistent with the Section limited liability company operating For the Exchange’s Bylaws, all 6(b)(5) 7 requirements that the rules of agreement of the Company for all references to ‘‘Bats EDGA Exchange, an exchange be designed to prevent purposes.’’ Inc.’’ will be deleted and revised to state fraudulent and manipulative acts and The Exchange’s Name Change ‘‘Cboe EDGA Exchange, Inc.’’. practices, to promote just and equitable For purposes of consistency, certain (c) Exchange’s Rulebook principles of trade, to foster cooperation of the Parent’s subsidiaries have also and coordination with persons engaged undertaken to change their legal names. For the Rules of Bats EDGA Exchange, in regulating, clearing, settling, Inc., all references to ‘‘Bats EDGA As a result, the Exchange also proposes processing information with respect to, Exchange, Inc.’’ will be deleted and to change its name from ‘‘Bats EDGA and facilitating transactions in Exchange, Inc.’’ to ‘‘Cboe EDGA revised to state ‘‘Cboe EDGA Exchange, Inc.’’. Additionally, the Exchange’s securities, to remove impediments to Exchange, Inc.’’ throughout its rules, and perfect the mechanism of a free and fees schedules and corporate affiliates are also filing similar rule open market and a national market documents. Additionally, the Exchange filings to change their names, as noted system, and, in general, to protect notes that its affiliated exchanges Bats above. As such, all references to ‘‘Bats investors and the public interest. BYX Exchange, Inc., Bats BZX BYX Exchange, Inc.’’, ‘‘Bats EDGX Exchange, Inc., Bats EDGX Exchange, Exchange, Inc.’’, ‘‘Bats BZX Exchange, In particular, the proposed change is Inc., Chicago Board Options Exchange, Inc.’’, ‘‘C2 Options Exchange, a non-substantive change and does not Incorporated, C2 Options Exchange, Incorporated’’,5 ‘‘Chicago Board Options impact the governance, ownership or Incorporated, and ‘‘CBOE Futures Exchange, Incorporated’’ and ‘‘CBOE operations of the Exchange. The Exchange, LLC’’ (collectively the Futures Exchange, LLC’’ in the EDGA’s Exchange believes that by ensuring that ‘‘affiliates’’) have also proposed name rules will likewise be deleted and its parent company’s governance changes to Cboe BYX Exchange, Inc., revised to state ‘‘Cboe BYX Exchange, documents and the Exchanges operative Cboe BZX Exchange, Inc., Cboe EDGX Inc.’’, ‘‘Cboe EDGX Exchange, Inc.’’, documents accurately reflect the new Exchange, Inc., Cboe Exchange, Inc., ‘‘Cboe BZX Exchange, Inc.’’, ‘‘Cboe C2 legal names, the proposed rule change Cboe C2 Exchange, Inc. and Cboe Exchange, Inc.’’, ‘‘Cboe Exchange, Inc.’’ would reduce potential investor or Futures Exchange, LLC, respectively. and ‘‘Cboe Futures Exchange, LLC’’, market participant confusion. Lastly, the Exchange is changing the respectively. The Exchange notes that name of ‘‘Bats Trading, Inc.’’ to ‘‘Cboe references to ‘‘Bats Exchange’’ will be B. Self-Regulatory Organization’s Trading, Inc.’’ deleted and revised to state ‘‘Cboe Bats Statement on Burden on Competition Therefore, the Exchange proposes to Exchange’’. Additionally, all references amend its: (i) Second Amended and to ‘‘CBOE Holdings, Inc.’’ will be The Exchange does not believe that Restated Certificate of Incorporation of deleted and revised to state ‘‘Cboe the proposed rule change will impose Bats EDGA Exchange, Inc., (ii) Seventh Global Markets, Inc.’’. All references to any burden on competition that is not Amended and Restated Bylaws of Bats ‘‘Bats One’’ will be deleted and revised necessary or appropriate in furtherance EDGA Exchange, Inc., (iii) Rulebook, to state ‘‘Cboe One’’ and all references of the purposes of the Act. The (iv) Fee Schedule for EDGA Equities to ‘‘Bats Connect’’ will be deleted and proposed rule change is not intended to (collectively, the ‘‘Operative revised to state ‘‘Cboe Connect’’. The address competitive issues but rather is Documents’’) to reflect the name Exchange will also delete references to concerned solely with updating the changes. ‘‘Bats Trading, Inc.’’ and ‘‘Bats Trading’’ Company’s and Exchange’s governance and replace it with references to ‘‘Cboe and operative documents to reflect the (a) Exchange’s Certificate Trading, Inc.’’ and ‘‘Cboe Trading’’, abovementioned name changes. The Exchange proposes to (i) delete respectively. the following language from the 5 The Exchange notes that the EDGA rules refer refer to ‘‘CBOE V, LLC’’, which as noted, will be to ‘‘C2 Options Exchange, Incorporated’’ as ‘‘C2 6 15 U.S.C. 78f(b). changed to ‘‘Cboe Bats, LLC’’ at a later date. Options Exchange, Inc.’’ in Rule 2.3. 7 15 U.S.C. 78f(b)(5). VerDate Sep<11>2014 18:16 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00111 Fmt 4703 Sfmt 4703 E:\FR\FM\01NON1.SGM 01NON1 sradovich on DSK3GMQ082PROD with NOTICES Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Notices 50719 C. Self-Regulatory Organization’s amendments, all written statements solicit comments on the proposed rule Statement on Comments on the with respect to the proposed rule change from interested persons. Proposed Rule Change Received From change that are filed with the I. Clearing Agency’s Statement of the Members, Participants, or Others Commission, and all written Terms of Substance of the Proposed communications relating to the The Exchange neither solicited nor Rule Change received comments on the proposed proposed rule change between the rule change. Commission and any person, other than This proposed rule change by OCC those that may be withheld from the would formalize OCC’s Counterparty III. Date of Effectiveness of the public in accordance with the Credit Risk Management Policy (‘‘CCRM Proposed Rule Change and Timing for provisions of 5 U.S.C. 552, will be Policy’’ or ‘‘Policy’’), which promotes Commission Action available for Web site viewing and compliance with multiple requirements Pursuant to Section 19(b)(3)(A) of the printing in the Commission’s Public applicable to OCC under Rule 17Ad–22, Act 8 and Rule 19b–4(f)(3) thereunder,9 Reference Room, 100 F Street NE., including Rules 17Ad–22(e)(3) the Exchange has designated this Washington, DC 20549, on official concerning frameworks for the proposal as one that is concerned solely business days between the hours of comprehensive management of risks, with the administration of the self- 10:00 a.m. and 3:00 p.m. Copies of the (e)(4) concerning credit risk regulatory organization, and therefore filing also will be available for management, (e)(16) concerning the has become effective. inspection and copying at the principal safeguarding of assets, (e)(18) At any time within 60 days of the office of the Exchange. All comments concerning risk-based participation filing of the proposed rule change, the received will be posted without change. criteria, (e)(19) concerning risks form Commission summarily may Persons submitting comments are indirect participants, and (e)(20) temporarily suspend such rule change if cautioned that we do not redact or edit concerning linkages.3 The CCRM Policy it appears to the Commission that such personal identifying information from is included as confidential Exhibit 5.4 action is necessary or appropriate in the comment submissions. You should The proposed rule change does not public interest, for the protection of submit only information that you wish require any changes to the text of OCC’s investors, or otherwise in furtherance of to make available publicly. All By-Laws or Rules. All terms with initial the purposes of the Act. If the submissions should refer to File capitalization that are not otherwise Commission takes such action, the Number SR–BatsEDGA–2017–28 and defined herein have the same meaning Commission will institute proceedings should be submitted on or before as set forth in the OCC By-Laws and to determine whether the proposed rule November 22, 2017. Rules.5 change should be approved or For the Commission, by the Division of disapproved. II. Clearing Agency’s Statement of the Trading and Markets, pursuant to delegated Purpose of, and Statutory Basis for, the authority.10 IV. Solicitation of Comments Proposed Rule Change Eduardo A. Aleman, Interested persons are invited to In its filing with the Commission, submit written data, views, and Assistant Secretary. OCC included statements concerning arguments concerning the foregoing, [FR Doc. 2017–23737 Filed 10–31–17; 8:45 am] the purpose of and basis for the including whether the proposed rule BILLING CODE 8011–01–P proposed rule change and discussed any change is consistent with the Act. comments it received on the proposed Comments may be submitted by any of rule change. The text of these statements the following methods: SECURITIES AND EXCHANGE COMMISSION may be examined at the places specified Electronic Comments in Item IV below. OCC has prepared • [Release No. 34–81949; File No. SR–OCC– summaries, set forth in sections (A), (B), Use the Commission’s Internet 2017–009] comment form (http://www.sec.gov/ and (C) below, of the most significant rules/sro.shtml); or Self-Regulatory Organizations; The aspects of these statements. • Send an email to rule-comments@ Options Clearing Corporation; Notice (A) Clearing Agency’s Statement of the sec.gov. Please include File Number SR– of Filing of Proposed Rule Change Purpose of, and Statutory Basis for, the BatsEDGA–2017–28 on the subject line. Related to The Options Clearing Proposed Rule Change Corporation’s Counterparty Credit Risk Paper Comments (1) Purpose • Management Policy Send paper comments in triplicate Background to Brent J. Fields, Secretary, Securities October 26, 2017. and Exchange Commission, 100 F Street Pursuant to Section 19(b)(1) of the As a central counterparty providing NE., Washington, DC 20549–1090. Securities Exchange Act of 1934 clearance, settlement, and risk All submissions should refer to File (‘‘Act’’),1 and Rule 19b–4 thereunder,2 management services, OCC is exposed Number SR–BatsEDGA–2017–28. This notice is hereby given that on October to and must manage a range of risks, file number should be included on the 12, 2017, The Options Clearing including credit risk. The purpose of the subject line if email is used. To help the Corporation (‘‘OCC’’) filed with the CCRM Policy is to outline OCC’s overall Commission process and review your Securities and Exchange Commission approach to identify, measure, monitor, comments more efficiently, please use (‘‘Commission’’) the proposed rule and manage its exposures to direct and only one method. The Commission will change as described in Items I, II, and indirect participants, Liquidity post all comments on the Commission’s III below, which Items have been Internet Web site (http://www.sec.gov/ prepared primarily by OCC. The 3 17 CFR 240.17Ad–22(e)(3), (4), (16), (18), (19), rules/sro.shtml). Copies of the Commission is publishing this notice to and (20). 4 The Commission notes that Exhibit 5 is submission, all subsequent included in the filing, not in this Notice. 10 17 CFR 200.30–3(a)(12). 5 OCC’s By-Laws and Rules can be found on 8 15 U.S.C. 78s(b)(3)(A). 1 15 U.S.C. 78s(b)(1). OCC’s public Web site: http://optionsclearing.com/ 9 17 CFR 240.19b–4(f)(3). 2 17 CFR 240.19b–4. about/publications/bylaws.jsp. VerDate Sep<11>2014 18:16 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00112 Fmt 4703 Sfmt 4703 E:\FR\FM\01NON1.SGM 01NON1 sradovich on DSK3GMQ082PROD with NOTICES 50720 Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Notices Providers,6 asset custodians, settlement Identification of Credit Risk regulatory reporting and overall banks, letter of credit issuers, business operations. investment counterparties, other The CCRM Policy identifies various Clearing Membership Standards clearing agencies, and financial market ways in which credit risk originates utilities (‘‘FMUs’’) 7 (each a from the failure of a Counterparty to OCC’s minimum participation ‘‘Counterparty’’) arising from its perform. With respect to a Clearing standards for Clearing Member are payment, clearing, and settlement Member, the CCRM Policy details a found in Article V of OCC’s By-Laws, processes. OCC notes that the CCRM number of different ways in which OCC Chapters II and III of OCC’s Rules, and Policy is part of a broader framework may be exposed to credit risk. This other publicly-disclosed supplemental used by OCC to manage credit risk, includes the potential failure of a documentation (together, ‘‘Participation including OCC’s By-Laws, Rules, and Clearing Member to pay for purchased Standards Documentation’’). Under the other policies and procedures that are options, to meet expiration-related Policy, OCC’s Credit Risk Management designed collectively to ensure that OCC settlement obligations, or to make and Member Services departments shall appropriately manages counterparty certain mark-to-market variation evaluate each Clearing Member credit risk and to promote compliance payments or initial margin deposits. It applicant against the minimum with Rule 17Ad–22.8 also includes the potential insufficiency standards of creditworthiness and for its The CCRM Policy would be of a defaulting Clearing Member’s overall financial condition and maintained by OCC to promote margin and Clearing Fund deposits in a operational capabilities as provided in compliance with a number of rules liquidation scenario. Other sources of the Participation Standards adopted under Section 17A of the credit risk identified in the CCRM Documentation. Such evaluation shall Securities Exchange Act of 1934, as Policy include the inability of OCC to also consider the Counterparty’s amended (‘‘Act’’),9 and the Payment, access collateral (e.g., cash or securities) aggregation of exposure on an Clearing, and Settlement Supervision from a custodian or investment individual and related-entities level, as Act of 2010 (‘‘Clearing Supervision counterparty that is needed to facilitate applicable, as well as any material Act’’).10 In particular, the Policy is a liquidation, or a failure by an issuer exposure that may arise from tiered designed to address certain aspects of of a letter of credit to honor its participation arrangements. The Credit Rules 17Ad–22(e)(3) concerning corresponding obligations. The CCRM Risk Management and Member Services frameworks for the comprehensive Policy also identifies that certain departments shall document the results of this evaluation in a memorandum, management of risks, (e)(4) concerning relationships with other FMUs, such as including the Clearing Member credit risk management, (e)(16) cross-margining programs and cash applicant’s ability to meet relevant concerning the safeguarding of assets, market settlement services, represent participation standards, and report (e)(18) concerning risk-based critical linkages that may present certain those results to OCC’s Executive participation criteria, (e)(19) concerning degrees of credit exposure based on the Chairman, Chief Operating Officer or risks form indirect participants, and terms and design of the linkage. The Chief Administrative Officer for review (e)(20) concerning linkages.11 CCRM Policy also notes that OCC may face additional risks from and approval, where appropriate, or for Counterparty Credit Risk Management recommendation to the Risk Committee Counterparties, such as the potential 12 Policy failure of a Liquidity Provider to honor or Board of Directors. OCC’s CCRM Policy outlines the key a borrowing request. Commercial and Central Banks components of OCC’s framework for OCC’s minimum standards for asset identifying, measuring, monitoring, and Counterparty Access and Participation Standards custodians, settlement banks, letter of managing OCC’s exposures to its credit issuers and investment Counterparties. This framework Under the CCRM Policy, OCC’s counterparties are found in OCC Rule includes: (1) The identification of credit management of Counterparty credit 604 and relevant OCC procedures. The risk, (2) Counterparty access and risks begins with an initial evaluation Credit Risk Management department participation standards, (3) the process intended to ascertain that shall coordinate with various measurement of its Counterparty Counterparties meet certain minimum exposures, (4) the monitoring and financial and operational standards and 12 Pursuant to Article V, Section 2 of the By-Laws, managing of Counterparty exposures, are considered as having a low the Executive Chairman, Chief Operating Officer and (5) voluntary termination of probability of defaulting on their and Chief Administrative Officer each have Counterparty relationships. Each of delegated authority to approve Clearing Member obligations prior to engaging or effecting applicants provided that (1) there is no these components is described in more any new transactions or expansion of recommendation to impose additional membership detail below. business with OCC. To accomplish this criteria in accordance with Article V of the By-Laws and (2) the Risk Committee is given not less than objective, OCC shall evaluate each five days to determine the application should be 6 Under the CCRM Policy, ‘‘Liquidity Provider’’ is Counterparty against established defined as a Commercial Bank or a non-banking reviewed at a meeting of the Risk Committee. institution—generally a pension fund—that minimum standards of Pursuant to Interpretation and Policy .06 to Article provides a committed liquidity facility to OCC. creditworthiness, overall financial V, Section 1 of the By-Laws, the Risk Committee has the authority to impose additional requirements 7 Under the CCRM Policy, ‘‘Financial Market condition, and operational capabilities. on Clearing Member applicants, such as increased Utility’’ is defined as a derivatives clearing Pursuant to the Policy, the standards capital or margin requirements as well as organization partnering with OCC to provide a restrictions on clearing activities. The Risk cross-margin program; a clearing agency providing used to evaluate Counterparties shall be Committee also has the authority to approve settlement services of securities arising from the objective, risk-based, and publicly- waivers of certain clearing membership exercise, assignment or maturity of options or disclosed in order to permit fair and requirements under Article V, Section 1 of the By- futures; or the Depository providing book-entry open access. These standards shall be Laws. Approvals of a Clearing Member business securities transfers and asset custodian services. expansion by the Executive Chairman, Chief 8 developed independently for Clearing 17 CFR 240.17Ad–22. Operating Officer or Chief Administrative Officer 9 15 U.S.C. 78q–1. Members, Commercial and Central Banks, investment counterparties, are subsequently presented to the Risk Committee 10 12 U.S.C. 5461 et seq. for ratification, except in limited circumstances 11 17 CFR 240.17Ad–22(e)(3), (4), (16), (18), (19), Liquidity Providers and FMUs, detailed in Article V, Section 1.03(e) of the By- and (20). accounting for differences in their Laws. VerDate Sep<11>2014 18:16 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00113 Fmt 4703 Sfmt 4703 E:\FR\FM\01NON1.SGM 01NON1 sradovich on DSK3GMQ082PROD with NOTICES Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Notices 50721 departments (such as Collateral Services its evaluation in a memorandum, and investment counterparties, OCC or Treasury) to evaluate each bank including the Liquidity Provider’s shall measure its credit exposures to against the minimum standards of ability to meet relevant participation these Counterparties by the balances creditworthiness and for its overall standards, and report those results to generated from the various activities financial condition and operational the Executive Chairman, Chief provided by these institutions in capabilities as provided in OCC Rule Operating Officer or Chief accordance with relevant internal 604 and related OCC procedures. Such Administrative Officer, each of which procedures. evaluation shall also consider the shall have the authority to approve new FMUs provide a range of services to Counterparty’s aggregation of exposure and expanded relationships with OCC, including the Depository Trust on an individual and related-entities Liquidity Providers. Company (‘‘DTC’’) as collateral custodian and provider of book order level, as applicable, as well as whether FMUs OCC would be able to structure its entry of securities transfers, Chicago custodial relationships in a manner that Under the Policy, OCC maintains Mercantile Exchange Inc. (‘‘CME’’) and allows prompt access to its own and its internal procedures outlining minimum ICE Clear U.S. as cross-margin clearing Clearing Members’ assets. The latter standards for FMUs. OCC’s Business organizations, and the National shall include holding assets at Operations and Credit Risk Management Securities Clearing Corporation supervised and regulated institutions departments shall evaluate each FMU (‘‘NSCC’’) as a provider of securities that adhere to generally accepted for its overall financial condition and settlement. Under the Policy, DTC credit accounting practices, maintain operational capabilities as provided in exposures shall be measured by the safekeeping procedures, and have the procedure. Pursuant to the Policy, collateral balances held and the value of internal controls that fully protect these before entering into any link securities lending/borrowing assets. Under the Policy, Credit Risk arrangement, the Legal department shall transactions facilitated. CME and ICE Management and either the Collateral assist the aforementioned business units Clear U.S. credit exposures shall be Services or Treasury department, as to identify legal risks relating to rights measured by the projected margin applicable, shall document the results of and interests, collateral arrangements, impact in the event of suspension of a its evaluation in a memorandum, settlement finality and netting cross-margin program and, therefore, the including the bank’s ability to meet arrangements, and financial and custody absence of risk reducing positions relevant participation standards, and risks. The Business Operations, Credit cleared away from OCC. NSCC exposure report those results to OCC’s Executive Risk Management and Legal shall be measured by the value of Chairman, Chief Operating Officer or departments shall document the results securities and cash to be settled in Chief Administrative Officer, each of of its evaluation in a memorandum, connection with the delivery obligations which shall have the authority to including the FMU’s ability to meet settled through NSCC. approve new and expanded relevant standards. All new and expanded FMU relationships shall be Monitoring and Managing Counterparty relationships with asset custodians, Credit Risk settlement banks, letter of credit issuers, reviewed and approved by the Risk investment counterparties, and Committee and subsequently The CCRM Policy also describes the Liquidity Providers. recommended for approval to the Board manner in which OCC monitors and of Directors. manages credit risk from its Liquidity Providers Measuring Counterparty Credit Risk Counterparties. Under the Policy, OCC’s Under the Policy, OCC maintains monitoring and management of such The CCRM Policy describes various internal procedures outlining the risks is comprised of ‘‘Watch Level ways in which OCC measures the credit minimum standards for Commercial Reporting’’ processes in conjunction risk posed by different Counterparties. Banks 13 and non-bank institutions with other tools including margin With respect to Clearing Members, the acting as Liquidity Providers. OCC’s adjustments, internal credit ratings, risk CCRM Policy provides that OCC Credit Risk Management and Treasury examinations, and monitoring of tiered measures its credit exposures to departments would be responsible for participation arrangements and dormant Clearing Members under normal market evaluating each Liquidity Provider Counterparties. conditions through the calculation of against the minimum standards of margin requirements and its credit Watch Level Reporting Overview creditworthiness and for its overall exposures to Clearing Members under Under the Policy, Counterparties are financial condition and operational extreme but plausible conditions monitored by OCC’s FRM, Business capabilities as provided in the through stress testing and the Operations, and Treasury departments procedures. Because Liquidity Providers calculation of Clearing Fund for ongoing compliance with the present both credit and liquidity risk to requirements, in accordance with minimum participation standards OCC, the due diligence around such applicable OCC policies. Margin, described above to identify any trends institutions shall include a review of Clearing Fund and stress test results that might signal the deterioration of a each lender’s ability to perform their may be used by OCC’s Financial Risk Counterparty’s ability to timely meet its commitments as well as understand and Management department (‘‘FRM’’) to obligations. When these trends are manage their liquidity risks. Pursuant to evaluate OCC’s counterparty credit risk identified, Credit Risk Management the Policy, Credit Risk Management and framework and inform Clearing Member shall report on a Counterparty through Treasury shall document the results of surveillance processes. OCC’s Watch Level Reporting processes, 13 With respect to Commercial Banks, which are described in further detail Under the Policy, ‘‘Commercial Bank’’ is 14 defined as a banking or depository institution that Central Banks, Liquidity Providers, is not an operating arm of a Central Bank. services at a Central Bank, when available and Commercial bank relationships shall be governed 14 Under the Policy, ‘‘Central Bank’’ is defined as where determined to be practical by the Board of by this Policy and all supporting bank-related a bank serving as a bank for both depository Directors, to enhance its management of liquidity procedures. Commercial Banks act as Liquidity institutions and a government, a regulator for risk. Due to the inherently low credit risk presented Providers, asset custodians, settlement banks, letter financial institutions, and/or a nation’s money by Central Banks, only limited monitoring activities of credit issuers, and investment counterparties on manager. Central Banks act as asset custodians on would be performed pursuant to relevant OCC behalf of OCC. behalf of OCC, and OCC uses access to accounts and procedures. VerDate Sep<11>2014 18:16 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00114 Fmt 4703 Sfmt 4703 E:\FR\FM\01NON1.SGM 01NON1 sradovich on DSK3GMQ082PROD with NOTICES 50722 Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Notices below. As a Counterparty approaches or of violation shall be identified and margin call shall be the standard form no longer meets minimum standards, reported to internal personnel pursuant of protective measures for position risk FRM’s monitoring heightens and, in the to FRM procedures. monitoring and shall not require officer case of Commercial Banks and Clearing 3. Watch Level III. This tier shall be approval or further prompt escalation. Members, increasingly rigorous used to categorize Clearing Members However, Clearing Members may be protective measures may be imposed to and Commercial Banks potentially reported to the Executive Chairman, limit or eliminate OCC’s credit presenting upper moderate to Chief Operating Officer or Chief exposure. substantial credit risk. Violations in this Administrative officer for consideration Pursuant to the Policy, the Watch tier may indicate a Clearing Member or of additional protective measures. Level Reporting process shall be Commercial Bank that is below early administered by OCC’s Management warning participation thresholds and FMU Watch Level Reporting Committee, which maintains approval may soon become non-compliant with The FMU Watch Level Reporting authority of Watch Level parameter OCC’s minimum participation process allows Credit Risk Management, changes. The Watch Level Reporting standards, as specified in Article V of with the support of other FRM business process provides each of the Executive OCC’s By-Laws, Chapters II and III of units and Business Operations, to detect Chairman, Chief Operating Officer and OCC’s Rules, and internal OCC business-related concerns and/or Chief Administrative Officer with procedures. This level of violation shall financial or operational deterioration of authority to take action to protect OCC be identified and reported to the a FMU. Pursuant to the CCRM Policy, given the facts and circumstances of the Executive Chairman, Chief Operating the FMU Watch Level Reporting process exposure presented by a Clearing Officer or Chief Administrative Officer, is organized into a two-tiered Member or Commercial Bank. Under the who shall have the authority to approve surveillance structure. Policy, Credit Risk Management shall the imposition or waiver of protective 1. Watch Level I. Watch Level I is the provide monthly internal reporting to measures. The Risk Committee shall be lowest tier of severity and shall be used FRM summarizing the circumstances informed of these violations on a to categorize FMUs presenting minimal relating to a violation, additional risks monthly basis. to very low credit risk. This level of observed and any corrective measure 4. Watch Level IV. Watch Level IV is violation shall be identified but not taken by any Clearing Member, the highest tier of severity and shall be reported. Commercial Bank, or FMU at or above used to categorize Clearing Members 2. Watch Level II. Watch Level II is the Watch Level II (described below); and and Commercial Banks potentially highest tier of severity and shall be used monthly reporting to OCC’s Credit and presenting high to very high credit risk to categorize FMUs presenting low to Liquidity Risk Working Group, with a heightened probability of default. lower moderate credit risk. This level of Management Committee and the Risk Violations in this tier may indicate a violation shall be identified and Committee of any Clearing Member or Clearing Member or Commercial Bank reported. Commercial Bank at or above Watch may imminently become or has already Other Tools for Monitoring and Level III (described below). become non-compliant with OCC’s Managing Credit Risk minimum participation standards, as Clearing Member Watch Level Reporting specified in Article V of OCC’s By-Laws, In addition to the Watch Level and Bank Watch Level Reporting Chapters II and III of OCC’s Rules, and Reporting processes discussed above, Pursuant to the CCRM Policy, the internal OCC procedures. This level of the CCRM Policy discusses other tools Clearing Member Watch Level Reporting violation shall be identified and and processes used by OCC to monitor process and Bank Watch Level reported to OCC’s Credit and Liquidity and manage credit risks arising from its Reporting process shall support initial Risk Working Group, with subsequent Counterparties. For example, in cases and on-going participation standards by reporting to the Executive Chairman, where ongoing monitoring of Clearing allowing OCC’s Credit Risk Management Chief Operating Officer or Chief Members identifies circumstances department, with the support of other Administrative Officer, who shall have impacting margin levels due to changing FRM business units, Business the authority to approve the imposition portfolio characteristics, market Operations and Treasury, to detect or waiver of protective measures, conditions, elevated Clearing Fund business-related concerns and/or including the option to restrict business stress test results, upcoming holidays financial or operational deterioration of of or suspend the Clearing Member or where trading is allowed but OCC is a Counterparty in order to protect OCC Commercial Bank. The Risk Committee unable to call for additional margin and its Clearing Members against the shall be promptly informed of these deposits, and certain other situations, potential default of a Clearing Member violations and a meeting of the Risk OCC shall have the authority to call for or Commercial Bank. Pursuant to the Committee may occur to discuss the additional margin deposits or otherwise Policy, the Clearing Member Watch event. adjust margin requirements as further Level Reporting process and Bank In addition, under the Policy, a detailed in OCC’s margin and Clearing Watch Level Reporting process shall be Clearing Member reporting (1) aggregate Fund-related policies. organized into four-tiered surveillance uncollateralized stress test exposure Under the Policy, OCC’s Credit Risk structures. under normal market conditions less (2) Management department also maintains 1. Watch Level I. Watch Level I is the the sum of base expected shortfall and Internal Credit Ratings (‘‘ICRs’’) which lowest tier of severity and shall be used stress test charges as computed under shall be incorporated into the Watch to categorize Clearing Members and OCC’s margin methodology, exceeding Level Reporting process and shall be Commercial Banks presenting minimal 75% of the Clearing Member’s excess designed to identify quarterly to very low credit risk. This level of net capital shall be identified and creditworthiness scores of Clearing violation shall be identified but not reported on Watch Level II. When this Members and Commercial Banks. ICR reported. exposure exceeds 100% of net capital, a reporting shall summarize the 2. Watch Level II. This tier shall be Clearing Member shall be identified and underlying cause of the ICR score, used to categorize Clearing Members reported on Watch Level III and shall be recent scoring trend and exposure and Commercial Banks presenting low subject to a margin call for the amount introduced by a Clearing Member or to lower moderate credit risk. This level of exposure exceeding net capital. A Commercial Bank. VerDate Sep<11>2014 18:16 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00115 Fmt 4703 Sfmt 4703 E:\FR\FM\01NON1.SGM 01NON1 sradovich on DSK3GMQ082PROD with NOTICES Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Notices 50723 In addition, the Policy provides that orderly fashion before a relationship is among other things, maintain a sound Credit Risk Management shall perform terminated.16 risk management framework for examinations of the risk management addressing credit risk, to effectively (2) Statutory Basis frameworks, policies, procedures and identify, measure, monitor, and manage practices of each Clearing Member no Section 17A(b)(3)(F) of the Act 17 credit risks that arise in or are borne by less than once in a three calendar year requires, among other things, that the the covered clearing agency, including period focusing on the risks posed to rules of a clearing agency be designed to its credit exposures to participants and OCC. For certain exams, Credit Risk assure the safeguarding of securities and those arising from its payment, clearing, Management may coordinate with funds which are in its custody or and settlement processes. OCC believes external parties to realize operational control or for which it is responsible that the CCRM Policy is consistent with efficiencies for both the Clearing and, in general, to protect investors and Rules 17Ad–22(e)(3) and (4) 21 because Member and OCC. the public interest. Through each of its the CCRM Policy describes OCC’s respective sections, the CCRM Policy framework for comprehensively The CCRM Policy also provides that provides a framework that is designed to managing its credit risks. Specifically, OCC’s Counterparty monitoring enable OCC to identify, evaluate, the CCRM Policy describes the various includes managing the material risks measure, monitor and manage potential processes by which OCC identifies, that arise from indirect participants credit risks posed by its Counterparties. measures, monitors, and manages its through tiered participation In identifying these credit risks, the credit exposures to participants and arrangements. In particular, Credit Risk CCRM Policy details various ways in exposures arising from its payment, Management, supported by other FRM which OCC may be exposed to such clearing, and settlement processes, business units and Business Operations, risks. In evaluating counterparty credit including the Counterparty access and shall monitor the material risks that risks, the CCRM Policy states that OCC participation standards used by OCC to arise from indirect participants through evaluates each Counterparty against evaluate potential Counterparties, OCC’s tiered participation arrangements. objective and risk-based minimum processes for measuring its Credit Risk Management (or other FRM standards of creditworthiness, overall Counterparty exposures, and OCC’s business units, as appropriate) shall financial condition and operational processes for monitoring and managing identify these tiered participation capabilities. The Policy also provides Counterparty exposures (particularly arrangements through standard detail on how OCC structures its through the use of its Watch Level monitoring processes when they present custodial relationship to ensure it has Reporting processes). elevated risk to the Clearing Member or prompt access to its own assets and In addition, Rule 17Ad–22(e)(16) 22 OCC. Furthermore, Clearing Member Clearing Members’ assets. In measuring requires a covered clearing agency to risk examinations shall seek to counterparty credit risk, the CCRM establish, implement, maintain and understand how direct participants Policy describes various ways in which enforce written policies and procedures identify, measure and manage the risks OCC measures credit risk posed by reasonably designed to, among other posed to OCC from indirect participants. different Counterparties, as well as the things, safeguard the covered clearing In this regard, the CCRM Policy is three main tools for managing credit risk agency’s own and its participants’ assets designed to promote compliance with posed by Clearing Members. In and minimize the risk of loss and delay Rule 17Ad–22(e)(19) by addressing the monitoring and managing counterparty in access to these assets. OCC believes material risks that may arise from credit risk, the CCRM Policy specifies that the access and participation indirect participants.15 the steps taken by OCC’s internal units requirements for Commercial and Additionally, under the CCRM Policy, to monitor Counterparties, including by Central Banks outlined in the CCRM OCC shall monitor Clearing Members, conducting examinations of Clearing Policy enable it to appropriately Commercial Banks and investment Members’ risk management frameworks evaluate each bank against relevant counterparties during prolonged periods and performing monthly Watch Level minimum standards of creditworthiness of inactivity, and Clearing Members Reporting. The CCRM Policy’s and for its overall financial condition shall be allowed to voluntarily enter a promotion of each aforementioned and operational capabilities, and are dormant state in order to reduce credit activity ultimately inures to the therefore designed to minimize the risk risk originating from unexpected trading protection of investors and the public of loss and delay in access to OCC’s activity. A dormant Clearing Member interest, as well as the safeguarding of assets and its participants’ assets in a shall continuously adhere to all securities and funds in OCC’s custody manner consistent with Rule 17Ad– operational and financial standards and or control 18 in a manner consistent with 22(e)(16).23 may reactivate its membership after Section 17A(b)(3)(F) of the Act.19 Rule 17Ad–22(e)(18) 24 further submitting to an operational and OCC also believes that that the CCRM requires a covered clearing agency to financial review. OCC shall maintain Policy is consistent with several establish, implement, maintain and sole discretion to terminate inactive requirements under Rule 17Ad–22. For enforce written policies and procedures Commercial Banks and investment example, Rules 17Ad–22(e)(3) and reasonably designed to, among other 20 counterparties in order to reduce credit (e)(4) require a covered clearing things, establish objective, risk-based, risk. agency to establish, implement, and publicly disclosed criteria for maintain and enforce written policies participation, which permit fair and Counterparty Credit Risk Termination and procedures reasonably designed to, open access and require participants to have sufficient financial resources and Finally, the CCRM Policy addresses 16 17 CFR 240.17Ad–22(e)(19). robust operational capacity to meet the voluntary off-boarding of 17 15 U.S.C. 78q–1(b)(3)(F). obligations arising from participation in Counterparties. Under the Policy, 18 These activities, in turn, help ensure that OCC the clearing agency, and monitor voluntary off-boarding shall be remains capable of continuing its operations and performed in a manner designed to services in a manner that promotes the prompt and accurate clearance and settlement of securities 21 Id. wind down all credit exposures in an transactions. 22 17 CFR 240.17Ad–22(e)(16). 19 15 U.S.C. 78q–1(b)(3)(F). 23 Id. 15 17 CFR 240.17Ad–22(e)(19). 20 17 CFR 240.17Ad–22(e)(3) and (4). 24 17 CFR 240.17Ad–22(e)(18). VerDate Sep<11>2014 18:16 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00116 Fmt 4703 Sfmt 4703 E:\FR\FM\01NON1.SGM 01NON1 sradovich on DSK3GMQ082PROD with NOTICES 50724 Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Notices compliance with such participation OCC, including any other rules reasons for so finding or (ii) as to which requirements on an ongoing basis. OCC proposed to be amended. the self- regulatory organization believes the CCRM Policy promotes consents, the Commission will: (B) Clearing Agency’s Statement on compliance with Rule 17Ad–22(e)(18) 25 (A) By order approve or disapprove Burden on Competition by ensuring that OCC has objective, risk- the proposed rule change, or based and publicly disclosed criteria for Section 17A(b)(3)(I) of the Act 30 (B) institute proceedings to determine participation and requiring Clearing requires that the rules of a clearing whether the proposed rule change Members to have sufficient financial agency not impose any burden on should be disapproved. competition not necessary or resources to meet their obligations to IV. Solicitation of Comments OCC. Moreover, the Policy outlines the appropriate in furtherance of the Watch Level Reporting process used by purposes of the Act. OCC does not Interested persons are invited to OCC to monitor compliance with such believe that the proposed rule change submit written data, views and participation requirements on an would impact or impose any burden on arguments concerning the foregoing, ongoing basis. competition. The proposed rule change including whether the proposed rule Rule 17Ad–22(e)(19) 26 requires a addresses the framework by which OCC change is consistent with the Act. covered clearing agency to establish, manages counterparty credit risk arising Comments may be submitted by any of implement, maintain and enforce from its business, as set forth in the the following methods: written policies and procedures CCRM Policy. Because any individual Electronic Comments Counterparty under the CCRM Policy is reasonably designed to identify, • monitor, and manage the material risks equally subject to the aspects of the Use the Commission’s Internet to the covered clearing agency arising counterparty credit risk framework that comment form (http://www.sec.gov/ from arrangements in which firms that apply to it based on the type of rules/sro.shtml); or • Send an email to rule-comments@ are indirect participants in the covered Counterparty that it represents (i.e., sec.gov. Please include File Number SR– clearing agency rely on the services direct and indirect participants, OCC–2017–009 on the subject line. provided by direct participants to access Liquidity Providers, asset custodians, the covered clearing agency’s payment, settlement banks, letter of credit issuers, Paper Comments clearing, or settlement facilities. OCC investment counterparties, clearing • Send paper comments in triplicate believes the Policy is designed to agencies and FMUs) and the related to Secretary, Securities and Exchange 27 comply with Rule 17Ad–22(e)(19) counterparty credit risks that are posed Commission, 100 F Street NE., because it outlines the process by which to OCC by that type of Counterparty, the Washington, DC 20549–1090. OCC identifies and monitors the proposed rule change would not All submissions should refer to File material risks arising from indirect provide any Counterparty with a Number SR–OCC–2017–009. This file participants through tiered participation competitive advantage over any other number should be included on the arrangements, including through the use similar Counterparty. Further, the subject line if email is used. To help the of risk examinations of its Clearing proposed rule change would not affect Commission process and review your Members. Clearing Members’ or other comments more efficiently, please use Finally, Rule 17Ad–22(e)(20) 28 Counterparties’ existing access to OCC’s only one method. The Commission will requires a covered clearing agency to services or impose any new or different post all comments on the Commission’s establish, implement, maintain and direct burdens on Clearing Members or Internet Web site (http://www.sec.gov/ enforce written policies and procedures other Counterparties. rules/sro.shtml). Copies of the reasonably designed to, among other For the foregoing reasons, OCC submission, all subsequent things, identify, monitor, and manage believes that the proposed rule change amendments, all written statements risks related to any link the covered is in the public interest, would be with respect to the proposed rule clearing agency establishes with one or consistent with the requirements of the change that are filed with the more other clearing agencies or FMUs. Act applicable to clearing agencies, and Commission, and all written OCC believes that the Policy promotes would not impact or impose a burden communications relating to the compliance with Rule 17Ad–22(e)(20) 29 on competition. proposed rule change between the because it outlines the standards OCC (C) Clearing Agency’s Statement on Commission and any person, other than uses to evaluate FMU Counterparties Comments on the Proposed Rule those that may be withheld from the prior to entering into any link Change Received From Members, public in accordance with the arrangement (including the evaluations Participants or Others provisions of 5 U.S.C. 552, will be OCC would perform relating to rights available for Web site viewing and and interests, collateral arrangements, Written comments on the proposed printing in the Commission’s Public settlement finality and netting rule change were not and are not Reference Room, 100 F Street NE., arrangements, and financial and custody intended to be solicited with respect to Washington, DC 20549, on official risks that may arise due to such link the proposed rule change and none have business days between the hours of arrangement) and the processes by been received. 10:00 a.m. and 3:00 p.m. Copies of such which OCC measures and monitors the III. Date of Effectiveness of the filing also will be available for risks arising from such FMU Proposed Rule Change and Timing for inspection and copying at the principal Counterparties (including its FMU Commission Action office of OCC and on OCC’s Web site at Watch Level Reporting process). Within 45 days of the date of http://www.theocc.com/components/ The proposed rule change is not _ _ _ _ _ inconsistent with the existing rules of publication of this notice in the Federal docs/legal/rules and bylaws/sr occ 17 Register or within such longer period 009.pdf. All comments received will be posted 25 Id. up to 90 days (i) as the Commission may 26 17 CFR 240.17Ad–22(e)(19). designate if it finds such longer period without change. Persons submitting 27 Id. to be appropriate and publishes its comments are cautioned that the 28 17 CFR 240.17Ad–22(e)(20). Commission does not redact or edit 29 Id. 30 15 U.S.C. 78q–1(b)(3)(I). personal identifying information from VerDate Sep<11>2014 18:16 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00117 Fmt 4703 Sfmt 4703 E:\FR\FM\01NON1.SGM 01NON1 sradovich on DSK3GMQ082PROD with NOTICES Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Notices 50725 comment submissions. You should to amend the Certificate of Formation privileges of Exchange members or their submit only information that you wish and Limited Liability Company associated persons is any way. to make available publicly. Operating Agreement of CBOE V, LLC Accordingly, this filing is being All submissions should refer to File (the ‘‘Operating Agreement’’), in submitted under Rule 19b–4(f)(3). In Number SR–OCC–2017–009 and should connection with a related name change lieu of providing a copy of the marked be submitted on or before November 22, for the Intermediate. The Exchange also name changes, the Exchange represents 2017. proposes to amend its Amended and that it will make the necessary non- For the Commission, by the Division of Restated Certificate of Incorporation (the substantive revisions described below to Trading and Markets, pursuant to delegated ‘‘Exchange Certificate’’), Sixth Amended the Exchange’s corporate governance 31 Authority. and Restated Bylaws of Bats BYX documents, rulebook, and fees Eduardo A. Aleman, Exchange, Inc. (the ‘‘Exchange schedules, and post updated versions of Bylaws’’), rulebook and fee schedule Assistant Secretary. each on the Exchange’s Web site (collectively ‘‘operative documents’’) in [FR Doc. 2017–23731 Filed 10–31–17; 8:45 am] pursuant to Rule 19b–4(m)(2). BILLING CODE 8011–01–P connection with the name change of its parent Company, Intermediate, and the The Company’s Name Change Exchange. SECURITIES AND EXCHANGE The text of the proposed rule change In connection with the corporate COMMISSION is also available on the Exchange’s Web name change of its parent company, the site (http://www.cboe.com/AboutCBOE/ Exchange is proposing to amend the [Release No. 34–81952; File No. SR– CBOELegalRegulatoryHome.aspx), at Company’s Certificate and Bylaws. BatsBYX–2017–27] the Exchange’s Office of the Secretary, Specifically, the Company is changing Self-Regulatory Organizations; Bats and at the Commission’s Public its name from ‘‘CBOE Holdings, Inc.’’ to BYX Exchange, Inc.; Notice of Filing Reference Room. ‘‘Cboe Global Markets, Inc.’’. and Immediate Effectiveness of a II. Self-Regulatory Organization’s Company’s Certificate Proposed Rule Change To Reflect in Statement of the Purpose of, and the Exchange’s Governing Documents, Statutory Basis for, the Proposed Rule The Exchange proposes to (i) delete Rulebook and Fee Schedule, a Non- Change the following language from Paragraph Substantive Corporate Branding In its filing with the Commission, the (1) of the introductory paragraph: ‘‘The Change, Including Changes to the Exchange included statements name of the Corporation is CBOE Company’s Name, the Intermediate’s concerning the purpose of and basis for Holdings, Inc.’’ and (ii) amend Article Name, and the Exchange’s Name the proposed rule change and discussed First of the Company’s Certificate to October 26, 2017. any comments it received on the reflect the new name, ‘‘Cboe Global Pursuant to Section 19(b)(1) of the proposed rule change. The text of these Markets, Inc.’’ The Exchange also Securities Exchange Act of 1934 (the statements may be examined at the proposes to add clarifying language and ‘‘Act’’),1 and Rule 19b–4 thereunder,2 places specified in Item IV below. The cite to the applicable provisions of the notice is hereby given that on October Exchange has prepared summaries, set General Corporation Law of the State of 16, 2017, Bats BYX Exchange, Inc. (the forth in sections A, B, and C below, of Delaware in connection with the ‘‘Exchange’’ or ‘‘BYX’’) filed with the the most significant aspects of such proposed name change. The Exchange Securities and Exchange Commission statements. notes that it is not amending the Company’s name in the title or signature (‘‘Commission’’) the proposed rule A. Self-Regulatory Organization’s change as described in Items I and II Statement of the Purpose of, and line as the name changes will not be below, which Items have been prepared Statutory Basis for, the Proposed Rule effective until the Company, as by the Exchange. The Commission is Change currently named, files the proposed publishing this notice to solicit changes in Delaware. Thereafter, the comments on the proposed rule change 1. Purpose Exchange will amend the Certificate to from interested persons. Background reflect the new name in the title and I. Self-Regulatory Organization’s The purpose of this filing is to reflect signature line. The Exchange also notes Statement of the Terms of Substance of in the Exchange’s governing documents that although the name of ‘‘Chicago the Proposed Rule Change (and the governing documents of its Board Options Exchange, Incorporated’’ parent company, CBOE Holdings) and is changing to ‘‘Cboe Exchange Inc.’’, it The Exchange proposes a proposed is not amending the name of Chicago rule change with respect to amendments the Exchange’s rulebook and fees Board Options Exchange, Incorporated of the Second Amended and Restated schedules, a non-substantive corporate (‘‘CBOE’’) referenced in Article Certificate of Incorporation (the branding change, including changes to Fifth(a)(iii) at this time. Particularly, the ‘‘Company’s Certificate’’) and Third the Company’s name, the Intermediate’s Amended and Restated Bylaws (the name, and the Exchange’s name. Exchange notes that unlike the ‘‘Company’s Bylaws’’) of its parent Particularly, references to Company’s, exception applicable to proposed 3 corporation, CBOE Holdings, Inc. Intermediate’s and Exchange’s names changes to the Company’s name, a vote (‘‘CBOE Holdings’’ or the ‘‘Company’’) will be deleted and revised to state the of stockholders is required to adopt an to change the name of the Company to new names, as described more fully amendment to the reference of CBOE’s Cboe Global Markets, Inc. With respect below. No other substantive changes are name. As such, the Exchange will to CBOE V, LLC, an intermediate being proposed in this filing. The submit a rule filing to amend the Holding Company of the Exchange (the Exchange represents that these changes Certificate to reflect the new CBOE ‘‘Intermediate’’), the Exchange proposes are concerned solely with the name at such time it is ready to obtain administration of the Exchange and do stockholder approval. 31 17 CFR 200.30–3(a)(12). not affect the meaning, administration, 1 15 U.S.C. 78s(b)(1). or enforcement of any rules of the 3 See Section 242(b) of the General Corporation 2 17 CFR 240.19b–4. Exchange or the rights, obligations, or Law of the State of Delaware. VerDate Sep<11>2014 18:16 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00118 Fmt 4703 Sfmt 4703 E:\FR\FM\01NON1.SGM 01NON1 sradovich on DSK3GMQ082PROD with NOTICES 50726 Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Notices (a) Company’s Bylaws name in the title or signature line as the (a) Exchange’s Certificate name changes will not be effective until With respect to the Company’s The Exchange proposes to (i) delete Bylaws, references to ‘‘CBOE Holdings, the Intermediate, as currently named, files the proposed changes in Delaware.4 the following language from the Inc.’’ will be deleted and revised to state introductory paragraph: ‘‘The name of ‘‘Cboe Global Markets, Inc.’’ The Thereafter, the Exchange will amend the Certificate of Formation to reflect the the Corporation is Bats BYX Exchange, Exchange also proposes to eliminate the Inc.’’ and (ii) amend Article First of the reference to ‘‘Chicago Board Options new name in the title and signature line. Exchange’s Certificate to reflect the new Exchange, Incorporated’’ in Article 10, (b) Operating Agreement name, ‘‘Cboe BYX Exchange, Inc.’’. The Section 10.2. Particularly, Section 10.2 Exchange also proposes to add provides that ‘‘for so long as the As it relates to the Operating Corporation shall control, directly or Agreement of the Intermediate, clarifying language and cite to the indirectly, any national securities references to ‘‘CBOE V, LLC’’ will be applicable provisions of the General exchange, including, but not limited to deleted and revised to state its new Corporation Law of the State of Chicago Board Options Exchange, name ‘‘Cboe Bats, LLC’’ and references Delaware in connection with the Incorporated (a ‘‘Regulated Securities to ‘‘CBOE Holdings, Inc.’’ will be proposed name change. The Exchange Exchange Subsidiary’’), before any deleted and revised to state ‘‘Cboe notes that it is not amending the amendment, alteration or repeal of any Global Markets, Inc.’’. The Exchange Exchange’s name in the title or signature provision of the Bylaws shall be also proposes to add clarifying and line as the name changes will not be effective, such amendment, alteration or conforming language in connection with effective until the Exchange, as repeal shall be submitted to the board of the proposed name change, including currently named, files the proposed directors of each Regulated Securities new Section 12.5 (‘‘Effect of changes in Delaware. Thereafter, the Exchange Subsidiary, and if such Amendment’’), which provides that the Exchange will amend the Certificate to amendment, alteration or repeal must be ‘‘Agreement amends, restates and reflect the new name in the title and filed with or filed with and approved by supersedes the Original Agreement in signature line. the Securities and Exchange all respects. From and after the date (b) Exchange’s Bylaws Commission, then such amendment, hereof, this Agreement shall be the alteration or repeal shall not become limited liability company operating For the Exchange’s Bylaws, all effective until filed with or filed with agreement of the Company for all references to ‘‘Bats BYX Exchange, Inc.’’ and approved by the Securities and purposes.’’ will be deleted and revised to state Exchange Commission, as the case may ‘‘Cboe BYX Exchange, Inc.’’. be.’’ As the Company currently controls The Exchange’s Name Change (c) Exchange’s Rulebook a number of Regulated Securities For purposes of consistency, certain Exchange Subsidiaries, it does not of the Parent’s subsidiaries have also For the Rules of Bats BYX Exchange, believe it is necessary to explicitly undertaken to change their legal names. Inc., all references to ‘‘Bats BYX reference only Chicago Board Options As a result, the Exchange also proposes Exchange, Inc.’’ and ‘‘Bats BYX Exchange, Incorporated and therefore to change its name from ‘‘Bats BYX Exchange’’ will be deleted and revised proposes to delete the following Exchange, Inc.’’ to ‘‘Cboe BYX language: ‘‘including, but not limited to to state ‘‘Cboe BYX Exchange, Inc.’’ and Exchange, Inc.’’ throughout its rules, ‘‘Bats [sic] BYX Exchange’’, Chicago Board Options Exchange, fees schedules and corporate Incorporated’’. respectively. Additionally, the documents. Additionally, the Exchange Exchange’s affiliates are also filing The Intermediate’s Name Change notes that its affiliated exchanges Bats similar rule filings to change their BZX Exchange, Inc., Bats EDGX For purposes of consistency, certain names, as noted above. As such, all Exchange, Inc., Bats EDGA Exchange, of the Parent’s subsidiaries have also references to ‘‘Bats BZX Exchange, Inc., and C2 Options Exchange, Inc. undertaken to change their legal names. Inc.’’, ‘‘Bats EDGA Exchange, Inc.’’, (collectively the ‘‘affiliates’’) have also As a result, the Exchange also proposes ‘‘Bats EDGX Exchange, Inc.’’ and ‘‘C2 proposed name changes to Cboe BZX to change the name of the Intermediate Options Exchange, Inc.’’ 5 in the BYX’s Exchange, Inc., Cboe EDGX Exchange, from ‘‘CBOE V, LLC’’ to ‘‘Cboe Bats, rules will likewise be deleted and Inc., Cboe EDGA Exchange, Inc., and LLC.’’ revised to state ‘‘Cboe BYX Exchange, Cboe C2 Exchange, Inc. respectively. Inc.’’, Cboe EDGA Exchange, Inc.’’ and Lastly, the Exchange is changing the (a) Certificate of Formation ‘‘Cboe EDGX Exchange, Inc.’’ and ‘‘Cboe name of ‘‘Bats Trading, Inc.’’ to ‘‘Cboe As it relates to the Certificate of C2 Exchange, Inc.’’, respectively. All Trading, Inc.’’ Formation of CBOE V, LLC, references references to ‘‘CBOE Holdings, Inc.’’ to ‘‘CBOE V, LLC’’ will be deleted and Therefore, the Exchange proposes to will be deleted and revised to state revised to state its new name ‘‘Cboe amend its: (i) Amended and Restated ‘‘Cboe Global Markets, Inc.’’, all Bats, LLC’’. The Exchange also proposes Certificate of Incorporation of Bats BYX references to ‘‘Bats One’’ will be deleted to add clarifying and conforming Exchange, Inc., (ii) Sixth Amended and and revised to state ‘‘Cboe One’’, and all language in order to conform to, as well Restated Bylaws of Bats BYX Exchange, references to ‘‘Bats Connect’’ will be as cite to, the applicable provisions of Inc., (iii) Rulebook, (iv) Fee Schedule for deleted and revised to state ‘‘Cboe the General Corporation Law of the BYX Equities (collectively, the Connect’’. The Exchange will also delete State of Delaware in connection with ‘‘Operative Documents’’) to reflect the references to ‘‘Bats Trading, Inc.’’ and the proposed name change. The name changes. ‘‘Bats Trading’’ and replace it with Exchange notes to conform with the references to ‘‘Cboe Trading, Inc.’’ and revised language in the introductory 4 The Exchange notes that the current signature ‘‘Cboe Trading’’, respectively. paragraph, it also proposes to amend block of the Certificate of Formation references ‘‘CBOE Holdings, Inc.’’ instead of ‘‘CBOE V, LLC’’. references to ‘‘LLC’’ to ‘‘limited liability The Exchange proposes to correct that reference and 5 The Exchange notes that the BYX rules refer to company’’. The Exchange also notes that refer to ‘‘CBOE V, LLC’’, which as noted, will be ‘‘C2 Options Exchange, Incorporated’’ as ‘‘C2 it is not amending the Intermediate’s changed to ‘‘Cboe Bats, LLC’’ at a later date. Options Exchange, Inc.’’ See Rule 2.3. VerDate Sep<11>2014 18:16 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00119 Fmt 4703 Sfmt 4703 E:\FR\FM\01NON1.SGM 01NON1 sradovich on DSK3GMQ082PROD with NOTICES Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Notices 50727 (d) Exchange’s Fees Schedule C. Self-Regulatory Organization’s amendments, all written statements Statement on Comments on the with respect to the proposed rule For the BYX Equities Fee Schedule, Proposed Rule Change Received From change that are filed with the any reference to ‘‘Bats BYX Exchange’’ Members, Participants, or Others Commission, and all written will be deleted and revised to state The Exchange neither solicited nor communications relating to the ‘‘Cboe BYX Exchange’’. Additionally, all received comments on the proposed proposed rule change between the references to ‘‘Bats One’’ will be deleted rule change. Commission and any person, other than and revised to state ‘‘Cboe One’’ and all those that may be withheld from the references to ‘‘Bats Connect’’ will be III. Date of Effectiveness of the public in accordance with the deleted and revised to state ‘‘Cboe Proposed Rule Change and Timing for provisions of 5 U.S.C. 552, will be Connect’’. Commission Action available for Web site viewing and Pursuant to Section 19(b)(3)(A) of the printing in the Commission’s Public 2. Statutory Basis Act 8 and Rule 19b–4(f)(3) thereunder,9 Reference Room, 100 F Street NE., The Exchange believes the proposed the Exchange has designated this Washington, DC 20549, on official rule change is consistent with the proposal as one that is concerned solely business days between the hours of Securities Exchange Act of 1934 (the with the administration of the self- 10:00 a.m. and 3:00 p.m. Copies of the regulatory organization, and therefore filing also will be available for ‘‘Act’’) and the rules and regulations has become effective. inspection and copying at the principal thereunder applicable to the Exchange At any time within 60 days of the office of the Exchange. All comments and, in particular, the requirements of filing of the proposed rule change, the 6 received will be posted without change. Section 6(b) of the Act. Specifically, Commission summarily may Persons submitting comments are the Exchange believes the proposed rule temporarily suspend such rule change if cautioned that we do not redact or edit change is consistent with the Section it appears to the Commission that such personal identifying information from 6(b)(5) 7 requirements that the rules of action is necessary or appropriate in the comment submissions. You should an exchange be designed to prevent public interest, for the protection of submit only information that you wish fraudulent and manipulative acts and investors, or otherwise in furtherance of to make available publicly. All practices, to promote just and equitable the purposes of the Act. If the submissions should refer to File principles of trade, to foster cooperation Commission takes such action, the Number SR–BatsBYX–2017–27 and and coordination with persons engaged Commission will institute proceedings should be submitted on or before in regulating, clearing, settling, to determine whether the proposed rule November 22, 2017. processing information with respect to, change should be approved or For the Commission, by the Division of and facilitating transactions in disapproved. Trading and Markets, pursuant to delegated securities, to remove impediments to IV. Solicitation of Comments authority.10 and perfect the mechanism of a free and Eduardo A. Aleman, open market and a national market Interested persons are invited to submit written data, views, and Assistant Secretary. system, and, in general, to protect arguments concerning the foregoing, [FR Doc. 2017–23733 Filed 10–31–17; 8:45 am] investors and the public interest. including whether the proposed rule BILLING CODE 8011–01–P In particular, the proposed change is change is consistent with the Act. a non-substantive change and does not Comments may be submitted by any of impact the governance, ownership or the following methods: DEPARTMENT OF STATE operations of the Exchange. The Electronic Comments [Public Notice 10183] Exchange believes that by ensuring that • its parent company’s governance Use the Commission’s Internet Review of the Designation as a Foreign documents and the Exchanges operative comment form (http://www.sec.gov/ Terrorist Organization of Haqqani rules/sro.shtml); or documents accurately reflect the new • Network (and Other Aliases) legal names, the proposed rule change Send an email to rule-comments@ sec.gov. Please include File Number SR– Based upon a review of the would reduce potential investor or BatsBYX–2017–27 on the subject line. Administrative Record assembled market participant confusion. pursuant to Section 219(a)(4)(C) of the Paper Comments B. Self-Regulatory Organization’s Immigration and Nationality Act, as • Statement on Burden on Competition Send paper comments in triplicate amended (8 U.S.C. 1189(a)(4)(C)) to Brent J. Fields, Secretary, Securities (‘‘INA’’), and in consultation with the The Exchange does not believe that and Exchange Commission, 100 F Street Attorney General and the Secretary of the proposed rule change will impose NE., Washington, DC 20549–1090. the Treasury, I conclude that the any burden on competition that is not All submissions should refer to File circumstances that were the basis for the necessary or appropriate in furtherance Number SR–BatsBYX–2017–27. This designation of the aforementioned of the purposes of the Act. The file number should be included on the organization as a Foreign Terrorist proposed rule change is not intended to subject line if email is used. To help the Organization have not changed in such address competitive issues but rather is Commission process and review your a manner as to warrant revocation of the concerned solely with updating the comments more efficiently, please use designation and that the national Company’s and Exchange’s governance only one method. The Commission will security of the United States does not and operative documents to reflect the post all comments on the Commission’s warrant a revocation of the designation. abovementioned name changes. Internet Web site (http://www.sec.gov/ Therefore, I hereby determine that the rules/sro.shtml). Copies of the designation of the aforementioned submission, all subsequent organization as a Foreign Terrorist Organization, pursuant to Section 219 of 6 15 U.S.C. 78f(b). 8 15 U.S.C. 78s(b)(3)(A). 7 15 U.S.C. 78f(b)(5). 9 17 CFR 240.19b–4(f)(3). 10 17 CFR 200.30–3(a)(12). VerDate Sep<11>2014 18:16 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00120 Fmt 4703 Sfmt 4703 E:\FR\FM\01NON1.SGM 01NON1 sradovich on DSK3GMQ082PROD with NOTICES 50728 Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Notices the INA (8 U.S.C. 1189), shall be a manner as to warrant revocation of the exemption under 49 CFR 1180.2(d)(3) maintained. designation and that the national for an intra-corporate family transaction. This determination shall be published security of the United States does not ORP is a Delaware limited liability in the Federal Register. warrant a revocation of the designation. company, and in 2016 the Board Dated: October 11, 2017. Therefore, I hereby determine that the authorized it to acquire and operate a Rex W. Tillerson, designation of the aforementioned 12.2-mile rail line between milepost Secretary of State. organization as a Foreign Terrorist 60.5 at or near Powhatan Point, Ohio, Organization, pursuant to Section 219 of and milepost 72.2 at or near Hannibal, [FR Doc. 2017–23792 Filed 10–31–17; 8:45 am] the INA (8 U.S.C. 1189), shall be Ohio (the Omal Line).1 ORPS, a BILLING CODE 4710–AD–P maintained. Delaware limited liability company, This determination shall be published owns 100% of the member interests of 2 DEPARTMENT OF STATE in the Federal Register. ORP. Dated: October 11, 2017. According to the Parties, the purpose [Public Notice 10185] Rex W. Tillerson, of this transaction is to vest both fee title to the Omal Line and the right (and Review of the Designation as a Foreign Secretary of State . common carrier obligation) to operate Terrorist Organization of Jaish-e- [FR Doc. 2017–23791 Filed 10–31–17; 8:45 am] the Omal Line in a single entity Mohammed (and Other Aliases) BILLING CODE 4710–AD–P (ORPS).3 They state that the transaction Based upon a review of the will streamline administration and Administrative Record assembled DEPARTMENT OF STATE enhance corporate efficiency for the pursuant to Section 219(a)(4)(C) of the Parties, which are already closely Immigration and Nationality Act, as [Public Notice: 10182] integrated. They note, for example, that amended (8 U.S.C. 1189(a)(4)(C)) the proposed merger will eliminate the (‘‘INA’’), and in consultation with the Department of State Performance need for ORP and ORPS to prepare Attorney General and the Secretary of Review Board Members separate tax returns and maintain separate corporate records. the Treasury, I conclude that the In accordance with section 4314(c)(4) circumstances that were the basis for the of 5 United States Code, the Department The Parties state that the transaction designation of the aforementioned of State has appointed the following does not impose or involve any organization as a Foreign Terrorist interchange commitment by, or individuals to the Department of State 4 Organization have not changed in such Performance Review Board for Senior affecting, the Parties. a manner as to warrant revocation of the Executive Service members: James Unless stayed, the exemption will be designation and that the national Walsh, Chairperson, Deputy Assistant effective on November 15, 2017 (30 days security of the United States does not Secretary, Bureau of International after the verified notice was filed). The warrant a revocation of the designation. Narcotics and Law Enforcement, Parties state that they intend to Therefore, I hereby determine that the Department of State; Lisa Grosh, consummate the proposed transaction designation of the aforementioned Assistant Legal Adviser, Office of the as soon as practicable after the effective organization as a Foreign Terrorist Legal Adviser, Department of State; date of the exemption. Organization, pursuant to Section 219 of Nancy Jackson, Deputy Assistant This is a transaction within a the INA (8 U.S.C. 1189), shall be Secretary, Bureau of Population, corporate family of the type specially maintained. Refugees and Migration, Department of exempted from prior review and This determination shall be published State; Eliot Kang, Deputy Assistant approval under 49 CFR 1180.2(d)(3). in the Federal Register. Secretary, Bureau of International The Parties state that the transaction Dated: October 11, 2017. Security and Nonproliferation, will not result in any adverse change in Rex W. Tillerson, Department of State; and, Gail Neelon, service levels or significant operational Secretary of State. Associate Dean, Foreign Service changes because ORP has not yet [FR Doc. 2017–23790 Filed 10–31–17; 8:45 am] Institute, Department of State. commenced operations over the Omal Line. Nor will the merger of ORP with BILLING CODE 4710–AD–P Dated: October 20, 2017. and into ORPS result in any change in William Todd, DEPARTMENT OF STATE Acting, Director General of the Foreign 1 See Ohio River Partners LLC—Acquis. & Service and Director of Human Resources, Operation Exemption—Hannibal Development, [Public Notice: 10184] Department of State. LLC, FD 35984 (STB served Apr. 1, 2016). [FR Doc. 2017–23796 Filed 10–31–17; 8:45 am] 2 ORPS is indirectly owned and controlled by Fortress Transportation and Infrastructure Investors Review of the Designation as a Foreign BILLING CODE 4710–15–P Terrorist Organization of Islamic Jihad LLC, which is managed by an affiliate of Fortress Union (and Other Aliases) Investment Group LLC (Fortress). 3 The Parties state that the Omal Line acquisition Based upon a review of the SURFACE TRANSPORTATION BOARD was part of a broader real estate transaction pursuant to which ORPS acquired certain industrial Administrative Record assembled [Docket No. FD 36152] property (including the land upon which the Omal pursuant to Section 219(a)(4)(C) of the Line is located) from Hannibal Development LLC Immigration and Nationality Act, as Ohio River Partners Shareholders (Hannibal Development). The parties originally amended (8 U.S.C. 1189(a)(4)(C)) contemplated that ORP would acquire and operate LLC—Exemption for Intra-Corporate the Omal Line, while ORPS would acquire the other (‘‘INA’’), and in consultation with the Family Transaction—Ohio River real property from Hannibal Development. Attorney General and the Secretary of Partners LLC However, as consummated, the transaction resulted the Treasury, I conclude that the in ORPS becoming the owner of all the property circumstances that were the basis for the Ohio River Partners Shareholder LLC conveyed by Hannibal Development, including the Omal Line. designation of the aforementioned (ORPS) and Ohio River Partners LLC 4 An unexecuted draft copy of the Parties’ organization as a Foreign Terrorist (ORP) (collectively, the Parties) have agreement was filed with the verified notice of Organization have not changed in such jointly filed a verified notice of exemption. VerDate Sep<11>2014 18:16 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00121 Fmt 4703 Sfmt 4703 E:\FR\FM\01NON1.SGM 01NON1 sradovich on DSK3GMQ082PROD with NOTICES Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Notices 50729 the competitive balance with carriers Street; and (2) discontinue service over banking requests under 49 CFR 1152.29 outside the corporate family. a 0.5-mile portion of UP’s Rockwell must be filed by November 9, 2017. Under 49 U.S.C. 10502(g), the Board Industrial Lead near Swifts, Iowa, Petitions to reopen or requests for may not use its exemption authority to between milepost 157.5 and milepost public use conditions under 49 CFR relieve a rail carrier of its statutory 158.0, near Swifts, Iowa (the Line).1 The 1152.28 must be filed by November 21, obligation to protect the interests of its Line is entirely within Cerro Gordo 2017, with the Surface Transportation employees. Section 11326(c), however, County, Iowa, and traverses United Board, 395 E Street SW., Washington, does not provide for labor protection for States Postal Service Zip Code 50401. DC 20423–0001. transactions under Sections 11324 and UP has certified that: (1) No local or 11325 that involve only Class III rail overhead traffic has moved over the A copy of any petition filed with the carriers. The exemption here was filed Line for at least two years; (2) there is Board should be sent to UP’s by ORP and ORPS. Only Class III no need to reroute any traffic over other representative: Jeremy M. Berman, carriers are involved. Accordingly, labor lines; (3) no formal complaint filed by General Attorney, 1400 Douglas Street, protective conditions will not be a user of rail service on the Line (or by Stop 1580, Omaha, NE 68179. imposed. a state or local government entity acting If the verified notice contains false or If the verified notice contains false or on behalf of such user) regarding misleading information, the exemption misleading information, the exemption cessation of service over the Line either is void ab initio. is void ab initio. Petitions to revoke the is pending with the Surface UP has filed a combined exemption under 49 U.S.C. 10502(d) Transportation Board (Board) or with may be filed at any time. The filing of any U.S. District Court or has been environmental and historic report that a petition to revoke will not decided in favor of complainant within addresses the effects, if any, of the automatically stay the exemption. the two-year period; and (4) the abandonment on the environment and Petitions for stay must be filed no later requirements at 49 CFR 1105.7(c) historic resources. OEA will issue an than November 8, 2017 (at least seven (environmental report), 49 CFR 1105.11 environmental assessment (EA) by days before the exemption becomes (transmittal letter), 49 CFR 1105.12 November 6, 2017. Interested persons effective). (newspaper publication), and 49 CFR may obtain a copy of the EA by writing An original and 10 copies of all 1152.50(d)(1) (notice to governmental to OEA (Room 1100, Surface pleadings, referring to Docket No. FD agencies) have been met. Transportation Board, Washington, DC 36152, must be filed with the Surface As a condition to this exemption, any 20423–0001) or by calling OEA at (202) Transportation Board, 395 E Street SW., employee adversely affected by the 245–0305. Assistance for the hearing Washington, DC 20423–0001. In abandonment shall be protected under impaired is available through the Oregon Short Line Railroad— addition, one copy of each pleading Federal Information Relay Service at Abandonment Portion Goshen Branch must be served on Terrence M. Hynes, (800) 877–8339. Comments on Sidley Austin LLP, 1501 K Street NW., Between Firth & Ammon, in Bingham & Bonneville Counties, Idaho, 360 I.C.C. environmental and historic preservation Washington, DC 20005. matters must be filed within 15 days According to the Parties, this action is 91 (1979). To address whether this condition adequately protects affected after the EA becomes available to the categorically excluded from public. environmental review under 49 CFR employees, a petition for partial 1105.6(c). revocation under 49 U.S.C. 10502(d) Environmental, historic preservation, Board decisions and notices are must be filed. public use, or interim trail use/rail Provided no formal expression of available on our Web site at banking conditions will be imposed, intent to file an offer of financial WWW.STB.GOV. where appropriate, in a subsequent assistance (OFA) has been received, this decision. Decided: October 27, 2017. exemption will become effective on By the Board, Scott M. Zimmerman, Acting December 1, 2017, unless stayed Pursuant to the provisions of 49 CFR Director, Office of Proceedings. pending reconsideration. Petitions to 1152.29(e)(2), UP shall file a notice of Brendetta S. Jones, stay that do not involve environmental consummation with the Board to signify Clearance Clerk. issues,2 formal expressions of intent to that it has exercised the authority [FR Doc. 2017–23766 Filed 10–31–17; 8:45 am] file an OFA under 49 CFR granted and fully abandoned the Line. If 3 BILLING CODE 4915–01–P 1152.27(c)(2), and interim trail use/rail consummation has not been effected by UP’s filing of a notice of consummation 1 In the verified notice, UP states that after the by November 1, 2018, and there are no SURFACE TRANSPORTATION BOARD proposed abandonment, UP will continue to legal or regulatory barriers to provide rail service from the remaining portion of [Docket No. AB 33 (Sub-No. 327X)] the Rockwell Industrial Lead, as well as the Mason consummation, the authority to City and Albert Lea Subdivisions of the Spine Line, abandon will automatically expire. Union Pacific Railroad Company— which lie within one mile of the Line. 2 The Board will grant a stay if an informed Board decisions and notices are Abandonment and Discontinuance of decision on environmental issues (whether raised available on our Web site at Service Exemption—in Cerro Gordo by a party or by the Board’s Office of Environmental ‘‘WWW.STB.GOV.’’ County, Iowa Analysis (OEA) in its independent investigation) cannot be made before the exemption’s effective Decided: October 26, 2017. Union Pacific Railroad Company (UP) date. See Exemption of Out-of-Serv. Rail Lines, 5 By the Board, Scott M. Zimmerman, Acting has filed a verified notice of exemption I.C.C.2d 377 (1989). Any request for a stay should Director, Office of Proceedings. be filed as soon as possible so that the Board may under 49 CFR pt. 1152 subpart F— take appropriate action before the exemption’s Brendetta S. Jones, Exempt Abandonments and effective date. Clearance Clerk. 3 Each OFA must be accompanied by the filing Discontinuance of Service for UP to: (1) [FR Doc. 2017–23765 Filed 10–31–17; 8:45 am] Abandon a 2.0-mile portion of UP’s fee, which is currently set at $1,800. See Regulations Governing Fees for Servs. Performed in BILLING CODE 4915–01–P Rockwell Industrial Lead in Mason City, Connection with Licensing & Related Servs.—2017 Iowa, between milepost 155.5 near Elm Update, EP 542 (Sub-No. 25), slip op. App. C at 20 Street and milepost 157.5 near 19th (STB served July 28, 2017). VerDate Sep<11>2014 18:16 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00122 Fmt 4703 Sfmt 9990 E:\FR\FM\01NON1.SGM 01NON1 sradovich on DSK3GMQ082PROD with NOTICES 50730 Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Notices DEPARTMENT OF TRANSPORTATION outstanding innovations that enhance for OMB’s clearance of this information the right-of-way professional’s ability to collection. Federal Highway Administration meet the challenges associated with Authority: The Paperwork Reduction Act [Docket No. FHWA–2017–0046] acquiring real property for Federal-aid of 1995; 44 U.S.C. Chapter 35, as amended; projects. and 49 CFR 1.48. Agency Information Collection Similarly, FHWA established the Excellence in Right-of-Way Awards Issued On: October 27, 2017. Activities: Request for Comments for a Michael Howell, New Information Collection Program to honor the use of innovative practices and outstanding achievements Information Collection Officer. AGENCY: Federal Highway associated with highway improvement [FR Doc. 2017–23757 Filed 10–31–17; 8:45 am] Administration (FHWA), DOT. projects as it relates to the Right-of-Way BILLING CODE 4910–22–P ACTION: Notice and request for program. The goal of the program is to comments. showcase exemplary and innovative projects, programs, initiatives, and DEPARTMENT OF TRANSPORTATION SUMMARY: The FHWA invites public practices that successfully integrate the comments about our intention to request consideration of the Right-of-Way Federal Highway Administration the Office of Management and Budget’s program along with the association of [Docket No. FHWA–2017–0045] (OMB) approval for a new information the acquisition of land required to collection, which is summarized below construct transportation facilities. Agency Information Collection under SUPPLEMENTARY INFORMATION. We Award: Anyone can nominate a Activities: Notice of Request for are required to publish this notice in the project, process, person or group that Extension of Currently Approved Federal Register by the Paperwork has used Federal Highway Information Collection Reduction Act of 1995. Administration funding sources to make AGENCY: Federal Highway DATES: an outstanding contribution to Please submit comments by Administration (FHWA), DOT. January 2, 2018. transportation and the Right-of-Way field. The nominator is responsible for ACTION: Notice and request for ADDRESSES: You may submit comments comments. identified by DOT Docket ID 2017–0046 submitting an application form that summarizes the outstanding by any of the following methods: SUMMARY: In compliance with the Web site: For access to the docket to accomplishments of the entry. FHWA Paperwork Reduction Act (PRA) of read background documents or will use the collected information to 1995, this notice announces that FHWA comments received go to the Federal evaluate, showcase, and enhance the will submit the collection of eRulemaking Portal: Go to http:// public’s knowledge on addressing right- information described below to the www.regulations.gov. Follow the online of-way challenges on transportation Office of Management and Budget instructions for submitting comments. projects. Nominations will be reviewed (OMB) for review and comment. The Fax: 1–202–493–2251. by an independent panel of judges from Federal Register Notice with a 60-day Mail: Docket Management Facility, varying backgrounds. It is anticipated comment period soliciting comments on U.S. Department of Transportation, that awards will be given every two the following collection of information West Building Ground Floor, Room years. The winners are presented was published on August 1, 2017. The W12–140, 1200 New Jersey Avenue SE., plaques at an awards ceremony. PRA submission describes the nature of Respondents: Anyone who has used Washington, DC 20590–0001. the information collection and its Federal Highway funding sources in the Hand Delivery or Courier: U.S. expected cost and burden. Department of Transportation, West fifty states, the District of Columbia and Puerto Rico. DATES: Please submit comments by Building Ground Floor, Room W12–140, December 1, 2017. 1200 New Jersey Avenue SE., Frequency: The information will be ADDRESSES: You may submit comments Washington, DC 20590, between 9 a.m. collected biennially. Estimated Average Burden per identified by DOT Docket ID 2017–0045 and 5 p.m. ET, Monday through Friday, Response: 6 hours per respondent per by any of the following methods: except Federal holidays. application. Web site: For access to the docket to FOR FURTHER INFORMATION CONTACT: Estimated Total Annual Burden read background documents or Carolyn Winbourn-James, 202–493– Hours: It is expected that the comments received go to the Federal 0353, Department of Transportation, respondents will complete eRulemaking Portal: Go to http:// Federal Highway Administration, Office approximately 50 applications for an www.regulations.gov . Follow the online of Real Estate Services, 1200 New Jersey estimated total of 600 annual burden instructions for submitting comments. Avenue SE., Washington, DC 20590. hours. Fax: 1–202–493–2251. Office hours are from 8 a.m. to 5 p.m., Public Comments Invited: You are Mail: Docket Management Facility, Monday through Friday, except Federal asked to comment on any aspect of this U.S. Department of Transportation, holidays. information collection, including: (1) West Building Ground Floor, Room SUPPLEMENTARY INFORMATION: Whether the proposed collection is W12–140, 1200 New Jersey Avenue SE., Title: FHWA Excellence in Right-of- necessary for the FHWA’s performance; Washington, DC 20590–0001. Way Awards. (2) the accuracy of the estimated Hand Delivery or Courier: U.S. Background: In 1995, the Federal burdens; (3) ways for the FHWA to Department of Transportation, West Highway Administration established the enhance the quality, usefulness, and Building Ground Floor, Room W12–140, biennial Excellence in Right-of-Way clarity of the collected information; and 1200 New Jersey Avenue SE., Awards Program to recognize partners, (4) ways that the burden could be Washington, DC 20590, between 9 a.m. projects, and processes that use FHWA minimized, including the use of and 5 p.m. ET, Monday through Friday, funding sources to go beyond regulatory electronic technology, without reducing except Federal holidays. compliance and achieve Right-of-Way the quality of the collected information. FOR FURTHER INFORMATION CONTACT: excellence. Excellence in Right-of-Way The agency will summarize and/or Rochelle Zellars-Crawford, (202) 366– awardees have contributed to include your comments in the request 2862, Office of the Chief Financial VerDate Sep<11>2014 18:16 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00123 Fmt 4703 Sfmt 4703 E:\FR\FM\01NON1.SGM 01NON1 sradovich on DSK3GMQ082PROD with NOTICES Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Notices 50731 Officer, Federal Highway for OMB’s clearance of this information Avenue SE., W25–305, Washington, DC Administration, Department of collection. 20590. Transportation, 1200 New Jersey Authority: The Paperwork Reduction Act SUPPLEMENTARY INFORMATION: Avenue SE., Washington, DC 20590, of 1995; 44 U.S.C. Chapter 35, as amended; Title: Cruise Vessel Security and Monday through Friday, except Federal and 49 CFR 1.48. Safety Training Provider Certification. holidays. Issued On: October 27, 2017. OMB Control Number: 2133–0547. SUPPLEMENTARY INFORMATION: Michael Howell, Type of Request: Renewal of a Title: Voucher for Federal-aid Information Collection Officer. Previously Approved Information Reimbursements. Collection. [FR Doc. 2017–23755 Filed 10–31–17; 8:45 am] OMB Control Number: 2125–0507. Abstract: Section 3508 of the Cruise Background: The Federal-aid BILLING CODE 4910–22–P Vessel Security and Safety Act of 2010, Highway Program provides for the Public Law 111–207 (July 27, 2010, as reimbursement to States for expenditure DEPARTMENT OF TRANSPORTATION codified at 46 U.S.C. 3507–3508 of State funds for eligible Federal-aid (CVSSA)) provides the Maritime highway projects. The Voucher for Work Maritime Administration Administrator with the discretionary Performed under Provisions of the authority to certify cruise vessel training Federal Aid and Federal Highway Acts [Docket No. DOT–MARAD 2017–0169] providers that comply with training as amended is utilized by the States to standards developed by the USCG, FBI provide project financial data regarding Request for Comments on the Renewal and the Maritime Administration the expenditure of State funds and to of a Previously Approved Information (MARAD). The certification process request progress payments from the Collection: Cruise Vessel Security and necessarily requires applicants to FHWA. Title 23 U.S.C. 121(b) requires Safety Training Provider Certification provide supporting information to the submission of vouchers. The evidence their compliance with the AGENCY: Maritime Administration, specific information required on the CVSSA training standards. Department of Transportation. voucher is contained in 23 U.S.C. 121 Respondents: Cruise line companies and 117. Two types of submissions are ACTION: Notice and request for and maritime industry training required by recipients. One is a progress comments. providers. Affected Public: Passengers and crew voucher where the recipient enters the SUMMARY: In compliance with the onboard cruise lines. amounts claimed for each FHWA Paperwork Reduction Act of 1995, this Estimated Number of Respondents: appropriation, and the other is a final notice announces that the Information 20. voucher where project costs are Collection Request (ICR) abstracted Estimated Number of Responses: 20. classified by work type. An electronic below is being forwarded to the Office version of the Voucher for Work Estimated Hours per Response: 40. of Management and Budget (OMB) for Annual Estimated Total Annual Performed under Provisions of the review and comments. A Federal Federal Aid Highway Acts, as amended, Burden Hours: 800. Register Notice with a 60-day comment Frequency of Response: Annually. Form PR–20, is used by all recipients to period soliciting comments on the request progress and final payments. following information collection was (Authority: The Paperwork Reduction Act of Respondents: 50 State Transportation published on July 6, 2017 (Federal 1995; 44 U.S.C. Chapter 35, as amended; and 49 CFR 1.93.) Departments, the District of Columbia, Register 31388, Vol. 82, No. 128). Puerto Rico, Guam, American Samoa, * * * * * DATES: Comments must be submitted on and the Virgin Islands. By Order of the Maritime Administrator. Frequency: Annually. or before December 1, 2017. Dated: October 27, 2017. Estimated Average Burden per ADDRESSES: Send comments regarding Response: The respondents the burden estimate, including T. Mitchell Hudson, Jr., electronically submit an estimated total suggestions for reducing the burden, to Secretary, Maritime Administration. of 12,900 vouchers each year. Each the Office of Management and Budget, [FR Doc. 2017–23750 Filed 10–31–17; 8:45 am] voucher requires an estimated average Attention: Desk Officer for the Office of BILLING CODE 4910–81–P of 30 minutes to complete. the Secretary of Transportation, 725 Estimated Total Annual Burden 17th Street NW., Washington, DC 20503. Hours: 6,450 hours. Comments are invited on: (a) Whether DEPARTMENT OF THE TREASURY Public Comments Invited: You are the proposed collection of information asked to comment on any aspect of this is necessary for the Department’s Internal Revenue Service information collection, including: (1) performance; (b) the accuracy of the Proposed Collection; Comment Whether the proposed collection of estimated burden; (c) ways for the Request for Form 5305A–SEP information is necessary for the U.S. Department to enhance the quality, DOT’s performance, including whether utility and clarity of the information AGENCY: Internal Revenue Service (IRS), the information will have practical collection; and (d) ways that the burden Treasury. could be minimized without reducing utility; (2) the accuracy of the U.S. ACTION: Notice and request for the quality of the collected information. DOT’s estimate of the burden of the comments. proposed information collection; (3) The agency will summarize and/or ways to enhance the quality, usefulness, include your comments in the request SUMMARY: The Internal Revenue Service and clarity of the collected information; for OMB’s clearance of this information (IRS), as part of its continuing effort to and (4) ways that the burden could be collection. reduce paperwork and respondent minimized, including the use of FOR FURTHER INFORMATION CONTACT: burden, invites the general public and electronic technology, without reducing Quinton Ellis, Telephone: 202–366– other Federal agencies to take this the quality of the collected information. 5906; Office of Security, Maritime opportunity to comment on information The agency will summarize and/or Administration, U.S. Department of collections, as required by the include your comments in the request Transportation, 1200 New Jersey Paperwork Reduction Act of 1995. The VerDate Sep<11>2014 18:16 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00124 Fmt 4703 Sfmt 4703 E:\FR\FM\01NON1.SGM 01NON1 sradovich on DSK3GMQ082PROD with NOTICES 50732 Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Notices IRS is soliciting comments concerning be summarized and/or included in the copies of the regulations should be Form 5305A–SEP, Salary Reduction request for OMB approval. All directed to Tuawana Pinkston, at (202) Simplified Employee Pension— comments will become a matter of 317–6038 or at Internal Revenue Individual Retirement Accounts public record. Comments are invited on: Service, Room 6526, 1111 Constitution Contribution Agreement. (a) Whether the collection of Avenue NW., Washington, DC 20224, or DATES: Written comments should be information is necessary for the proper through the internet, at received on or before January 2, 2018 to performance of the functions of the [email protected]. be assured of consideration. agency, including whether the SUPPLEMENTARY INFORMATION: ADDRESSES: Direct all written comments information shall have practical utility; Title: Form 1094–C, Transmittal of to L. Brimmer, Internal Revenue (b) the accuracy of the agency’s estimate Employer-Provided Health Insurance Service, Room 6526, 1111 Constitution of the burden of the collection of Offer and Coverage Information Returns, Avenue NW., Washington, DC 20224. information; (c) ways to enhance the and 1095–C, Employer-Provided Health quality, utility, and clarity of the Insurance Offer and Coverage, and Form FOR FURTHER INFORMATION CONTACT: information to be collected; (d) ways to 4423, Application for Filing Affordable Requests for additional information or minimize the burden of the collection of Care Act (ACA) Information Returns. copies of the form and instructions information on respondents, including OMB Number: 1545–2251. should be directed to Martha R. Brinson, through the use of automated collection Form Numbers: Forms 1094–C, at (202) 317–5753 or at Internal Revenue techniques or other forms of information 1095–C, and 4423. Service, Room 6526, 1111 Constitution technology; and (e) estimates of capital Abstract: This program contains Avenue NW., Washington, DC 20224, or or start-up costs and costs of operation, regulations providing guidance to through the Internet at maintenance, and purchase of services employers that are subject to the [email protected]. to provide information. information reporting requirements SUPPLEMENTARY INFORMATION: Approved: October 25, 2017. under section 6056 of the Internal Title: Salary Reduction Simplified Revenue Code, enacted by the Patient L. Brimmer, Employee Pension—Individual Protection and Affordable Care Act Retirement Accounts Contribution Senior Tax Analyst. (Pub. L. 111–148 (124 Stat.119 (2010))). Agreement. [FR Doc. 2017–23715 Filed 10–31–17; 8:45 am] Section 6056 requires those employers OMB Number: 1545–1012. BILLING CODE 4830–01–P to report to the IRS information about Form Number: 5305A–SEP. their compliance with the employer Abstract: Form 5305A–SEP is used by shared responsibility provisions of DEPARTMENT OF THE TREASURY an employer to make an agreement to section 4980H of the Code and about the provide benefits to all employees under Internal Revenue Service health care coverage, if any, they have a Simplified Employee Pension (SEP) offered employees. Section 6056 also described in Internal Revenue Code Proposed Extension of Information requires those employers to furnish section 408(k). This form is not to be Collection Request Submitted for related statements to employees in order filed with the IRS, but is to be retained Public Comment; Information that employees may use the statements in the employer’s records as proof of Reporting by Applicable Large to help determine whether, for each establishing a SEP and justifying a Employers on Health Insurance month of the calendar year, they can deduction for contributions made to the Coverage Offered Under Employer- claim on their tax returns a premium tax SEP. Sponsored Plans credit under section 36B of the Code Current Actions: There are no changes (premium tax credit). being made to the form at this time. AGENCY: Internal Revenue Service (IRS), Treasury. Title: Form 1094–C. Type of Review: Extension of a Current Actions: There is no change to currently approved collection. ACTION: Notice and request for this existing regulation. However, the Affected Public: Business or other for- comments. agency has updated the number of profit organizations and individuals. SUMMARY: The Internal Revenue Service, respondents to reflect the most recent Estimated Number of Responses: data available. 100,000. as part of its continuing effort to reduce paperwork and respondent burden, Type of Review: Revision of a Estimated Time per Respondent: 9 hr., currently approved collection. 43 min. invites the public and other Federal agencies to take this opportunity to Affected Public: Individuals or Estimated Total Annual Burden households, Business or other for-profit, Hours: 972,000. comment on proposed and/or continuing information collections, as and not-for-profit entities. The following paragraph applies to all Estimated Number of Respondents: of the collections of information covered required by the Paperwork Reduction Act of 1995. Currently, the IRS is 400,000. by this notice: Estimated Time per Respondent: 4 soliciting comments concerning the An agency may not conduct or hours. sponsor, and a person is not required to requirements relating to the information Estimated Total Annual Burden reporting by applicable large employers respond to, a collection of information Hours: 1,600,000. unless the collection of information on health insurance coverage offered under employer-sponsored plans. Title: Form 1095–C. displays a valid OMB control number. Current Actions: There is no change to Books or records relating to a collection DATES: Written comments should be this existing collection. However, the of information must be retained as long received on or before January 2, 2018 to agency has updated the number of as their contents may become material be assured of consideration. respondents to reflect the most recent in the administration of any internal ADDRESSES: Direct all written comments data available. revenue law. Generally, tax returns and to L. Brimmer, Internal Revenue Type of Review: Revision of a tax return information are confidential, Service, Room 6526, 1111 Constitution currently approved collection. as required by 26 U.S.C. 6103. Avenue NW., Washington, DC 20224. Affected Public: Individuals or Request for Comments: Comments FOR FURTHER INFORMATION CONTACT: households, Business or other for-profit, submitted in response to this notice will Requests for additional information or and not-for-profit entities. VerDate Sep<11>2014 18:16 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00125 Fmt 4703 Sfmt 4703 E:\FR\FM\01NON1.SGM 01NON1 sradovich on DSK3GMQ082PROD with NOTICES Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Notices 50733 Estimated Number of Respondents: DEPARTMENT OF THE TREASURY Affairs, Office of Management and 105,000,000. Budget, Attention: Desk Officer for Estimated Time per Respondent: 12 Office of the General Counsel; Treasury, New Executive Office minutes. Appointment of Members of the Legal Building, Room 10235, Washington, DC Estimated Total Annual Burden Division to the Performance Review 20503, or email at OIRA_Submission@ Hours: 21,000,000. Board, Internal Revenue Service OMB.EOP.gov and (2) Treasury PRA Clearance Officer, 1750 Pennsylvania Title: Form 4423. Under the authority granted to me as Acting Chief Counsel of the Internal Ave. NW., Suite 8142, Washington, DC Current Actions: There is no change to 20220, or email at [email protected]. this existing collection. Revenue Service by the General Counsel FOR FURTHER INFORMATION CONTACT: Type of Review: Extension of a of the Department of the Treasury by Copies of the submissions may be currently approved collection. General Counsel Directive 15, pursuant obtained from Jennifer Leonard by Affected Public: Individuals or to the Civil Service Reform Act, I have appointed the following persons to the emailing [email protected], calling households, Business or other for-profit, (202) 622–0489, or viewing the entire and not-for-profit entities. Legal Division Performance Review Board, Internal Revenue Service Panel: information collection request at Estimated Number of Respondents: 6. www.reginfo.gov. Estimated Time per Respondent: 20 1. Chairperson, William M. Paul, Acting SUPPLEMENTARY INFORMATION: minutes. Chief Counsel 2. Scott Dinwiddie, Associate Chief Internal Revenue Service (IRS) Estimated Total Annual Burden Counsel (Income Tax and Hours: 2 hours. Accounting) Title: Claim for Refund of Excise The following paragraph applies to all 3. Bruce Meneely, Division Counsel Taxes. the collections of information covered (Small Business & Self Employed) OMB Control Number: 1545–1420. by this notice: An agency may not 4. Mark Kaizen, Associate Chief Counsel Type of Review: Revision of a conduct or sponsor, and a person is not (General Legal Services) currently approved collection. required to respond to, a collection of 5. Marjorie Rollinson, Associate Chief Abstract: IRC sections 6402, 6404, information unless the collection of Counsel (International) 6511 and sections 301.6402–2, information displays a valid OMB Alternate—Joseph Spires, Deputy 301.6404–1, and 301.6404–3 of the control number. Books or records Division Counsel (Small Business & Self regulations, allow for refunds of taxes relating to a collection of information Employed) (except income taxes) or refund, must be retained if their contents may This publication is required by 5 abatement, or credit of interest, become material in the administration U.S.C. 4314(c)(4). penalties, and additions to tax in the of any internal revenue law. Generally, Dated: October 20, 2017. event of errors or certain actions by IRS. Form 8849 is used by taxpayers to claim tax returns and tax return information William M. Paul, are confidential, as required by 26 refunds of excise taxes. Acting Chief Counsel, Internal Revenue Forms: Schedule 1 (Form 8849), U.S.C. 6103. Service. Schedule 2 (Form 8849), Schedule 3 Request for Comments: Comments [FR Doc. 2017–23717 Filed 10–31–17; 8:45 am] submitted in response to this notice will (Form 8849), Schedule 5 (Form 8849), BILLING CODE 4830–01–P be summarized and/or included in our Schedule 6 (Form 8849), Schedule 8 request for Office of Management and (Form 8849), Form 8849. Affected Public: Individuals or Budget (OMB) approval of the relevant DEPARTMENT OF THE TREASURY information collection. All comments Households, Businesses or other for- will become a matter of public record. Agency Information Collection profits. Please do not include any confidential Activities; Submission for OMB Estimated Total Annual Burden or inappropriate material in your Review; Comment Request; Multiple Hours: 942,860. comments. We invite comments on: (a) IRS Information Collection Requests Title: Form 945/945V: Annual Return Whether the collection of information is of Withheld Federal Income Tax/ necessary for the proper performance of AGENCY: Departmental Offices, U.S. Voucher; Form 945–A: Annual Record the agency’s functions, including Department of the Treasury. of Federal Tax Liability; Form 945–X whether the information has practical ACTION: Notice. Annual Return of Withheld Federal utility; (b) the accuracy of the agency’s Income Tax, Claim, Refund; TD8672. SUMMARY: The Department of the OMB Control Number: 1545–1430. estimate of the burden of the collection Treasury will submit the following of information; (c) ways to enhance the Type of Review: Revision of a information collection requests to the currently approved collection. quality, utility, and clarity of the Office of Management and Budget information to be collected; (d) ways to Abstract: Form 945 is used to report (OMB) for review and clearance in income tax withholding on non-payroll minimize the burden of the collection of accordance with the Paperwork information on respondents, including payments including backup Reduction Act of 1995, on or after the withholding and withholding on the use of automated collection date of publication of this notice. The techniques or other forms of information pensions, annuities, IRA’s, military public is invited to submit comments on retirement and gambling winnings. technology; and (e) estimates of capital these requests. or start-up costs and costs of operation, Form 945–V, Payment Voucher, is used DATES: maintenance, and purchase of services Comments should be received on if you are making a payment with Form to provide the requested information. or before December 1, 2017 to be 945, Annual Return of Withheld Federal assured of consideration. Income Tax. Form 945–A is used to Approved: October 25, 2017. ADDRESSES: Send comments regarding report non payroll tax liabilities. Form L. Brimmer, the burden estimate, or any other aspect 945–X is used to correct errors made on Senior Tax Analyst. of the information collection, including Form 945, Annual Return of Withheld [FR Doc. 2017–23714 Filed 10–31–17; 8:45 am] suggestions for reducing the burden, to Federal Income Tax, for one year only. BILLING CODE 4830–01–P (1) Office of Information and Regulatory TD 8672, these final regulations require VerDate Sep<11>2014 18:16 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00126 Fmt 4703 Sfmt 4703 E:\FR\FM\01NON1.SGM 01NON1 sradovich on DSK3GMQ082PROD with NOTICES 50734 Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Notices a person to file form 945, Annual Return Title: Extensions of Time to Elect help establish their identity. However, of Withheld Federal Income Tax, only Method for Determining Allowable there exists a population of U.S. for the calendar year in which the Loss. residents that have a conscientious person is required to withhold Federal OMB Control Number: 1545–1774. religious objection to obtaining a social income tax from non-payroll payments. Type of Review: Extension without security card and do not have social Forms: 945, 945–V, 945–A, 945–X. change of a currently approved security numbers. Form 8945 is being Affected Public: Businesses or other collection. created to assist that population in for-profits. Abstract: The regulations disallow establishing their identity while Estimated Total Annual Burden certain losses recognized on sales of applying for a PTIN. Form 8945 will Hours: 1,509,590. subsidiary stock by members of a establish a vehicle for establishing their Title: W–8 BEN, W–8BEN–E, W–8EIC, consolidated group and apply to identity in lieu of providing a social W–8EXP, W–8IMY, W–8 MOU Program. corporations filing consolidated returns, security number. OMB Control Number: 1545–1621. both during and after the period of Form: 8945. Type of Review: Revision of a affiliation, and also affect purchasers of Affected Public: Individuals or currently approved collection. the stock of members of a consolidated Households. Abstract: Regulations under Section group. The information is necessary to Estimated Total Annual Burden 1441, 1442, and 1443 of the Internal allow the taxpayer to make certain Hours: 3,590. Revenue Code have changed the manner elections to determine the amount of Title: Forms 8944 & 8948—Tax in which foreign persons (individuals, allowable loss under sec. 1.337(d)–2 and Returns or Statements; Specified tax businesses and other for-profit under sec. 1.1502–32(b)(4), to amend its return preparers required to file organizations, foreign governments, waiver so that it may use its acquired individual income tax returns using international organizations, subsidiary’s losses. magnetic media, waiver requests. partnerships, and tax-exempt Form: None. OMB Control Number: 1545–2200. organizations) must submit Affected Public: Businesses or other Type of Review: Extension without certifications to a withholding agent for for-profits. change of a currently approved reduction of, or exemption from, U.S. Estimated Total Annual Burden collection. tax withholding. Hours: 7,700. Abstract: Specified tax return Forms: W–8BEN, W–8SECI, W–8EXP, Title: Election Out of GST Deemed preparers use Form 8944 to request an W–8IMY, W–8–BEN–E. Allocations. undue hardship waiver from the section Affected Public: Businesses or other OMB Control Number: 1545–1892. 6011(e)(3) requirement to electronically for-profits. Type of Review: Extension without file returns of income tax imposed by Estimated Total Annual Burden change of a currently approved subtitle A on individuals, estates, or Hours: 25,125,680. collection. trusts. A specified tax return preparer Title: Payments From Qualified Abstract: The information collected may be required by law to e-file certain Education Programs (Under Sections will be used by the IRS to identify the covered returns that can be filed 529 and 530). trusts to which the election or electronically. There are exceptions to OMB Control Number: 1545–1760. termination of election will apply. The this requirement. Form 8948 is used to Type of Review: Extension without collection of information in this explain which exception applies when change of a currently approved regulation is in sections 26.2632– a covered return is prepared and filed collection. 1(b)(2)(ii), 26.2632–1(b)(2)(iii), and on paper. Abstract: Form 1099–Q, Payments 26.2632–1(b)(2). This information is Forms: 8944, 8948. From Qualified Education Programs required by the IRS for taxpayers who Affected Public: Businesses or other (Under Sections 529 and 530), is used elect to have the automatic allocation for-profits. to report distributions from private and rules not apply to the current transfer Estimated Total Annual Burden state qualified tuition programs as and/or to future transfers to the trust or Hours: 18,270,900. required under Internal Revenue Code to terminate such election. This Title: Form 8971—Information sections 529 and 530. A Form 1099–Q information is also required by the IRS Regarding Beneficiaries Acquiring is filed if you (a) are an officer or an for taxpayers who elect to treat trusts Property from a Decedent. employee, or the designee of an officer described in section 2632(c)(3)(B)(i) OMB Control Number: 1545–2264. or employee, having control of a through (vi) as GST trusts or to Type of Review: Reinstatement with program established by a state or terminate such election. change of a previously approved eligible educational institution; and (b) Form: None. collection. made a distribution from a qualified Affected Public: Individuals or Abstract: The Surface Transportation tuition program (QTP). A trustee of a Households. and Veterans Health Care Choice Coverdell education savings account Estimated Total Annual Burden Improvement Act of 2015 requires (ESA) must file Form 1099–Q to report Hours: 12,500. executors of an estate and other persons distributions made from Coverdell Title: PTIN Supplemental Application who are required to file a Form 706, ESAs. To lessen the burden for payers, for U.S. Citizens Without a Social Form 706–NA, or Form 706–A, to report Form 1099–Q was developed to report Security Number Due to Conscientious to the Internal Revenue Service (IRS) distributions from private and state Religious Objection. and to each beneficiary receiving qualified tuition programs. A copy of OMB Control Number: 1545–2188. property from an estate the estate tax the Form 1099–Q must be furnished to Type of Review: Extension without value of the property, if the return is the recipient. change of a currently approved filed after July 31, 2015. Form 8971 is Form: 1099–Q. collection. used to report to the IRS and a Schedule Affected Public: Businesses or other Abstract: Most individuals applying A will be sent to each beneficiary and for-profits. for a preparer tax identification number a copy of each Schedule A will be Estimated Total Annual Burden (PTIN) will have a social security attached to the Form 8971. Some Hours: 530,090. number (SSN), which will be used to property received by a beneficiary may VerDate Sep<11>2014 18:16 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00127 Fmt 4703 Sfmt 4703 E:\FR\FM\01NON1.SGM 01NON1 sradovich on DSK3GMQ082PROD with NOTICES Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Notices 50735 have a consistency requirement, DEPARTMENT OF THE TREASURY The purpose of the Committee is to meaning that the beneficiary must use provide the Secretary of Veterans Affairs the value reported on Schedule A as the Office of the General Counsel; with an on-going assessment of the beneficiary’s initial basis the property. Appointment of Members of the Legal effectiveness of the policies, Division to the Performance Review Form: 8971. organizational structures, and services Board, Internal Revenue Service of VA in assisting Veterans at-risk and Affected Public: Individuals or experiencing homelessness. The Households. Under the authority granted to me as Acting Chief Counsel of the Internal Committee shall assemble and review Estimated Total Annual Burden Revenue Service by the General Counsel information related to the needs of Hours: 200,000. of the Department of the Treasury by homeless Veterans and provide advice General Counsel Directive 15, pursuant on the most appropriate means of Title: Certified Professional Employee providing assistance to that subset of the Organization. to the Civil Service Reform Act, I have appointed the following persons to the Veteran population. The Committee will OMB Control Number: 1545–2266. Legal Division Performance Review make recommendations to the Secretary regarding such activities. Type of Review: Extension without Board, Internal Revenue Service Panel: change of a currently approved 1. Brian Callanan, Deputy General The agenda will include briefings from officials at VA regarding services collection. Counsel 2. Mary Beth Murphy, Commissioner for homeless Veterans and a discussion Abstract: Information is being (Small Business/Self Employed), regarding VA budgetary support to collected as a result of legislation IRS homeless programs. (section 206 of the ABLE Act passed 3. Donna C. Hansberry, Chief (Appeals), No time will be allocated at this Dec. 19, 2014) creating the Certified IRS meeting for receiving oral presentations Professional Employer Organization Alternate—Doug W. O’Donnell, from the public. Interested parties (CPEO) designation. This new collection Commissioner (Large Business & should provide written comments on information consists of creation of new International), IRS issues affecting homeless Veterans for applications; Request for Voluntary IRS This publication is required by 5 review by the Committee to Mr. Certification of a Professional Employer U.S.C. 4314(c)(4). Anthony Love, Designated Federal (Application and CPEO Responsible Dated: October 20, 2017. Officer, VHA Homeless Programs Office (10NC1), Department of Veterans Individual Personal Attestation Form. William M. Paul, The applications will only be used by Affairs, 811 Vermont Ave. NW., Acting Chief Counsel, Internal Revenue program applicants and related Service. Washington, DC 20571 or via email at [email protected]. responsible individuals. The [FR Doc. 2017–23719 Filed 10–31–17; 8:45 am] Members of the public who wish to accompanying Regulations and Revenue BILLING CODE 4830–01–P Procedures are currently in draft form attend may call-in, using the following and are schedule to be published in the number: 1–800–767–1750; Access Code: 53308#. Attendees who require near future. DEPARTMENT OF VETERANS reasonable accommodation should Forms: 14737, 14737–A, 14751, 8973. AFFAIRS contact Charles Selby and Alexandra Affected Public: Businesses or other Advisory Committee on Homeless Logsdon of the Veterans Health for-profits. Veterans, Notice of Meeting Administration, Homeless Programs Estimated Total Annual Burden Office no later than November 17, 2017, Hours: 90,830. The Department of Veterans Affairs at [email protected] (202) 632–8593 (VA) gives notice under the Federal or [email protected] (202)– Authority: 44 U.S.C. 3501 et seq. Advisory Committee Act that a meeting 632–7146 and describe the type of Dated: October 27, 2017. of the Advisory Committee on Homeless accommodation needed. Jennifer P. Leonard, Veterans will be held on December 1, 2017. On December 1, the Committee Jelessa M. Burney, Treasury PRA Clearance Officer. will meet via conference call at 1–800– Federal Advisory Committee Management [FR Doc. 2017–23783 Filed 10–31–17; 8:45 am] 767–1750; Access Code: 53308# from Officer. BILLING CODE 4830–01–P 2:00 p.m.–5:00 p.m. (EST). The meeting [FR Doc. 2017–23741 Filed 10–31–17; 8:45 am] will be open to the public. BILLING CODE 8320–01–P VerDate Sep<11>2014 18:16 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00128 Fmt 4703 Sfmt 9990 E:\FR\FM\01NON1.SGM 01NON1 sradovich on DSK3GMQ082PROD with NOTICES Vol. 82 Wednesday, No. 210 November 1, 2017 Part II Department of Health and Human Services Centers for Medicare & Medicaid Services 42 CFR Parts 413 and 414 Medicare Program; End-Stage Renal Disease Prospective Payment System, Payment for Renal Dialysis Services Furnished to Individuals With Acute Kidney Injury, and End-Stage Renal Disease Quality Incentive Program; Final Rule VerDate Sep<11>2014 19:01 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00001 Fmt 4717 Sfmt 4717 E:\FR\FM\01NOR2.SGM 01NOR2 sradovich on DSK3GMQ082PROD with RULES2 50738 Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Rules and Regulations DEPARTMENT OF HEALTH AND end-stage renal disease (ESRD) c. CY 2018 Update to the Outlier Policy HUMAN SERVICES prospective payment system (PPS) rules i. CY 2018 Update to the Outlier Services are available at: http://www.cms.gov/ MAP Amounts and FDL Amounts Centers for Medicare & Medicaid ESRDPayment/PAY/list.asp. Readers ii. Outlier Percentage Services d. Final Impacts to the CY 2018 ESRD PPS who experience any problems accessing Base Rate any of the Addenda to the proposed and i. ESRD PPS Base Rate 42 CFR Parts 413 and 414 final rules of the ESRD PPS that are ii. Annual Payment Rate Update for CY [CMS–1674–F] posted on the CMS Web site identified 2018 above should contact ESRDPayment@ C. Miscellaneous Comments RIN 0938–AT04 cms.hhs.gov. III. Calendar Year (CY) 2018 Payment for Renal Dialysis Services Furnished to Medicare Program; End-Stage Renal Table of Contents Individuals With Acute Kidney Injury Disease Prospective Payment System, To assist readers in referencing (AKI) Payment for Renal Dialysis Services A. Background sections contained in this preamble, we B. Summary of the Proposed Provisions, Furnished to Individuals With Acute are providing a Table of Contents. Some Kidney Injury, and End-Stage Renal Public Comments, and Responses to of the issues discussed in this preamble Comments on CY 2018 Payment for Disease Quality Incentive Program affect the payment policies, but do not Renal Dialysis Services Furnished to AGENCY: Centers for Medicare & require changes to the regulations in the Individuals With AKI Code of Federal Regulations (CFR). 1. Annual Payment Rate Update for CY Medicaid Services (CMS), HHS. 2018 ACTION: Final rule. I. Executive Summary a. CY 2018 AKI Dialysis Payment Rate A. Purpose b. Geographic Adjustment Factor SUMMARY: This rule updates and makes 1. End-Stage Renal Disease (ESRD) IV. End-Stage Renal Disease (ESRD) Quality Prospective Payment System (PPS) revisions to the end-stage renal disease Incentive Program (QIP) for Payment 2. Coverage and Payment for Renal Dialysis (ESRD) prospective payment system Year (PY) 2021 Services Furnished to Individuals With A. Background (PPS) for calendar year (CY) 2018. It also Acute Kidney Injury (AKI) B. Summary of the Proposed Provisions, updates the payment rate for renal 3. End-Stage Renal Disease (ESRD) Quality Public Comments, Responses to dialysis services furnished by an ESRD Incentive Program (QIP) Comments, and Newly Finalized Policies facility to individuals with acute kidney B. Summary of the Major Provisions for the End-Stage Renal Disease (ESRD) injury (AKI). This rule also sets forth 1. ESRD PPS Quality Incentive Program (QIP) 2. Payment for Renal Dialysis Services requirements for the ESRD Quality 1. Accounting for Social Risk Factors in the Furnished to Individuals With AKI Incentive Program (QIP), including for ESRD QIP payment years (PYs) 2019 through 2021. 3. ESRD QIP C. Summary of Cost and Benefits 2. Change to the Performance Score DATES: These regulations are effective 1. Final Impacts of the ESRD PPS Certificate (PSC) Beginning With PY January 1, 2018. 2. Final Impacts of Payment for Renal 2019 ESRD QIP 3. Requirements Beginning With the PY FOR FURTHER INFORMATION CONTACT: Dialysis Services Furnished to 2020 ESRD QIP [email protected], for Individuals With AKI 3. Final Impacts of the ESRD QIP a. Clarification on the Minimum Data issues related to the ESRD PPS and Policy for Scoring Measures Finalized for coverage and payment for renal dialysis II. Calendar Year (CY) 2018 End-Stage Renal Disease (ESRD) Prospective Payment the PY 2020 ESRD QIP services furnished to individuals with System (PPS) b. Changes to the Extraordinary AKI. A. Background Circumstances Exception (ECE) Policy Delia Houseal, (410) 786–2724, for 1. Statutory Background c. Solicitation of Comments on the issues related to the ESRD QIP. 2. Description of the System for Payment Inclusion of Acute Kidney Injury (AKI) Joel Andress, (410) 786–5237, for of Renal Dialysis Services Patients in the ESRD QIP measure related issues with ESRD QIP. 3. Updates to the ESRD PPS d. Estimated Performance Standards, B. Summary of the Proposed Provisions, Achievement Thresholds, and SUPPLEMENTARY INFORMATION: Public Comments, and Responses to Benchmarks for the Clinical Measures Electronic Access Comments on the Calendar Year (CY) Finalized for the PY 2020 ESRD QIP 2018 ESRD PPS e. Policy for Weighting the Clinical This Federal Register document is 1. Pricing Eligible Outlier Drugs and Measure Domain for PY 2020 also available from the Federal Register Biologicals That Were or Would Have f. Payment Reductions for the PY 2020 online database through Federal Digital Been, Prior to January 1, 2011, ESRD QIP System (FDsys), a service of the U.S. Separately Billable Under Medicare g. Data Validation Government Printing Office. This Part B 4. Requirements for the PY 2021 ESRD QIP database can be accessed via the a. Summary of Outlier Calculation a. Measures for the PY 2021 ESRD QIP b. Replacement of the Vascular Access internet at http://www.gpo.gov/fdsys/. b. Use of ASP Methodology Under the ESRD PPS Type (VAT) Clinical Measures Beginning Addenda Are Only Available Through c. Pricing Methodologies Under Section With the PY 2021 Program Year the Internet on the CMS Web site 1847A of the Act c. Revision of the Standardized d. Pricing Eligible Outlier Drugs and Transfusion Ratio (STrR) Clinical In the past, a majority of the Addenda Biologicals That Were or Would Have Measure Beginning With the PY 2021 referred to throughout the preamble of Been, Prior to January 1, 2011, Program Year our proposed and final rules were Separately Billable Under Medicare d. New Vascular Access Measures available in the Federal Register. Part B Beginning With the PY 2021 ESRD QIP However, the Addenda of the annual 2. CY 2018 ESRD PPS Update i. New Hemodialysis Vascular Access: proposed and final rules will no longer a. CY 2018 ESRD Bundled Market Basket Standardized Fistula Rate Clinical Update, Productivity Adjustment, and Measure (NQF #2977) be available in the Federal Register. Labor-Related Share for the ESRD PPS ii. New Hemodialysis Vascular Access: Instead, these Addenda to the annual b. Final CY 2018 ESRD PPS Wage Indices Long-Term Catheter Rate (NQF #2978) proposed and final rules will be i. Annual Update of the Wage Index Beginning With the PY 2021 ESRD QIP available only through the Internet on ii. Application of the Wage Index Under e. Performance Period for the PY 2021 the CMS Web site. The Addenda to the the ESRD PPS ESRD QIP VerDate Sep<11>2014 19:01 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00002 Fmt 4701 Sfmt 4700 E:\FR\FM\01NOR2.SGM 01NOR2 sradovich on DSK3GMQ082PROD with RULES2 Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Rules and Regulations 50739 f. Performance Standards, Achievement C. Accounting Statement NQF National Quality Forum Thresholds, and Benchmarks for the PY VIII. Regulatory Flexibility Act Analysis OMB Office of Management and Budget 2021 ESRD QIP IX. Unfunded Mandates Reform Act Analysis PAMA Protecting Access to Medicare Act of i. Performance Standards, Achievement X. Federalism Analysis 2014 Thresholds, and Benchmarks for the XI. Reducing Regulation and Controlling PD Peritoneal Dialysis Clinical Measures in the PY 2021 ESRD Regulatory Costs PPS Prospective Payment System QIP XII. Congressional Review Act PY Payment Year ii. Performance Standards, Achievement XIII. Files Available to the Public via the QIP Quality Incentive Program Thresholds, and Benchmarks for the Internet RFA Regulatory Flexibility Act Clinical Measures Proposed for the PY SBA Small Business Administration 2021 ESRD QIP Acronyms SHR Standardized Hospitalization Ratio iii. Performance Standards for the PY 2021 Because of the many terms to which SRR Standardized Readmission Ratio Reporting Measures we refer by acronym in this final rule, STrR Standardized Transfusion Ratio g. Scoring the PY 2021 ESRD QIP we are listing the acronyms used and TCV Truncated Coefficient of Variation i. Scoring Facility Performance on Clinical TDAPA Transitional Drug Add-on Payment Measures Based on Achievement their corresponding meanings in alphabetical order below: Adjustment ii. Scoring Facility Performance on Clinical TEP Technical Expert Panel Measures Based on Improvement Affordable Care Act the Patient Protection The Act Social Security Act iii. Scoring the ICH CAHPS Clinical and Affordable Care Act The Secretary Secretary of the Department Measure ABLE Stephen Beck, Jr., Achieving a Better of Health and Human Services iv. Scoring the Proposed Hemodialysis Life Experience Act of 2014 TPEA Trade Preferences Extension Act of Vascular Access: Standardized Fistula AKI Acute Kidney Injury 2015 Rate and Long-Term Catheter Rate AMP Average Manufacturer Price TPS Total Performance Score Measures and the Vascular Access ASP Average Sales Price UFR Ultrafiltration Rate Measure Topic ASPE Office of the Assistant Secretary for VAT Vascular Access Type v. Calculating Facility Performance on Planning and Evaluation WAMP Widely Available Market Price Reporting Measures ATRA American Taxpayer Relief Act of h. Weighting the Measure Domains, and 2012 I. Executive Summary Weighting the TPS for PY 2021 AV Arterial Venous i. Example of the PY 2021 ESRD QIP BLS Bureau of Labor Statistics A. Purpose Scoring Methodology BSI Bloodstream Infection 1. End-Stage Renal Disease (ESRD) j. Minimum Data for Scoring Measures for CBSA Core Based Statistical Area Prospective Payment System (PPS) the PY 2021 ESRD QIP CCN CMS Certification Number k. Payment Reductions for the PY 2021 CDC Centers for Disease Control and On January 1, 2011, we implemented ESRD QIP Prevention the end-stage renal disease (ESRD) C. Miscellaneous Comments CEO Chief Executive Officer prospective payment system (PPS), a V. Advancing Health Information Exchange CFR Code of Federal Regulations case-mix adjusted, bundled prospective VI. Collection of Information Requirements CMS Centers for Medicare & Medicaid payment system for renal dialysis A. Legislative Requirement for the Services services furnished by ESRD facilities. Solicitation of Comments CROWNWeb Consolidated Renal B. Requirements in Regulation Text Operations in a Web-Enabled Network This rule updates and makes revisions C. Additional Information Collection CY Calendar Year to the ESRD PPS for calendar year (CY) Requirements DFC Dialysis Facility Compare 2018. Section 1881(b)(14) of the Social 1. ESRD QIP DFR Dialysis Facility Report Security Act (the Act), as added by a. Wage Estimates ECE Extraordinary Circumstances section 153(b) of the Medicare b. Time Required To Submit Data Based on Exception Improvements for Patients and Reporting Requirements for PY 2020 EPO Epoetin Providers Act of 2008 (MIPPA) (Pub. L. c. Data Validation Requirements for the PY ESA Erythropoiesis Stimulating Agent 110–275), and section 1881(b)(14)(F) of 2020 ESRD QIP ESRD End-Stage Renal Disease the Act, as added by section 153(b) of VII. Economic Analyses ESRDB End-Stage Renal Disease Bundled A. Regulatory Impact Analysis ESRD PPS End-Stage Renal Disease MIPPA and amended by section 3401(h) 1. Introduction Prospective Payment System of the Patient Protection and Affordable 2. Statement of Need ESRD QIP End-Stage Renal Disease Quality Care Act (the Affordable Care Act) (Pub. 3. Overall Impact Incentive Program L. 111–148), established that beginning B. Detailed Economic Analysis FFS Fee-For-Service CY 2012, and each subsequent year, the 1. CY 2018 End-Stage Renal Disease FDA Food and Drug Administration Secretary of the Department of Health Prospective Payment System FDL Fixed-Dollar Loss and Human Services (the Secretary) a. Effects on ESRD Facilities HCPCS Healthcare Common Procedure shall annually increase payment b. Effects on Other Providers Coding System amounts by an ESRD market basket c. Effects on the Medicare Program ICD International Classification of Diseases d. Effects on Medicare Beneficiaries ICH CAHPS In-Center Hemodialysis increase factor, reduced by the e. Alternatives Considered Consumer Assessment of Healthcare productivity adjustment described in 2. CY 2018 Payment for Renal Dialysis Providers and Systems section 1886(b)(3)(B)(xi)(II) of the Act. Services Furnished to Individuals With IGI IHS Global Inc. 2. Coverage and Payment for Renal AKI IPPS Inpatient Prospective Payment System a. Effects on ESRD Facilities IQR Interquartile Range Dialysis Services Furnished to b. Effects on Other Providers IUR Inter-unit Reliability Individuals With Acute Kidney Injury c. Effects on the Medicare Program Kt/V A measure of dialysis adequacy where (AKI) d. Effects on Medicare Beneficiaries K is dialyzer clearance, t is dialysis time, On June 29, 2015, the President e. Alternatives Considered and V is total body water volume signed the Trade Preferences Extension 3. ESRD QIP MAP Medicare Allowable Payment a. Effects of the PY 2021 ESRD QIP on MFP Multifactor Productivity Act of 2015 (TPEA) (Pub. L. 114–27). ESRD Facilities MIPPA Medicare Improvements for Patients Section 808(a) of TPEA amended b. Effects on Other Providers and Providers Act of 2008 (Pub. L. 110– section 1861(s)(2)(F) of the Act to d. Effects on Medicare Beneficiaries 275) provide coverage for renal dialysis e. Alternatives Considered NHSN National Healthcare Safety Network services furnished on or after January 1, VerDate Sep<11>2014 19:01 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00003 Fmt 4701 Sfmt 4700 E:\FR\FM\01NOR2.SGM 01NOR2 sradovich on DSK3GMQ082PROD with RULES2 50740 Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Rules and Regulations 2017, by a renal dialysis facility or a as compared to CY 2017 values. For Clinical Measure to align the measure provider of services paid under section adult beneficiaries, the FDL amount specifications used in the ESRD QIP 1881(b)(14) of the Act to an individual would decrease from $82.92 to $77.54 with those endorsed by the National with AKI. Section 808(b) of TPEA and the MAP amount would decrease Quality Forum (NQF), and replacing the amended section 1834 of the Act by from $45.00 to $42.41. The 1 percent two existing Vascular Access Type adding a new subsection (r) that target for outlier payments was not (VAT) measures with newly NQF- provides for payment for renal dialysis achieved in CY 2016. Outlier payments endorsed vascular access measures that services furnished by renal dialysis represented approximately 0.78 percent address long-held concerns of the ESRD facilities or providers of services paid of total payments rather than 1.0 community. Specifically, we are under section 1881(b)(14) of the Act to percent. We believe using CY 2016 replacing the VAT measures with the individuals with AKI at the ESRD PPS claims data to update the outlier MAP Hemodialysis Vascular Access: base rate beginning January 1, 2017. and FDL amounts for CY 2018 will Standardized Fistula Rate Clinical increase payments for ESRD Measure and the Hemodialysis Vascular 3. End-Stage Renal Disease (ESRD) beneficiaries requiring higher resource Access: Long-Term Catheter Rate Quality Incentive Program (QIP) utilization in accordance with a 1 Clinical Measure. This rule also finalizes requirements percent outlier percentage. • Data Validation: For PY 2020, we for the end-stage renal disease (ESRD) • Update to the pricing of drugs and are continuing the pilot validation study quality incentive program (QIP), biologicals under the outlier policy: We for validation of Consolidated Renal including for payment years (PYs) 2019, are finalizing a change to the ESRD PPS Operations in a Web-Enabled Network 2020, and 2021. The program is outlier policy to allow the use of any (CROWNWeb) data. Under this authorized under section 1881(h) of the pricing methodology available under continued pilot validation study, we Social Security Act (the Act). The ESRD section 1847A of the Act to determine will continue using the same QIP is the most recent step in fostering the cost of certain eligible outlier service methodology used for the PY 2018 and improved patient outcomes by drugs and biologicals in computing PY 2019 ESRD QIP. Under this establishing incentives for dialysis outlier payments when average sales methodology, we will sample facilities to meet or exceed performance price (ASP) data is not available. approximately 10 records per facility from 300 facilities during CY 2018. standards established by the Centers for 2. Payment for Renal Dialysis Services Medicare & Medicaid Services (CMS). For PY 2020, we are also continuing Furnished to Individuals With AKI the National Healthcare Safety Network B. Summary of the Major Provisions We are updating the AKI payment rate (NHSN) Bloodstream Infection (BSI) 1. ESRD PPS for CY 2018. The final CY 2018 payment Data Validation study that we finalized • rate is $232.37, which is equal to the CY in the CY 2017 ESRD PPS final rule (81 Update to the ESRD PPS base rate 2018 ESRD PPS base rate. FR 77894 through 77896), with a minor for CY 2018: The CY 2018 ESRD PPS 3. ESRD QIP update to the sampling methodology. base rate is $232.37. This amount Under the updated sampling reflects a reduced market basket This rule sets forth requirements for methodology, we will incorporate a increase as required by section the ESRD QIP, for payment years (PYs) targeted sample to select 35 facilities to 1881(b)(14)(F)(i)(I) of the Act (0.3 2019, 2020 and 2021 as follows: participate in an NHSN dialysis event • percent), and application of the wage Updating the Performance Score validation study for two quarters of data index budget-neutrality adjustment (PSC) Certificate Beginning in PY 2019: reported in CY 2018. factor (1.000531), equaling $232.37 We are updating the Performance Score ($231.55 × 1.003 × 1.000531 = $232.37). Certificate (PSC) beginning in PY 2019 C. Summary of Costs and Benefits • Annual update to the wage index: by shortening and simplifying it. In section VII of this final rule, we set We adjust wage indices on an annual • Changes to the Extraordinary forth a detailed analysis of the impacts basis using the most current hospital Circumstances Exception (ECE) Policy: of the finalized changes for affected wage data and the latest core-based In an effort to align our policy with the entities and beneficiaries. The impacts statistical area (CBSA) delineations to Extraordinary Circumstances Exception include the following: account for differing wage levels in (ECE) policy adopted by other quality areas in which ESRD facilities are reporting and value-based purchasing 1. Final Impacts of the ESRD PPS located. For CY 2018, we did not programs, we are updating the ECE The impact chart in section VII of this propose any changes to the application Policy for the ESRD QIP. Specifically, final rule displays the estimated change of the wage index floor and we will we are updating this policy to (1) allow in payments to ESRD facilities in CY continue to apply the current wage the facility to submit a form signed by 2018 compared to estimated payments index floor (0.4000) to areas with wage the facility’s CEO or designated in CY 2017. The overall impact of the index values below the floor. personnel; (2) expand the reasons for CY 2018 changes is projected to be a 0.5 • Update to the outlier policy: which an ECE can be requested to percent increase in payments. Hospital- Consistent with our policy to annually include an unresolved issue with a CMS based ESRD facilities have an estimated update the outlier policy using the most data system which affected the ability of 0.7 percent increase in payments current data, we are updating the outlier the facility to submit data; and (3) compared with freestanding facilities services fixed-dollar loss (FDL) amounts specify that a facility does not need to with an estimated 0.5 percent increase. for adult and pediatric patients and be closed in order to request and receive We estimate that the aggregate ESRD Medicare Allowable Payment (MAP) consideration for an ECE, as long as the PPS expenditures will increase by amounts for adult and pediatric patients facility can demonstrate that its normal approximately $60 million from CY for CY 2018 using CY 2016 claims data. operations have been significantly 2017 to CY 2018. This reflects a $40 Based on the use of more current data, affected by an extraordinary million increase from the payment rate the FDL amount for pediatric circumstance outside of its control. update and a $20 million increase due beneficiaries would decrease from • PY 2021 Measure Set: Beginning to the updates to the outlier threshold $68.49 to $47.79 and the MAP amount with PY 2021, we are updating the amounts. We note that the decrease in would decrease from $38.29 to $37.31, Standardized Transfusion Ratio (STrR) the projection of aggregate ESRD PPS VerDate Sep<11>2014 19:01 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00004 Fmt 4701 Sfmt 4700 E:\FR\FM\01NOR2.SGM 01NOR2 sradovich on DSK3GMQ082PROD with RULES2 Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Rules and Regulations 50741 expenditures from the figure in the CY payment amounts by an ESRD market intravenous products into the ESRD PPS 2018 ESRD PPS proposed rule ($100 basket increase factor, reduced by the bundled payment. million) is due to the decrease in the productivity adjustment described in Finally, on December 19, 2014, the ESRD PPS base rate update factor (that section 1886(b)(3)(B)(xi)(II) of the Act. President signed the Stephen Beck, Jr., is, from 0.7 percent to 0.3 percent). As Section 632 of the American Taxpayer Achieving a Better Life Experience Act a result of the projected 0.5 percent Relief Act of 2012 (ATRA) (Pub. L. 112– of 2014 (ABLE) (Pub. L. 113–295). overall payment increase, we estimate 240) included several provisions that Section 204 of ABLE amended section that there will be an increase in apply to the ESRD PPS. Section 632(a) 632(b)(1) of ATRA, as amended by beneficiary co-insurance payments of of ATRA added section 1881(b)(14)(I) to section 217(a)(1) of PAMA, to provide 0.5 percent in CY 2018, equivalent to the Act, which required the Secretary, that payment for oral-only renal dialysis approximately $10 million. by comparing per patient utilization services cannot be made under the data from 2007 with such data from ESRD PPS bundled payment prior to 2. Final Impacts of Payment for Renal 2012, to reduce the single payment for January 1, 2025. Dialysis Services Furnished to renal dialysis services furnished on or 2. Description of the System for Individuals With AKI after January 1, 2014 to reflect the Payment of Renal Dialysis Services We anticipate an estimated $20 Secretary’s estimate of the change in the million will be paid to ESRD facilities utilization of ESRD-related drugs and Under the ESRD PPS, a single, per- in CY 2018 as a result of AKI patients biologicals (excluding oral-only ESRD- treatment payment is made to an ESRD receiving renal dialysis services in the related drugs). Consistent with this facility for all of the renal dialysis ESRD facility at the ESRD PPS base rate requirement, we finalized $29.93 as the services defined in section versus receiving those services in the total drug utilization reduction and 1881(b)(14)(B) of the Act and furnished hospital outpatient setting. In the CY finalized a policy to implement the to individuals for the treatment of ESRD 2018 ESRD PPS proposed rule, we amount over a 3- to 4-year transition in the ESRD facility or in a patient’s estimated $2 million would be paid to period in the CY 2014 ESRD PPS final home. We have codified our definitions ESRD facilities in CY 2018 for AKI rule (78 FR 72161 through 72170). of renal dialysis services at 42 CFR patients. Based on actual preliminary Section 632(b) of ATRA prohibited 413.171, which is in subpart H of 42 ESRD facility claims data available after the Secretary from paying for oral-only CFR part 413. Our other payment publication of the CY 2018 ESRD PPS ESRD-related drugs and biologicals policies are also included in regulations proposed rule, we have updated this under the ESRD PPS prior to January 1, in subpart H of 42 CFR part 413. The estimate for the final rule. 2016. And section 632(c) of ATRA ESRD PPS base rate is adjusted for required the Secretary, by no later than characteristics of both adult and 3. Final Impacts of the ESRD QIP January 1, 2016, to analyze the case-mix pediatric patients and accounts for The impact chart in section VII of this payment adjustments under section patient case-mix variability. The ESRD final rule displays estimated impacts of 1881(b)(14)(D)(i) of the Act and make PPS provides for the following adult the ESRD QIP for payment year (PY) appropriate revisions to those and pediatric patient-level adjustments: 2021. The overall impact is an expected adjustments. The adult patient-level adjusters include reduction in payment to all facilities of On April 1, 2014, the Protecting five age categories, body surface area, $29 million. The PY 2021 estimated Access to Medicare Act of 2014 (PAMA) low body mass index, onset of dialysis, total facility burden for the collection of (Pub. L. 113–93) was enacted. Section and four co-morbidity categories; while data is $91 million, which represents a 217 of PAMA included several the pediatric patient-level adjusters zero net increase from PY 2020. provisions that apply to the ESRD PPS. include two age categories and two Specifically, sections 217(b)(1) and (2) dialysis modalities (§§ 413.235(a) and II. Calendar Year (CY) 2018 End-Stage of PAMA amended sections (b)). Renal Disease (ESRD) Prospective 1881(b)(14)(F) and (I) of the Act and The ESRD PPS provides for three Payment System (PPS) replaced the drug utilization adjustment facility-level adjustments. The first A. Background that was finalized in the CY 2014 ESRD payment adjustment accounts for ESRD PPS final rule (78 FR 72161 through facilities furnishing a low volume of 1. Statutory Background 72170) with specific provisions that dialysis treatments (§ 413.232). The On January 1, 2011, we implemented dictated the market basket update for second adjustment reflects differences the end-stage renal disease (ESRD) CY 2015 (0.0 percent) and how the in area wage levels developed from Core prospective payment system (PPS), a market basket should be reduced in CYs Based Statistical Areas (CBSAs) case-mix adjusted bundled PPS for renal 2016 through CY 2018. (§ 413.231). The third payment dialysis services furnished by ESRD Section 217(a)(1) of PAMA amended adjustment accounts for ESRD facilities facilities as required by section section 632(b)(1) of ATRA to provide furnishing renal dialysis services in a 1881(b)(14) of the Social Security Act that the Secretary may not pay for oral- rural area (§ 413.233). (the Act), as added by section 153(b) of only ESRD-related drugs under the The ESRD PPS allows for a training the Medicare Improvements for Patients ESRD PPS prior to January 1, 2024. add-on for home and self-dialysis and Providers Act of 2008 (MIPPA) Section 217(a)(2) of PAMA further modalities (§ 413.235(c)) and an (Pub. L. 110–275). Section amended section 632(b)(1) of ATRA by additional payment for high cost 1881(b)(14)(F) of the Act, as added by requiring that in establishing payment outliers due to unusual variations in the section 153(b) of MIPPA and amended for oral-only drugs under the ESRD PPS, type or amount of medically necessary by section 3401(h) of the Patient the Secretary must use data from the care when applicable (§ 413.237). Protection and Affordable Care Act (the most recent year available. Section The ESRD PPS also provides for a Affordable Care Act) (Pub. L. 111–148), 217(c) of PAMA provided that as part of transitional drug add-on payment established that beginning with calendar the CY 2016 ESRD PPS rulemaking, the adjustment (TDAPA) to pay for a new year (CY) 2012, and each subsequent Secretary shall establish a process for (1) injectable or intravenous product that is year, the Secretary of the Department of determining when a product is no not considered included in the ESRD Health and Human Services (the longer an oral-only drug; and (2) PPS base rate, meaning a product that is Secretary) shall annually increase including new injectable and used to treat or manage a condition for VerDate Sep<11>2014 19:01 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00005 Fmt 4701 Sfmt 4700 E:\FR\FM\01NOR2.SGM 01NOR2 sradovich on DSK3GMQ082PROD with RULES2 50742 Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Rules and Regulations which there is not an existing ESRD PPS B. Summary of the Proposed Provisions, services included in the ESRD PPS functional category (§ 413.234). The Public Comments, and Responses to bundle that were or would have been ESRD PPS functional categories Comments on the Calendar Year (CY) separately billable under Medicare Part represent distinct groupings of drugs or 2018 ESRD PPS B prior to the implementation of the biologicals, as determined by CMS, The proposed rule, entitled ‘‘Medicare ESRD PPS, including ESRD-related whose end action effect is the treatment Program; End-Stage Renal Disease drugs and biologicals, ESRD-related or management of a condition or Prospective Payment System, Payment laboratory tests, and other ESRD-related conditions associated with ESRD. New for Renal Dialysis Services Furnished to medical/surgical supplies; and (2) injectable or intravenous products that Individuals with Acute Kidney Injury, certain renal dialysis service drugs are not included in a functional category and End-Stage Renal Disease Quality included in the ESRD PPS bundle that in the ESRD PPS base rate are paid for Incentive Program’’ (82 FR 31190 were covered under Medicare Part D using the TDAPA for a minimum of 2 through 31233), hereinafter referred to prior to the implementation of the ESRD years, until sufficient claims data for as the CY 2018 ESRD PPS proposed PPS. For the Centers for Medicare & rate setting analysis is available. At that rule, was published in the Federal Medicaid Services (CMS) to calculate point, utilization would be reviewed Register on July 5, 2017, with a outlier eligibility and payments, ESRD and the ESRD PPS base rate modified, comment period that ended on August facilities must identify on the monthly if appropriate, to account for these 28, 2017. In that proposed rule, for the claim which outlier services have been products. The TDAPA is based on ESRD PPS, we proposed to make a furnished. CMS provides a list of outlier pricing methodologies under section number of annual updates for CY 2018, services on the CMS Web site, https:// 1847A of the Act (§ 413.234(c)). including updates to the ESRD PPS base www.cms.gov/Medicare/Medicare-Fee- for-Service-Payment/ESRDpayment/ rate, wage index and outlier thresholds, _ 3. Updates to the ESRD PPS and to update the pricing of certain Outlier Services.html, which is subject drugs and biologicals under the outlier to certain additions and exclusions as Policy changes to the ESRD PPS are discussed in the CY 2012 ESRD PPS proposed and finalized annually in the policy. We received approximately 58 public comments on our proposals, final rule (76 FR 70246) and Chapter 8, Federal Register. The CY 2011 ESRD Section 20.1 of CMS Publication 100–04 PPS final rule was published on August including comments from ESRD facilities; national renal groups, (https://www.cms.gov/Regulations-and- 12, 2010 in the Federal Register (75 FR Guidance/Guidance/Manuals/ nephrologists and patient organizations; 49030 through 49214). That rule downloads/clm104c08.pdf). patients and care partners; implemented the ESRD PPS beginning It is important for ESRD facilities to on January 1, 2011 in accordance with manufacturers; health care systems; and report the outlier services on the claim section 1881(b)(14) of the Act, as added nurses. because imputed outlier service MAP In this final rule, we provide a by section 153(b) of MIPPA, over a 4- amounts for a beneficiary are based on summary of each proposed provision, a year transition period. Since the the actual utilization of outlier services. summary of the public comments implementation of the ESRD PPS, we Specifically, we estimate an ESRD received and our responses to them, and have published annual rules to make facility’s imputed costs for ESRD outlier the policies we are finalizing for the CY routine updates, policy changes, and services based on available pricing data. 2018 ESRD PPS. clarifications. In the CY 2011 ESRD PPS final rule we On November 4, 2016, we published 1. Pricing Eligible Outlier Drugs and finalized the pricing data that we use to in the Federal Register a final rule (81 Biologicals That Were or Would Have estimate imputed outlier services MAP amounts for the different categories of FR 77384 through 77969) entitled, Been, Prior to January 1, 2011, outlier services (75 FR 49141). With ‘‘Medicare Program; End-Stage Renal Separately Billable Under Medicare regard to Part B ESRD-related drugs and Disease Prospective Payment System, Part B biologicals that were separately billable Coverage and Payment for Renal a. Summary of Outlier Calculation prior to implementation of the ESRD Dialysis Services Furnished to Our regulations at 42 CFR 413.237 PPS, we finalized a policy to base the Individuals With Acute Kidney Injury, specify the methodology used to prices for these items on the most End-Stage Renal Disease Quality calculate outlier payments. Under the current average sales price (ASP) data Incentive Program, Durable Medical ESRD PPS outlier policy, an ESRD plus 6 percent. Our rationale for this Equipment, Prosthetics, Orthotics and facility is eligible for an outlier payment decision was that ASP data for ESRD- Supplies Competitive Bidding Program when the facility’s per treatment related drugs and biologicals is updated Bid Surety Bonds, State Licensure and imputed Medicare Allowable Payment quarterly and was the basis for payment Appeals Process for Breach of Contract (MAP) amount for ESRD outlier services of these drugs and biologicals prior to Actions, Durable Medical Equipment, furnished to a beneficiary exceeds the the implementation of the ESRD PPS. Prosthetics, Orthotics and Supplies predicted ESRD outlier services MAP Competitive Bidding Program and Fee amount for outlier services plus the b. Use of ASP Methodology Under the Schedule Adjustments, Access to Care fixed-dollar loss (FDL) amount, as ESRD PPS Issues for Durable Medical Equipment; specified in § 413.237(b). In the CY 2011 Since the implementation of the ESRD and the Comprehensive End-Stage Renal ESRD PPS final rule (75 FR 49134 PPS, we have referred to the use of the Disease Care Model; Final Rule’’ through 49147), we discussed the ASP methodology when we needed to (hereinafter referred to as the CY 2017 details of establishing the outlier policy price ESRD-related drugs and ESRD PPS final rule). In that rule, we under the ESRD PPS, including biologicals previously paid separately updated the ESRD PPS base rate for CY determining eligibility for outlier under Part B (prior to the ESRD PPS) for 2017, the wage index and wage index payments. We discussed the proposed purposes of ESRD PPS policies or floor, the outlier policy, and the home CY 2018 updates to the outlier policy in calculations. For example, in the CY and self-dialysis training add-on the CY 2018 ESRD PPS proposed rule 2011 ESRD PPS final rule, we finalized payment adjustment. For further (82 FR 31198 through 31200). the use of the ASP plus 6 percent detailed information regarding these Under § 413.237(a)(1), ESRD outlier methodology for pricing Part B ESRD- updates, see 81 FR 77384. services include (1) certain items and related drugs and biologicals under the VerDate Sep<11>2014 19:01 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00006 Fmt 4701 Sfmt 4700 E:\FR\FM\01NOR2.SGM 01NOR2 sradovich on DSK3GMQ082PROD with RULES2 Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Rules and Regulations 50743 outlier policy (75 FR 49141). In the CY that fit into one of the existing ESRD Schedule final rule (77 FR 69140 2012 ESRD PPS final rule (76 FR 20244), PPS functional categories. However, we through 69141), published in the we stated that under the outlier policy did not address extending this policy to Federal Register on November 1, 2012, we use the ASP methodology. Part B ESRD-related drugs and the AMP price substitution policy is not In the CY 2013 ESRD PPS final rule biologicals that are currently eligible for utilized frequently and WAMP-based (77 FR 67463), we finalized that for CY outlier consideration that may not have price substitutions are not currently 2013 and subsequent years we would ASP data. implemented. CMS also uses a carryover continue to use the ASP methodology, Also, in the CY 2016 ESRD PPS final pricing policy in the very rare situations including any modifications finalized in rule (80 FR 69024), other commenters when a manufacturer’s ASP data for a the Physician Fee Schedule final rules, expressed concern regarding the use of multiple source drug product is missing, to compute outlier MAP amounts. (We ASP data for purposes of the TDAPA. as discussed in the CY 2011 Physician referred to the Physician Fee Schedule The commenters suggested that ASP Fee Schedule final rule (75 FR 73461 since this is typically the rulemaking would not be truly reflective of the through 73462). vehicle CMS uses for provisions related actual cost of the drugs. One commenter For newly approved drugs, ASP-based to covered Part B drugs and biologicals, pointed out that there is often a data lag payment limits typically become however, we note that other vehicles between ASP and the actual cost of the effective two quarters after the drug’s such as standalone rules or the drugs and as a result, the TDAPA may first quarter of sales (a discussion about outpatient prospective payment system not reflect the actual cost of the drug. the use of partial quarter ASP data is rules, are used as well.) In the CY 2013 We responded that the ASP available in the CY 2012 Physician Fee ESRD PPS final rule, we also finalized methodology is a part of the pricing Schedule final rule, 75 FR 73465). We the use of the ASP methodology for any methodologies specified in section note that if WAC-based partial quarter other policy that requires the use of 1847A of the Act, which may also payment amounts are used, such payment amounts for drugs and include WAC pricing during the first payment amounts will typically exceed biologicals that, absent the ESRD PPS, quarter of sales as specified in section payments based on ASP. Thus, there would be paid separately. 1847A(c)(4) of the Act. We agreed with may be circumstances where WAC- In accordance with this policy, in the commenters that ASP pricing may not based partial quarter pricing of the drug CY 2016 ESRD PPS proposed rule (80 always be the most appropriate way to increases the beneficiary’s cost sharing FR 37829 through 37833), we proposed calculate the TDAPA. Therefore, we payment. In order to minimize financial to use ASP methodology for purposes of revised the regulation text at impact on beneficiaries, in situations two policies (pricing new injectable and § 413.234(c)(1) to refer to the pricing where less than a quarter’s worth of ASP intravenous products included in the methodologies under section 1847A of data is available, an ASP-based payment ESRD PPS bundled payment amount for the Act, rather than ASP pricing limit will be used, if it is available. outlier payments and determining the methodology, because these d. Pricing Eligible Outlier Drugs and TDAPA under the ESRD PPS drug methodologies include ASP as well as Biologicals That Were or Would Have designation process. A detailed WAC. discussion of our proposals can be Been, Prior to January 1, 2011, found in the CY 2016 ESRD PPS c. Pricing Methodologies Under Section Separately Billable Under Medicare proposed rule (80 FR 37831 through 1847A of the Act Part B 37833). Medicare Part B follows the As we have described above, section As we discussed in the CY 2016 ESRD provisions under section 1847A of the 1847A of the Act provides methods that PPS final rule (80 FR 69023 through Act for purposes of determining the are used to determine payment amounts 69024), commenters expressed concern payment amounts for drugs and for most separately paid Part B drugs, regarding the availability of ASP data biologicals that are described in section that is, drugs and biologicals that are not when including new injectable or 1842(o)(1)(C) of the Act and that are paid on a cost or PPS basis (see section intravenous products into the ESRD PPS furnished on or after January 1, 2005. 1842(o)(1) of the Act). We are aware of bundled payment, for purposes of both While most Part B drugs (excluding several circumstances in which an ASP- the outlier calculation and TDAPA. A those paid on a cost or prospective based payment amount is not available. commenter pointed out that under the payment basis) are paid at ASP plus 6 For example, an ASP-based payment proposal, new products would qualify percent, there are cases where ASP is amount is not available when drugs or as outlier services, and if we fail to unavailable. For example, when a new biologicals are new to market and allow separate payment at launch, there drug or biological is brought to market, manufacturers have not yet reported would be no ASP upon which to base sales data is not sufficiently available ASP data. Based on CMS’ experience an outlier payment. That commenter for the manufacturer to compute an with determining Part B drug payment recommended that we consider how to ASP. In these cases, the payment limits under section 1847A of the Act, avoid jeopardizing beneficiary access by amount for these drugs could be we believe the instances are limited implementing an outlier payment based determined using WAC (as specified in when ASP data would not be available on wholesale acquisition cost (WAC) or section 1847A(c)(4) of the Act) or, when for drugs or biologicals that could another readily available price. We WAC is not available, the Medicare qualify for the ESRD outlier calculation. agreed with the commenter, and stated Administrative Contractor has Nevertheless, we believe that these that in the event we do not establish an discretion in determining the payment drugs and biologicals, when they are ASP, WAC could be used. We explained amount. Under section 1847A(d) of the determined to be an ESRD outlier that we consider WAC pricing to be a Act, CMS also has the authority to service, should count toward the outlier part of the pricing methodologies substitute an Average Manufacturer calculation, regardless of the limited specified in section 1847A of the Act, Price (AMP) or Widely Available Market frequency. and we would use the methodologies Price (WAMP)-based payment amount In the CY 2018 ESRD PPS proposed available to us under that authority in for the ASP-based payment amount rule, we proposed to extend the use of order to accurately determine a price for when the ASP exceeds the AMP or all pricing methodologies under section the calculation of outlier payments for WAMP by a threshold amount. As 1847A of the Act for purposes of the new injectable and intravenous drugs discussed in the CY 2013 Physician Fee ESRD PPS outlier policy, specifically for VerDate Sep<11>2014 19:01 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00007 Fmt 4701 Sfmt 4700 E:\FR\FM\01NOR2.SGM 01NOR2 sradovich on DSK3GMQ082PROD with RULES2 50744 Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Rules and Regulations current ESRD-related drugs and adjustment for high cost patients due to within an ESRD PPS functional biologicals that were or would have unusual variations in the type or category, except for drugs that are been separately billable under Part B amount of medically necessary care. If eligible for the TDAPA, is included in prior to the implementation of the ESRD there are drugs and biologicals that the outlier calculation. PPS and are outlier eligible for CY 2018 ESRD facilities furnish for the treatment Comment: Several commenters and subsequent years. As we noted in of ESRD that qualify as ESRD outlier expressed concern about the availability the CY 2018 ESRD PPS proposed rule, services and do not have ASP data, we of an outlier payment in the event there we have already established a policy stated that we would want these items is no pricing data available for drugs under the drug designation process in counted toward an outlier payment and biologicals. The commenters offered the CY 2016 ESRD PPS final rule (80 FR since they are a part of the cost the alternative pricing approaches that 69023), whereby we use the pricing facility is incurring. When a drug or would be applied when no price is methodologies specified in section biological does not have ASP data or available using the methods described 1847A of the Act to determine the WAC data or cannot otherwise be priced in section 1847A of the Act to ensure TDAPA for a new injectable or under section 1847A of the Act, we that all drugs and biologicals could be intravenous product that is not proposed that it would not count toward priced for the outlier calculation. considered included in the ESRD PPS the outlier calculation. When the Several commenters urged CMS to rely base rate (§ 413.234(c)). In addition, we utilization of a drug or biological is not upon contract pricing rather than not have established that we use these counted toward the outlier calculation, include a new drug in the outlier methodologies to determine a price for it may result in a lower outlier payment calculation. One commenter asked that the calculation of outlier payments for or no outlier payment to the ESRD CMS provide an analysis of the proposal new injectable and intravenous drugs facility. to clarify the impact on the ESRD PPS. that fit into one of the existing the We solicited comment on our Another commenter recommended functional categories (80 FR 69023). proposal to use any pricing pricing the drug or biological by the We explained in the CY 2018 ESRD methodology available under section hospital’s cost-to-charge ratio for Cost PPS proposed rule that we believe using 1847A of the Act for purposes of the Center 7300, Drugs Charged to Patients, the pricing methodologies under section ESRD PPS outlier policy. We also for hospital-based ESRD facilities or the 1847A of the Act is consistent with the solicited comment on our proposal that hospital-specific Reasonable Cost Factor ESRD PPS drug designation process, when pricing methodologies are not that is currently used for payment of including TDAPA, and how covered available under section 1847A of the vaccines and blood products on ESRD drugs and biologicals are paid under Act, the drug or biological would not claims from hospital-based facilities. Medicare Part B. We stated that we count toward the outlier calculation. Since this Reasonable Cost Factor is believe consistency with Medicare Part The comments and our responses to already used in the ESRD PPS, the B payment for drugs and biologicals the comments on our outlier proposals commenter stated that applying it to this would be beneficial to ESRD facilities are set forth below. category of drugs and biologicals should because this is the way CMS pays for Comment: Most commenters on this be relatively easy administratively. The injectable drugs and biologicals reported proposal, including national dialysis commenter indicated that adding an on the ESRD claim with the AY provider organizations, several large additional last resort pricing method modifier; and therefore facilities would dialysis organizations, a patient would allow for hospital-based ESRD be able to predict outlier payments. advocacy organization, a drug facilities to receive outlier payments or Therefore, we proposed to apply any manufacturer, a health system and a payments for non-ESRD related services pricing methodology available under professional association expressed (meaning, we believe, separately billable section 1847A of the Act as appropriate support for the proposal to use the items and services reported with the AY when ASP pricing is unavailable for pricing methodologies available under modifier) that reflect the costs of drugs eligible drugs and biologicals under the section 1847A of the Act to price drugs or biologicals for which no other pricing outlier policy that were or would have and biologicals for the outlier policy. method is possible. been separately billable under Part B Commenters noted that, historically, Response: We agree with the prior to the implementation of the ESRD new drugs and biologicals used in the commenters that all eligible drugs and PPS. treatment of ESRD that come to market biologicals should be counted in the We noted in the CY 2018 ESRD PPS can be expensive and not having access outlier calculation, to maintain proposed rule that, in situations in to outlier payments may create an consistency in the policies under the which ASP data is not available and unintended barrier. While they believe ESRD PPS and to ensure patient access other methodologies under section that it is unlikely a new drug or to necessary medications. Also, while 1847A of the Act do not apply biological will not have an ASP or we appreciate the commenters’ (including but not limited to AMP price WAC, they indicated that it is important suggestions for alternative pricing substitution or carryover pricing), we to ensure that payment policies do not methodologies, none of the suggestions believe that a WAC-based payment disincentivize the use of drugs and fall under the pricing methodologies in amount can be determined instead. biologicals. Another commenter stated section 1847A of the Act. Since our goal Based on our experience with patients who require outlier drugs is to ensure all eligible drugs and determining Part B drug payments should not be denied the individualized biologicals are counted in the outlier under section 1847A of the Act, we care they need and deserve due to calculation, while maintaining stated, we believe that drugs and revisions to the pricing methodology. consistency with the drug pricing biologicals that are approved by the Response: We appreciate the policies under the ESRD PPS, we Food and Drug Administration and are commenters’ support for our outlier believe adopting any of the suggested being sold in the United States nearly proposal. We also agree with the alternatives would make drug pricing always have WAC amounts published in importance of beneficiary access to new policies under the ESRD PPS pricing compendia. We noted that we therapies when they come to market inconsistent. believe this proposal is consistent with and, as discussed more fully below, we As we stated in the CY 2018 ESRD the intent of the ESRD PPS outlier believe the policy we are finalizing PPS proposed rule (82 FR 31196), we policy, which is to provide a payment ensures that every drug and biological believe that using the pricing VerDate Sep<11>2014 19:01 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00008 Fmt 4701 Sfmt 4700 E:\FR\FM\01NOR2.SGM 01NOR2 sradovich on DSK3GMQ082PROD with RULES2 Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Rules and Regulations 50745 methodologies under section 1847A of section 1847A of the Act; therefore, we Therefore, we are not adopting the the Act is consistent with the ESRD PPS believe the impact is negligible. MedPAC recommendation for TDAPA drug designation process for new Comment: MedPAC commented that in this final rule. We share MedPAC’s injectable and intravenous drugs, and CMS should rely on ASP data when concern that ongoing reliance on the use how covered drugs and biologicals are pricing drugs and biologics under the of WAC pricing under the ESRD PPS paid under Medicare Part B. We ESRD PPS outlier policy and drug could result in higher payments and continue to believe that consistency designation process, including TDAPA, will consider limiting the use of the with Medicare Part B payment for drugs with one exception: New, single-source other non-ASP pricing methods and biologicals is beneficial to ESRD drugs and biologics, and the first available under section 1847A of the facilities because, as mentioned above, biosimilar to reference a biologic (that Act in the future if our monitoring this is the way CMS pays for injectable lacks ASP data). MedPAC recommended indicates they are used for an extended drugs and biologicals on the ESRD claim that new single-source drugs and period of time and manufacturers are with the AY modifier; and therefore, biologics, and the first biosimilar to a not reporting ASP data. facilities would be able to predict reference biologic (that lack ASP data), Final Rule Action: We are finalizing outlier payments. We continue to should be priced using WAC data only our proposal to use the pricing believe it is preferable to have one for 2 to 3 calendar quarters to permit methodologies in section 1847A of the pricing policy for Part B drugs and time for manufacturers to report sales Act, as appropriate, to price drugs and biologicals under the ESRD PPS data to CMS and for the agency to biologicals for the outlier calculation applicable to both the drug designation calculate an ASP. If at the end of 2 to when ASP pricing data is not available. process, including TDAPA, and outlier 3 calendar quarters, ASP data are not We are not finalizing the proposal to not policy. Therefore, we are not adopting available, MedPAC recommended CMS count certain drugs and biologicals the commenters’ suggestions at this should not use WAC for purposes of toward the outlier calculation when time. calculating outlier payments. pricing methodologies are not available Upon further review and discussion, MedPAC referred to its June 2017 under section 1847A of the Act. report to the Congress, entitled while we believe the ASP and WAC ‘‘Medicare and the Health Care Delivery 2. CY 2018 ESRD PPS Update pricing methodologies under section System,’’ which raised concerns about 1847A of the Act are sufficient to price a. CY 2018 ESRD Bundled Market the accuracy of WAC data. MedPAC most eligible drugs and biologicals for Basket Update, Productivity stated that unlike an ASP, a product’s the purposes of outlier payment, we Adjustment, and Labor-Related Share WAC does not incorporate prompt-pay note that Medicare Administrative for the ESRD PPS or other discounts. If discounts are Contractors are authorized to use available, then a product’s WAC price In accordance with section invoice pricing in scenarios in which would be greater than it otherwise 1881(b)(14)(F)(i) of the Act, as added by neither ASP nor WAC data is available. would be under the ASP-based formula. section 153(b) of MIPPA and amended This is consistent with chapter 17, Consequently, MedPAC noted that using by section 3401(h) of the Affordable section 20.1.3 of the Medicare Claims WAC data to determine payments under Care Act, beginning in 2012, the ESRD Processing Manual, which directs the the outlier policy could result in higher PPS payment amounts are required to be Medicare Administrative Contractors to spending for beneficiaries and annually increased by an ESRD market develop payment allowance limits for taxpayers. basket increase factor and reduced by covered drugs and biologicals that are MedPAC further commented that, to the productivity adjustment described not included in the ASP Medicare Part reduce the need to use less accurate in section 1886(b)(3)(B)(xi)(II) of the B Drug Pricing File or Not Otherwise prices, such as WAC, and to improve Act. The application of the productivity Classified Pricing File based on the the accuracy of ASP data, it adjustment may result in the increase published WAC or invoice pricing. recommended in the June 2017 report factor being less than 0.0 for a year and Invoice pricing is not as robust a that Congress improve ASP data may result in payment rates for a year measure of actual sales price as ASP, reporting by requiring all manufacturers being less than the payment rates for the but it is nearly universally available. of Part B drugs and biologics to report preceding year. The statute also Therefore, as we now believe the pricing ASP and impose civil monetary provides that the market basket increase methodologies under section 1847A of penalties for failure to report. As noted factor should reflect the changes over the Act and related guidance are by MedPAC, under current policy, not time in the prices of an appropriate mix sufficiently comprehensive, we are not all manufacturers of Part B drugs are of goods and services used to furnish finalizing the proposal to not count required to submit their ASP data. renal dialysis services. certain drugs and biologicals toward the Section 1927(b)(3) of the Act requires Section 1881(b)(14)(F)(i)(I) of the Act, outlier calculation when pricing only manufacturers with Medicaid drug as added by section 217(b)(2)(A) of methodologies are not available under rebate agreements in place to report PAMA, provides that in order to section 1847A of the Act. their sales data to calculate ASP for each accomplish the purposes of We intend to analyze the utilization of of their Part B drugs. subparagraph (I) with respect to 2016, drugs and biologicals and how they are Response: Our intent for the outlier 2017, and 2018, after determining the priced on a consistent basis to monitor proposal was to have a consistent drug market basket percentage increase factor the use of those methodologies pricing policy under the ESRD PPS with for each of 2016, 2017, and 2018, the described in section 1847A of the Act. respect to Part B drugs and to protect Secretary shall reduce such increase With regard to the comment that we beneficiary access to renal dialysis factor by 1.25 percentage points for each provide an analysis of the impact of this services. We believe that our proposal of 2016 and 2017 and by 1.0 percentage proposal, currently we are aware of only achieves those goals. We further believe point for 2018. Accordingly, for CY 2 drugs with low utilization that were that a change as substantial as relying 2018, we proposed to reduce the unable to be priced using ASP for only on ASP data for TDAPA pricing, as amount of the market basket percentage outlier purposes. Those particular drugs suggested by MedPAC, is out of scope increase by 1.0 percent and to further had WAC prices and thus could be for this rulemaking because we did not reduce it by the productivity priced using the pricing methods under propose any changes to the TDAPA. adjustment. VerDate Sep<11>2014 19:01 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00009 Fmt 4701 Sfmt 4700 E:\FR\FM\01NOR2.SGM 01NOR2 sradovich on DSK3GMQ082PROD with RULES2 50746 Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Rules and Regulations We proposed to use the CY 2012- measured as the change in outputs and (d)(10) of the Act and utilize pre- based ESRDB market basket as finalized divided by the change in inputs. floor hospital data that are unadjusted and described in the CY 2015 ESRD PPS For the CY 2018 ESRD payment for occupational mix. The final CY 2018 final rule (79 FR 66129 through 66136) update, we proposed to continue using wage index values for urban areas are to compute the CY 2018 ESRDB market a labor-related share of 50.673 percent listed in Addendum A (Wage Indices for basket increase factor and labor-related for the ESRD PPS payment, which was Urban Areas) and the final CY 2018 share based on the best available data. finalized in the CY 2015 ESRD PPS final wage index values for rural areas are Consistent with historical practice, we rule (79 FR 66136). listed in Addendum B (Wage Indices for estimate the ESRDB market basket We did not receive any comments on Rural Areas). Addenda A and B are update based on the IHS Global Inc. the proposed CY 2018 market basket located on the CMS Web site at https:// (IGI) forecast using the most recently update, MFP adjustment, or labor- www.cms.gov/Medicare/Medicare-Fee- available data. IGI is a nationally related share. for-Service-Payment/ESRDpayment/ recognized economic and financial Final Rule Action: As noted above, End-Stage-Renal-Disease-ESRD- forecasting firm that contracts with CMS the final CY 2018 market basket update Payment-Regulations-and-Notices.html. to forecast the components of the market and MFP adjustment in the ESRD PPS In the CY 2011 and CY 2012 ESRD baskets. final rule will be based on the most PPS final rules (75 FR 49116 through As a result of these provisions, and recent forecast of data available. 49117 and 76 FR 70239 through 70241, using the IGI forecast for the first quarter Therefore, using the IGI 3rd quarter respectively), we also discussed and of 2017 of the CY 2012-based ESRDB 2017 forecast with historical data finalized the methodologies we use to market basket (with historical data through the 2nd quarter 2017, the final calculate wage index values for ESRD through the 4th quarter of 2016), the CY 2018 ESRDB update is 0.3 percent. facilities that are located in urban and proposed CY 2018 ESRD market basket This is based on a 1.9 percent market rural areas where there is no hospital increase was 0.7 percent. This market basket update, less a 1.0 percent data. For urban areas with no hospital basket increase was calculated by adjustment as required by section data, we compute the average wage starting with the proposed CY 2018 1881(b)(14)(F)(i)(I) of the Act, as index value of all urban areas within the ESRDB market basket percentage amended by section 217(b)(2)(A)(ii) of State and use that value as the wage increase factor of 2.2 percent, reducing PAMA, and further reduced by a 0.6 index. For rural areas with no hospital data, we compute the wage index using it by the mandated legislative percent MFP update. the average wage index values from all adjustment of 1.0 percent (required by b. Final CY 2018 ESRD PPS Wage contiguous CBSAs to represent a section 1881(b)(14)(F)(I)(i) of the Act), Indices reasonable proxy for that rural area. and reducing it further by the i. Annual Update of the Wage Index We apply the wage index for Guam multifactor productivity (MFP) (0.9611) to American Samoa and the adjustment (the 10-year moving average Section 1881(b)(14)(D)(iv)(II) of the Northern Mariana Islands as established of MFP for the period ending CY 2018) Act provides that the ESRD PPS may in the CY 2014 ESRD PPS final rule (78 of 0.5 percent. As is our general include a geographic wage index FR 72172). We apply the statewide practice, we proposed that if more payment adjustment, such as the index urban average based on the average of recent data are subsequently available referred to in section 1881(b)(12)(D) of all urban areas within the state (78 FR (for example, a more recent estimate of the Act, as the Secretary determines to 72173) (0.8472) to Hinesville-Fort the market basket or MFP adjustment), be appropriate. In the CY 2011 ESRD Stewart, Georgia. We note that if we will use such data to determine the PPS final rule (75 FR 49117), we hospital data becomes available for CY 2018 market basket update and MFP finalized the use of the Office of these areas, we will use that data for the adjustment in the CY 2018 ESRD PPS Management and Budget’s (OMB’s) appropriate CBSAs instead of the proxy. final rule. CBSAs-based geographic area A wage index floor value has been The IGI 3rd quarter 2017 forecast of designations to define urban and rural used instead of the calculated wage the CY 2018 ESRDB market basket areas and their corresponding wage index values below the floor in making update is 1.9 percent. The decrease from index values. OMB publishes bulletins payment for renal dialysis services the 1st quarter 2017 forecast (2.2 regarding CBSA changes, including under the ESRD PPS. Currently, all percent) to the 3rd quarter 2017 forecast changes to CBSA numbers and titles. areas with wage index values that fall (1.9 percent) is mostly attributable to a The latest bulletin, as well as below the floor are located in Puerto decrease in the projected growth of the subsequent bulletins, is available online Rico. However, the wage index floor series ‘‘Producer Price Index: at https://www.whitehouse.gov/omb/ value is applicable for any area that may Commodity Data—Biological products information-for-agencies/bulletins. fall below the floor. A detailed excluding diagnostic, for human use.’’ For CY 2018, we stated that we would description of the history of the wage This series is used as the price proxy to continue to use the same methodology index floor under the ESRD PPS can be estimate the ‘‘erythropoiesis-stimulating as finalized in the CY 2011 ESRD PPS found in the CY 2018 ESRD PPS agent (ESAs)’’ cost category. The IGI 3rd final rule (75 FR 49117) for determining proposed rule (82 FR 31198). quarter 2017 forecast of the MFP the wage indices for ESRD facilities. In the proposed rule, for CY 2018 and adjustment is 0.6 percent. The increase Specifically, we are updating the wage subsequent years, we proposed to from the 1st quarter 2017 MFP forecast indices for CY 2018 to account for maintain the current wage index floor of (0.5 percent) to the 3rd quarter 2017 updated wage levels in areas in which 0.4000 for CBSAs that have wage index MFP forecast (0.6) is mainly attributable ESRD facilities are located. We use the values that fall below the floor. We to the incorporation of upward revisions most recent pre-floor, pre-reclassified stated that the cost report analyses that of historical data by the Bureau of Labor hospital wage data collected annually we have conducted over the years are Statistics (BLS), as well as slower under the inpatient prospective inconclusive and have not convinced us projected labor input growth and capital payment system. The ESRD PPS wage that an increase in the wage index floor input growth. Slower growth in labor index values are calculated without is warranted at this time. We explained and capital inputs result in a faster regard to geographic reclassifications that we continued to believe growth in topline MFP since MFP is authorized under sections 1886(d)(8) maintaining the current wage index VerDate Sep<11>2014 19:01 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00010 Fmt 4701 Sfmt 4700 E:\FR\FM\01NOR2.SGM 01NOR2 sradovich on DSK3GMQ082PROD with RULES2 Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Rules and Regulations 50747 floor value of 0.4000 is appropriate as it a natural ‘‘outgrowth’’ policy to define indices based on the latest hospital continues to provide additional as a temporary measure derived from wage data as proposed. In addition, we payment support to the lowest wage analysis and language presented in the are maintaining a wage index floor of areas and avoids the need for an CY 2017 ESRD PPS final rule and the 0.4000. additional budget-neutrality adjustment CY 2018 ESRD PPS proposed rule, as ii. Application of the Wage Index Under that would reduce the ESRD PPS base well as from other previous regulatory the ESRD PPS rate, beyond the adjustment needed to cycles. reflect updated hospital wage data, in Commenters indicated that the A facility’s wage index is applied to order to maintain budget neutrality for primary issue is that Puerto Rico the labor-related share of the ESRD PPS wage index updates. We noted that we hospitals report comparatively lower base rate. In the CY 2015 ESRD PPS would continue to monitor and analyze wages that are not adjusted for final rule (79 FR 66136), we finalized ESRD facility cost reports and projected occupational mix and, as CMS indicates the labor-related share of 50.673 impacts to guide future rulemaking with in the CY 2017 ESRD PPS proposed rule percent, which is based on the 2012- regard to the wage index floor (82 FR (81 FR 42817), in Puerto Rico, only based ESRDB market basket. Thus, for 31198). registered nurses (RNs) can provide CY 2018, the labor-related share to The comments and our responses to dialysis therapy in the outpatient which a facility’s wage index would be the comments on our wage index setting. This staffing variable artificially applied is 50.673 percent. proposals are set forth below. lowers the reportable index values even c. CY 2018 Update to the Outlier Policy Comment: A national dialysis though the actual costs of dialysis organization and a large dialysis service wages in Puerto Rico are much Section 1881(b)(14)(D)(ii) of the Act organization support the methodology higher than the data CMS is relying requires that the ESRD PPS include a for determining the wage indices and upon. In addition, several commenters payment adjustment for high cost the continued application of the wage stated that non-labor costs, including outliers due to unusual variations in the index floor. However, they asked that utilities and shipping costs and the CY type or amount of medically necessary CMS consider how the current policy 2015 change in the labor-share based on care, including variability in the amount could be modified to adjust wage index the rebased and revised ESRDB market of ESAs necessary for anemia values to account for laws requiring basket compound the issue even further. management. Some examples of the wage increases. They noted that under One organization stated that it does not patient conditions that may be reflective the current methodology for believe maintaining the current wage of higher facility costs when furnishing determining the wage indices for ESRD index for Puerto Rico for CY 2018 is dialysis care would be frailty, obesity, facilities, there can be a lag of several enough to offset the poor economic and comorbidities such as cancer. The years with the wage index recognizing conditions, high operational costs and ESRD PPS recognizes high cost patients, these changes. epidemiologic burden of ESRD on the and we have codified the outlier policy Response: We agree with commenters island. in our regulations at 42 CFR 413.237. that there is a data lag that occurs when Response: We did not propose to The policy provides the following ESRD a State changes its minimum wage or change the wage index floor or outlier items and services are included staffing requirements and when it is otherwise change the wage indexes for in the ESRD PPS bundle: (1) ESRD- reflected in the hospital-reported wage Puerto Rico and will maintain the related drugs and biologicals that were data. We also believe it is more prudent current wage index floor of 0.4000 for or would have been, prior to January 1, to base the wage index on actual CY 2018. We note that the current wage 2011, separately billable under reported data rather than anticipated index floor and labor-related share have Medicare Part B; (2) ESRD-related changes and the uncertainty of what been in effect since CY 2015 and neither laboratory tests that were or would have may or may not be reported. For this the floor nor the labor share has been been, prior to January 1, 2011, reason, we are retaining the current reduced since then. More importantly, separately billable under Medicare Part methodology for determining wage the wage index is solely intended to B; (3) medical/surgical supplies, indices. reflect differences in labor costs and not including syringes, used to administer Comment: Although we did not to account for non-labor cost ESRD-related drugs that were or would propose to change the wage index floor, differences, such as utilities or shipping have been, prior to January 1, 2011, we received comments from the major costs. separately billable under Medicare Part dialysis providers in Puerto Rico and a With regard to staffing in Puerto Rico B; and (4) renal dialysis services drugs coalition of healthcare stakeholders in facilities, we have learned that ESRD that were or would have been, prior to Puerto Rico. The commenters described facilities there utilize RNs similarly to January 1, 2011, covered under the economic and healthcare crisis in ESRD facilities on the mainland, that is, Medicare Part D, including ESRD Puerto Rico and recommended that facilities utilize dialysis technicians and related oral-only drugs effective January CMS should use the United States aides to provide dialysis services with 1, 2025. Virgin Islands wage index for payment oversight by an RN. In addition, hourly In the CY 2011 ESRD PPS final rule rate calculations in Puerto Rico as a wages for RNs and dialysis support staff (75 FR 49142), we stated that for proxy for CY 2018, given disadvantages were approximately half of those purposes of determining whether an recognized by CMS analysis, the salaries in mainland ESRD facilities. For ESRD facility would be eligible for an unreliability of hospital-reported data in these reasons, we do not agree that the outlier payment, it would be necessary Puerto Rico and the inconsistencies hospital-reported data is unreliable, and for the facility to identify the actual with the wage indices used for other we believe using that data is more ESRD outlier services furnished to the Territories. One commenter indicated appropriate than applying the wage patient by line item (that is, date of that making this change for CY 2018 is index value for the Virgin Islands where service) on the monthly claim. Renal similar to the CMS policy established in salaries are considerably higher. dialysis drugs, laboratory tests, and the CY 2017 Physician Fee Schedule Final Rule Action: After considering medical/surgical supplies that are final rule (81 FR 80261 through 80265) the public comments we received recognized as outlier services were about the applicable geographic practice regarding the wage index, we are originally specified in Attachment 3 of cost index (GPCI) factors and would be finalizing the CY 2018 ESRD PPS wage Change Request 7064, Transmittal 2033 VerDate Sep<11>2014 19:01 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00011 Fmt 4701 Sfmt 4700 E:\FR\FM\01NOR2.SGM 01NOR2 sradovich on DSK3GMQ082PROD with RULES2 50748 Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Rules and Regulations issued August 20, 2010, rescinded and pediatric patients due to differences in beta, increased, based on estimates of replaced by Transmittal 2094, dated the utilization of separately billable average ESA utilization per session. As November 17, 2010. Transmittal 2094 services among adult and pediatric EPO alfa is measured in different units identified additional drugs and patients (75 FR 49140). As we explained than both darbepoetin and EPO beta, it laboratory tests that may also be eligible in the CY 2011 ESRD PPS final rule (75 is difficult to compare the overall for ESRD outlier payment. Transmittal FR 49138 through 49139), the predicted utilization of ESAs between 2014 and 2094 was rescinded and replaced by outlier services MAP amounts for a 2016 by units alone. Transmittal 2134, dated January 14, patient are determined by multiplying As we stated in the CY 2018 ESRD 2011, which was issued to correct the the adjusted average outlier services PPS proposed rule, in examining the subject on the Transmittal page and MAP amount by the product of the made no other changes. patient-specific case-mix adjusters claims data, we find that compositional Furthermore, we use administrative applicable using the outlier services shift away from use of EPO alfa to the issuances and guidance to continually payment multipliers developed from the longer acting darbepoetin and EPO beta update the renal dialysis service items regression analysis to compute the was a significant factor in the decrease available for outlier payment via our payment adjustments. in total ESA costs in 2016. We first quarterly update CMS Change Requests, For the CY 2018 outlier policy, we calculated the actual cost for ESAs when applicable. We use this separate used the existing methodology for administered during 2016. We then guidance to identify renal dialysis determining outlier payments by calculated the projected cost of ESAs service drugs that were or would have applying outlier services payment that was used for the CY 2016 ESRD been covered under Medicare Part D for multipliers that were developed for the PPS final rule, using total utilization outlier eligibility purposes and in order CY 2016 ESRD PPS final rule (80 FR from 2014 and drug prices the from 3rd to provide unit prices for calculating 68993 through 68994, 69002). We used quarter 2015 inflated to 2016 prices. The imputed outlier services. In addition, these outlier services payment actual costs of ESAs administered in we identify through our monitoring multipliers to calculate the predicted 2016 were roughly 20 percent lower efforts items and services that are either outlier service MAP amounts and than the value projected in the CY 2016 incorrectly being identified as eligible projected outlier payments for CY 2018. ESRD PPS final rule. We then calculated outlier services or any new items and For CY 2018, we proposed that the the projected cost of ESAs assuming that services that may require an update to outlier services MAP amounts and FDL the utilization of various ESAs per the list of renal dialysis items and amounts would be derived from claims dialysis session in 2014 and 2016 were services that qualify as outlier services, data from CY 2016. As we stated in the similar and also used the prices and which are made through administrative CY 2018 ESRD PPS proposed rule, we total dialysis session count from 2016. issuances. believe that any adjustments made to The projected costs from these two Our regulations at 42 CFR 413.237 the MAP amounts under the ESRD PPS scenarios were similar and suggest that specify the methodology used to should be based upon the most recent compositional change in ESA utilization calculate outlier payments. An ESRD data year available in order to best was likely a significant factor in the facility is eligible for an outlier payment predict any future outlier payments. decrease in the total cost of ESAs if its actual or imputed MAP amount per Therefore, we proposed the outlier between 2014 and 2016. We noted that treatment for ESRD outlier services thresholds for CY 2018 would be based we continue to believe that the decline exceeds a threshold. The MAP amount on utilization of renal dialysis items and is leveling off and that 1.0 percent is an represents the average incurred amount services furnished under the ESRD PPS appropriate threshold for outlier per treatment for services that were or in CY 2016. We stated that we recognize payments. would have been considered separately that the utilization of ESAs and other billable services prior to January 1, outlier services have continued to i. CY 2018 Update to the Outlier 2011. The threshold is equal to the decline under the ESRD PPS, and that Services MAP Amounts and FDL ESRD facility’s predicted ESRD outlier we have lowered the MAP amounts and Amounts services MAP amount per treatment FDL amounts every year under the (which is case-mix adjusted) plus the ESRD PPS. For CY 2018, we did not propose any FDL amount. In accordance with In the CY 2017 ESRD PPS final rule changes to the methodology used to § 413.237(c) of our regulations, facilities (81 FR 77860), we stated that based on compute the MAP or FDL amounts. are paid 80 percent of the per treatment the CY 2015 claims data, outlier Rather, we proposed to update the amount by which the imputed MAP payments represented approximately outlier services MAP amounts and FDL amount for outlier services (that is, the 0.93 percent of total payments. In the amounts to reflect the utilization of actual incurred amount) exceeds this CY 2018 ESRD PPS proposed rule (82 outlier services reported on 2016 claims. threshold. ESRD facilities are eligible to FR 31199), we discussed that the CY For this final rule, the outlier services receive outlier payments for treating 2016 claims data show outlier payments MAP amounts and FDL amounts were both adult and pediatric dialysis represented approximately 0.78 percent updated using the latest available 2016 patients. of total payments. We explained that claims data. The impact of this update In the CY 2011 ESRD PPS final rule, data indicates that trends in the is shown in Table 1, which compares using 2007 data, we established the utilization of the ESAs could be a reason the outlier services MAP amounts and outlier percentage at 1.0 percent of total for the decrease. Beginning in 2015 and FDL amounts used for the outlier policy payments (75 FR 49142 through 49143). continuing into 2016, there were large in CY 2017 with the updated estimates We also established the FDL amounts shifts in the composition of the for this rule. The estimates for the CY that are added to the predicted outlier utilization of ESA drugs. Specifically, 2018 outlier policy, which are included services MAP amounts. The outlier utilization of Epoetin (EPO) alfa in Column II of Table 1, were inflation- services MAP amounts and FDL decreased and utilization of the longer- adjusted to reflect projected 2018 prices amounts are different for adult and acting ESA drugs, darbepoetin and EPO for outlier services. VerDate Sep<11>2014 19:01 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00012 Fmt 4701 Sfmt 4700 E:\FR\FM\01NOR2.SGM 01NOR2 sradovich on DSK3GMQ082PROD with RULES2 Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Rules and Regulations 50749 TABLE 1—OUTLIER POLICY: IMPACT OF USING UPDATED DATA TO DEFINE THE OUTLIER POLICY Column I final outlier policy for Column II final outlier policy for CY 2017 CY 2018 (based on 2015 data, price (based on 2016 data, price inflated to 2017) * inflated to 2018) Age < 18 Age >= 18 Age < 18 Age >= 18 Average outlier services MAP amount per treatment ...... $38.77 $47.00 $37.41 $44.27 Adjustments ...... Standardization for outlier services ...... 1.0078 0.9770 1.0177 0.9774 MIPPA reduction ...... 0.98 0.98 0.98 0.98 Adjusted average outlier services MAP amount ...... $38.29 $45.00 $37.31 $42.41 Fixed-dollar loss amount that is added to the predicted MAP to determine the outlier threshold ...... $68.49 $82.92 $47.79 $77.54 Patient-months qualifying for outlier payment ...... 4.6% 6.7% 9.0% 7.4% * Note that Column I was obtained from Column II of Table 1 from the CY 2017 ESRD PPS final rule. As demonstrated in Table 1, the note that recalibration of the FDL determined that the actual costs of ESAs estimated FDL amount per treatment amounts in this final rule will result in administered in 2016 were roughly 20 that determines the CY 2018 outlier no change in payments to ESRD percent lower than the value projected threshold amount for adults (Column II; facilities for beneficiaries with renal in the CY 2016 ESRD PPS final rule, we $77.54) is lower than that used for the dialysis items and services that are not have included more detail of the CY 2017 outlier policy (Column I; eligible for outlier payments, but will analysis here. As we discussed above, $82.92). The lower threshold is increase payments to ESRD facilities for beginning in 2015 and continuing into accompanied by a decrease in the beneficiaries with renal dialysis items 2016, there were large shifts in the adjusted average MAP for outlier and services that are eligible for outlier composition of the utilization of ESA services from $45.00 to $42.41. For payments. Therefore, beneficiary drugs in the claims data. Specifically, pediatric patients, there is a decrease in coinsurance obligations will also estimates of average ESA utilization of the FDL amount from $68.49 to $47.79. increase for renal dialysis services EPO alfa (Healthcare Common There is a slight decrease in the adjusted eligible for outlier payments. Procedure Coding System (HCPCS) average MAP for outlier services among The comments and our responses to Q4081) per dialysis session decreased pediatric patients, from $38.29 to the comments on the proposal to update from 28.54 units in 2014 to 13.73 units $37.31. the outlier thresholds using CY 2016 in 2016, and utilization of the longer- We estimate that the percentage of data are set forth below: acting ESA drugs, darbepoetin (HCPCS patient-months qualifying for outlier Comment: A national dialysis J0886) and EPO beta (HCPCS Q9972/ payments in CY 2018 will be 7.4 percent organization and a large dialysis J0887), increased, from 0.75 and 0.001 for adult patients and 9.0 percent for organization expressed concern about mcg in 2014 to 2.13 and 3.01 mcg in pediatric patients, based on the 2016 the statement made in the CY 2018 2016, respectively. As EPO alfa is claims data. The pediatric outlier MAP ESRD PPS proposed rule (82 FR 31199) measured in different units than both amount continues to be lower for that ESAs administered in 2016 were darbepoetin and EPO beta, it is difficult pediatric patients than adults due to the roughly 20 percent lower than the value to compare the overall utilization of continued lower use of outlier services we projected in the CY 2016 ESRD PPS ESAs between 2014 and 2016 by units (primarily reflecting lower use of ESAs final rule. They do not disagree with the alone. and other injectable drugs). conclusion that there should be no In examining the claims data, we change in the threshold for outlier continue to find that the compositional ii. Outlier Percentage payments. However, they indicated that shift away from use of EPO alfa to the In the CY 2011 ESRD PPS final rule understanding the cost and utilization longer acting darbepoetin and EPO beta (75 FR 49081), under § 413.220(b)(4), we of drugs generally, and ESAs in was a significant factor in explaining reduced the per treatment base rate by particular, is important to why total ESA costs actually incurred in 1 percent to account for the proportion understanding the adequacy of the 2016 were lower than the total ESA of the estimated total payments under payment system. They expressed costs projected for 2016 using 2014 data. the ESRD PPS that are outlier payments concern that the preamble of the CY We first calculated the actual cost for as described in § 413.237. Based on the 2018 ESRD PPS proposed rule does not ESAs administered during 2014 and 2016 claims, outlier payments describe how CMS determined this 2016. We found shifts in the represented approximately 0.78 percent value and it seems inconsistent with composition of costs per dialysis session of total payments, below the 1 percent trends that some ESRD facilities see in associated with each ESA that were target due to small overall declines in their own data. proportional to changes in utilization the use of outlier services. Recalibration Response: In the CY 2017 ESRD PPS per session. Specifically, estimates of of the thresholds using 2016 data is final rule (81 FR 77860), we stated that average ESA cost of EPO alfa per expected to result in aggregate outlier based on the CY 2015 claims data, dialysis session decreased from $32.50 payments close to the 1 percent target in outlier payments represented in 2014 to $17.19 in 2016, and average CY 2018. We believe the update to the approximately 0.93 percent of total cost per session of darbepoetin and EPO outlier MAP and FDL amounts for CY payments. For this final rule, CY 2016 beta increased from $2.79 and $0.00 in 2018 will increase payments for ESRD claims data show outlier payments 2014 to $8.53 and $5.08 in 2016, beneficiaries requiring higher resource representing approximately 0.78 percent respectively. Total calculated costs of utilization and move us closer to of total payments. To address the ESAs in 2014 and 2016 were $1.6 meeting our 1 percent outlier policy. We commenters’ concern regarding how we billion and $1.4 billion. We then VerDate Sep<11>2014 19:01 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00013 Fmt 4701 Sfmt 4700 E:\FR\FM\01NOR2.SGM 01NOR2 sradovich on DSK3GMQ082PROD with RULES2 50750 Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Rules and Regulations calculated the projected cost of ESAs receive the care they need. However, the care provided, in partnership with the that was used for the CY 2016 ESRD organization recommended that CMS kidney community. PPS final rule, using total utilization revisit the calculation and application of Response: We appreciate the from 2014 and drug prices from the 3rd the outlier payment policy to ensure continued support for the outlier policy quarter 2015 inflated to 2016 prices, to that total amount of payments withheld and the suggestions provided. We be $1.7 billion. The actual costs of ESAs are paid back to facilities for patient continue to believe that 1.0 percent is an administered in 2016 were roughly 20 care. appropriate target for outlier payments percent lower than this value projected An organization representing non- given that using more recent claims data in the CY 2016 ESRD PPS final rule (80 profit facilities and a large dialysis to update the outlier MAP and FDL FR 68974). organization urged CMS to reconsider amounts for CY 2018 will increase In order to understand the reason for the 1 percent outlier policy first outlier payments for ESRD beneficiaries. this difference, we created a projected implemented in 2011, stating that while A 1.0 percent outlier target percentage is 2016 value using an alternative an outlier adjustment is required under a modest amount in comparison to other scenario. In this scenario, we calculated the statute, a 0.5 percent outlier target Medicare prospective payment systems the projected cost of ESAs assuming that percentage would reduce the offset to and helps to ensure that high cost the utilization of various ESAs per the base payment and still provide for patients receive the individualized dialysis session in 2016 was equivalent payment in the case of extraordinary services they need. We will, however, to that in 2014, but instead we used the costs. take the commenters’ views into prices and total dialysis session count A large dialysis organization stated consideration as we explore ways to from 2016. The projected costs from that despite CMS’s efforts to equalize enhance and update the outlier policy these two scenarios were similar and payment made into and out of the in future rulemaking. suggest that neither the difference in the outlier pool, limited progress toward Comment: A professional association projected (3rd quarter 2015 prices that goal has been achieved. The noted the decreases in the pediatric inflated to 2016) versus actual ESA commenter recommended that CMS MAP and FDL amounts to reflect the prices for 2016 nor changes in the should address this problem by paying utilization of services in 2016 and number of dialysis sessions between out any remaining outlier pool dollars to expressed concern about the greater 2014 and 2016 explain the difference providers in the subsequent year. A than 25 percent decrease in the between the projected and actual cost of professional association agreed, pediatric FDL amount. While the ESAs in 2016. Therefore, the residual expressing concern about the ongoing commenter recognizes that this is the factor indicates that compositional leakage of funds withheld, but not paid first proposed decrease in several years, changes in ESA utilization were the out as outlier payments. Although the the commenter believes that it could most likely factor in the decrease in the professional association agreed the negatively impact the delivery of care in total cost of ESAs between 2014 and rationale provided for the anticipated pediatric facilities. 2016. We continue to believe that the increase in outlier payments may be Response: The reduction in the decline is leveling off and that 1.0 pediatric outlier threshold amounts percent is an appropriate target for accurate, it noted that in calculating these estimates, CMS is adjusting for indicates that the cost of caring for outlier payments. pediatric ESRD patients was lower in Comment: Although we did not input costs but not for changes in provider behavior, including a 2016 than in 2015. The decrease in the propose changes to the outlier target pediatric FDL amount makes exceeding percentage or update methodology, we substantial shift to other ESAs that are the amount for pediatric facilities easier received many comments regarding the similarly expensive. The commenter to achieve. Therefore, we believe this difference between estimated outlier stated that in a fixed bundled payment update will improve payments to payments and the 1.0 percent outlier environment, there is an incentive to facilities serving pediatric patients and target. A national kidney organization continually find ways to reduce costly will not negatively impact the delivery and a large dialysis organization practices—an unaccounted-for factor of care. expressed support for CMS’ proposal to that will likely contribute to the Final Rule Action: After considering refine the outlier pool so that the dollars continued under-projection of outlier the public comments, we are finalizing paid out more closely align with the payouts. the updated outlier thresholds based on estimated amount used to create the The professional association offered CY 2016 data. outlier pool. However, they expressed two alternate paths to addressing the concern that CMS has not yet addressed gap between outlier withholds and d. Final Impacts to the CY 2018 ESRD the fact that the outlier pool is outlier payments for CMS’ PPS Base Rate consistently paying out less than the consideration: (1) Revise the withhold i. ESRD PPS Base Rate amount removed from the base rate. on an annual basis so that only the exact Both organizations referenced an necessary amount is withheld to meet In the CY 2011 ESRD PPS final rule analysis that estimated the outlier pool payouts (likely, retrospectively); or (2) (75 FR 49071 through 49083), we underpaid $0.46 per treatment in 2016 reinvest the difference between actual discussed the development of the ESRD and that, cumulatively since 2011, $4.97 outlier costs incurred and the funds PPS per treatment base rate that is has been removed by the underpayment withheld to support research and other codified in the Medicare regulations at of the outlier pool. They asked that CMS patient-focused initiatives within CMS’ 42 CFR 413.220 and 42 CFR 413.230. further refine the outlier policy so that scope, such as: Analyzing data to better The CY 2011 ESRD PPS final rule also it is more consistent with how outlier understand aspects of dialysis care provides a detailed discussion of the policies in other Medicare payment related to improved patient outcomes; methodology used to calculate the ESRD systems work. developing a demonstration project or PPS base rate and the computation of A patient advocacy organization pilot focused on covering the cost of factors used to adjust the ESRD PPS expressed strong support for CMS care for vascular access payment in the base rate for projected outlier payments having an outlier payment policy as the first 90 days prior to new ESRD patient and budget neutrality in accordance organization believes it is a helpful eligibility; or supporting other with sections 1881(b)(14)(D)(ii) and policy for ensuring that costlier patients initiatives to improve the value of ESRD 1881(b)(14)(A)(ii) of the Act, VerDate Sep<11>2014 19:01 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00014 Fmt 4701 Sfmt 4700 E:\FR\FM\01NOR2.SGM 01NOR2 sradovich on DSK3GMQ082PROD with RULES2 Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Rules and Regulations 50751 respectively. Specifically, the ESRD PPS The comments and our responses to methodology used to calculate the per- base rate was developed from CY 2007 the comments on our proposals to treatment payment amount incorporates claims (that is, the lowest per patient update the payment rate for CY 2018 are the cost of the drugs that are paid for utilization year as required by section set forth below. using a TDAPA. Thus, the commenter 1881(b)(14)(A)(ii) of the Act), updated to Comment: One commenter expressed incorrectly presumes that outpatient CY 2011, and represented the average concern about the application of section prescription drugs furnished and per treatment MAP for composite rate 1877 of the Act (the physician self- reimbursed under the TDAPA policy are and separately billable services. In referral law) to dialysis facilities that, not considered part of the ESRD accordance with section 1881(b)(14)(D) under the TDAPA policy, would furnish ‘‘composite rate’’ for purposes of the of the Act and regulations at § 413.230, and be reimbursed for outpatient physician self-referral law when, in fact, the ESRD PPS base rate is adjusted for dialysis-related drugs that are not yet they are included in this ‘‘composite the patient specific case-mix considered ‘‘part of the bundle.’’ The rate.’’ As requested by the commenter, adjustments, applicable facility commenter noted that outpatient we confirm that, after the TDAPA adjustments, geographic differences in prescription drugs are designated health period under § 413.234(c)(2), area wage levels using an area wage services for purposes of the physician calcimimetics will be part of the ESRD index, as well as applicable outlier self-referral law and urged us to add PPS ‘‘composite rate’’ for purposes of payments, training add-on payments, outpatient dialysis-related drugs the physician self-referral law. and transitional drug add-on payment furnished by a dialysis facility under the We note that the payment adjustments. TDAPA policy to the list of codes that methodology for calculating the ESRD are eligible for the exception for EPO PPS per-treatment amount is unique to ii. Annual Payment Rate Update for CY and other dialysis-related drugs ESRD services, and our determination 2018 furnished by an ESRD facility (42 CFR regarding outpatient prescription drugs 411.355(g)), which would avoid the The ESRD PPS base rate for CY 2018 furnished and reimbursed under the application of the physician self-referral is $232.37. This update reflects several TDAPA policy does not apply to law to the referral of and billing for such factors, described in more detail as ambulatory surgical center services, drugs. The commenter also urged us to follows: hospice services, skilled nursing facility confirm that any new drugs added to the • Wage Index Budget-Neutrality Part A services, or any other services ‘‘bundle’’ (such as calcimimetics after Adjustment Factor: We compute a wage that are reimbursed by Medicare as part the TDAPA period) would fall within index budget-neutrality adjustment the exclusion from the definition of of a composite rate. We also note that factor that is applied to the ESRD PPS ‘‘designated health services’’ for our treatment of TDAPA drugs as part base rate. For CY 2018, we did not outpatient prescription drugs of the ESRD PPS ‘‘composite rate’’ is propose any changes to the reimbursed as part of a composite rate. consistent with our treatment of EPO methodology used to calculate this The commenter suggested that these and other dialysis-related outpatient factor, which is described in detail in steps would help avoid confusion in the prescription drugs as excluded from the the CY 2014 ESRD PPS final rule (78 FR provider community and remove any ESRD PPS ‘‘composite rate’’ prior to 72174). The final CY 2018 wage index potential barriers to beneficiary access January 1, 2011. In our January 4, 2001 budget-neutrality adjustment factor is to dialysis drugs that might otherwise rulemaking interpreting section 1877 of 1.000531, based on the updated wage occur in an environment in which there the Act (Phase I), we defined index data. Therefore, the final ESRD are perceived uncertainties about ‘‘designated health services’’ to exclude PPS base rate for CY 2018 before compliance with the physician self- services that are reimbursed by application of the payment rate update Medicare as part of a composite rate (66 × referral law. is $232.24 ($231.55 1.000531 = Response: As the commenter noted, FR 924). In contrast to drugs that are $231.67). under section 1877 of the Act and our paid for using a TDAPA, at the time of • Market Basket Increase: Section regulations at 42 CFR 411.351, our Phase I rulemaking, EPO and other 1881(b)(14)(F)(i)(I) of the Act provides outpatient prescription drugs are dialysis-related outpatient drugs were that, beginning in 2012, the ESRD PPS designated health services. However, not included in the methodology used payment amounts are required to be services that are reimbursed by to calculate the per-treatment payment annually increased by the ESRD market Medicare as part of a ‘‘composite rate’’ amount; that is, for purposes of the basket percentage increase factor. The are not included in the definition of physician self-referral law, they were latest CY 2018 projection for the ESRDB ‘‘designated health services’’ (unless the not paid as part of the ESRD PPS market basket is 1.9 percent. In CY services are specifically identified in ‘‘composite rate’’ and remained 2018, this amount must be reduced by § 411.351 and are themselves payable ‘‘designated health services.’’ Therefore, 1.0 percentage point as required by through a composite rate, such as a physician owner of an ESRD facility section 1881(b)(14)(F)(i)(I) of the Act, as inpatient and outpatient hospital that did not qualify as a ‘‘rural amended by section 217(b)(2)(A) of services). For purposes of the physician provider’’ (for purposes of the physician PAMA, which is calculated as 1.9¥1.0 self-referral law, ‘‘composite rate’’ refers self-referral law) would have been = 0.9 percent. This amount is then to payments made under a distinct precluded from ordering EPO and other reduced by the MFP adjustment payment methodology (66 FR 868). With dialysis-related outpatient prescription described in section 1886(b)(3)(B)(xi)(II) respect to ESRD services, for purposes drugs for his or her Medicare patients of the Act, as required by section of the physician self-referral law, we and the ESRD facility would have been 1881(b)(14)(F)(i)(II) of the Act. The final interpret the ‘‘composite rate’’ as the precluded from submitting claims to MFP adjustment for CY 2018 is 0.6 per-treatment payment amount. As Medicare for the drugs ordered by the percent, thus yielding a final update to described in our TDAPA physician owner. Because of our belief the base rate of 0.3 percent for CY 2018 implementation guidance issued August that the Congress did not intend to (0.9¥0.6 = 0.3 percent). This 4, 2017, available on the CMS Web site preclude physician ownership of ESRD application yields a CY 2018 ESRD PPS at https://www.cms.gov/Regulations- facilities when enacting section 1877 of final base rate of $232.37 ($231.67 × and-Guidance/Guidance/Transmittals/ the Act, we established a separate 1.003 = $232.37). 2017Downloads/R1889OTN.pdf, the exception to the physician self-referral VerDate Sep<11>2014 19:01 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00015 Fmt 4701 Sfmt 4700 E:\FR\FM\01NOR2.SGM 01NOR2 sradovich on DSK3GMQ082PROD with RULES2 50752 Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Rules and Regulations law at § 411.355(g) for EPO and other syringes and follow more time- paid on a prospective payment system dialysis-related outpatient prescription consuming disinfection processes) must basis. However, they expressed concern drugs (66 FR 938). As of January 1, be offset elsewhere in the context of the that some of the contractors overseeing 2011, EPO and other anemia fixed payment environment. While the cost report submissions are management outpatient prescription these new mandates could have patient requiring facilities to submit detailed drugs (as well as access management, benefits, they also may come at the physician logs describing the hours bone and mineral metabolism, cellular expense of other activities that also have worked and tasks performed and still management, antiemetic, anti-infectives, patient benefits. The professional applying the limitation. The antipruritic, anxiolytic, excess fluid association urged CMS to move commenters stated there may be management, fluid and electrolyte cautiously and transparently in confusion because the most recent management including volume implementing such new policies, both edition of the Medicare Claims expanders, and pain management to promote community understanding Processing Manual, Chapter 8, section outpatient prescription drugs) are and buy-in and to avoid the unintended 40.6.C.2, updated November 10, 2016 included in the ESRD PPS ‘‘composite consequence of effectively mandating continues to include instructions that rate’’ (that is, the ESRD per-treatment new actions that might adversely impact do not reflect the policy changes made payment amount) and no longer qualify care elsewhere. The professional in previous rulemakings. as ‘‘designated health services’’ for association stated that any new Therefore, they requested that CMS purposes of the physician self-referral requirements selected must provide the revise the instructions in the Medicare law. Because drugs that are paid for greatest value to patients in the context Claims Processing Manual to align with using a TDAPA are included in the of a fixed, bundled payment the policy finalized in previous ESRD PPS ‘‘composite rate’’ and not environment. rulemaking that eliminates the considered ‘‘designated health Response: We appreciate the limitation on medical director fees. services,’’ they need not be included on commenters’ support for the increase to They also requested that we clarify that the list of Current Procedural the ESRD PPS base rate and will take detailed physician logs not be required, Terminology (CPT)/HCPCS codes that into consideration the concerns consistent with the elimination of the are eligible for use with the exception at regarding ESRD facility profit margins. limitation and the requirements (such as § 411.355(g). Final Rule Action: We are finalizing a providing an invoice) applied to other Comment: Several organizations CY 2018 ESRD PPS base rate of $232.37. health care providers and suppliers with expressed support for the proposed regard to establishing medical director C. Miscellaneous Comments increase to the ESRD PPS base rate and fees. for the consistent and the predictable We received many comments from A dialysis organization requested approach to updating the base rate. beneficiaries, physicians, professional more information related to items An organization representing dialysis organizations, renal organizations, and included in the ESRD PPS bundle and patients expressed appreciation that this manufacturers related to issues that requested that CMS create separate lists year’s ESRD PPS rulemaking extends a were not specifically addressed in the of what they can include on Medicare period of relative stability in Federal CY 2018 ESRD PPS proposed rule. claims, which items and services are support for dialysis; however, that These comments are discussed below. subject to consolidated billing and organization and a large dialysis Comment: A national kidney whether or not they can bill for these organization indicated that the success organization and a patient advocacy items and services, as well as what is of the ESRD PPS depends, by design, on organization requested that the rate not included in the bundle. cross subsidization from private setting file released with each proposed Response: We appreciate the coverage and that any action that and final ESRD PPS rule include commenter’s suggestions regarding constrains private coverage for ESRD specific flags for each payment adjuster claims processing guidance and we will patients will exacerbate policies that that is applied and all modifiers on consider them for future updates. have resulted in consistent ESRD PPS claims, particularly the ‘‘AY’’ modifier Comment: Although we did not underpayments and destabilize the which is used for billing items and include any proposals regarding the nation’s care delivery system for all services that are not furnished for the TDAPA, we received many comments ESRD patients. Given CMS’s role in treatment of ESRD and are therefore from dialysis provider and patient overseeing the ESRD PPS and the Health separately payable. They noted that the advocacy organizations, professional Insurance Marketplaces, they urged outpatient prospective payment system associations and drug manufacturers CMS to work to preserve the long- rate setting file format that is the covering payment, coverage, and standing public-private ESRD template for the ESRD PPS rate setting clinical issues surrounding the partnership and work with the kidney file normally includes all modifiers, and implementation of the two new HCPCS care community to address policies that there are a number of ways that adjuster J-codes for oral and IV calcimimetics have resulted in chronic underpayments variable flags could be added to that file. that will become renal dialysis services through the ESRD PPS. These data are necessary to engage in a and paid for using a TDAPA beginning A professional association noted timely discussion of the impact of the on January 1, 2018. MedPAC’s previous findings that the adjusters on accurate estimates of There were several comments margins in Medicare dialysis care are payment and impact analyses. regarding timing, including comments extremely thin or negative and asked Response: We appreciate the expressing that implementation on CMS to bear in mind, to the extent commenter’s thoughts with regard to the January 1, 2018 took CMS too long and possible, when determining the overall rate setting file and we will consider other comments indicating that this is a base rate that many aspects of care that this suggestion for future updates. complex change for ESRD facilities and dialysis facilities provide are not Comment: A national kidney they will need time after CMS issues covered by the elements used to organization and a national dialysis guidance to incorporate that guidance calculate the base rate. The professional provider organization thanked CMS for into their billing systems and care association stated that this means that eliminating the medical director fee planning. In addition, commenters any new unfunded mandates (for limitation that had been a policy left urged us to coordinate with Medicare example, requirements to use pre-filled over from before dialysis facilities were Advantage as well as Part D to ensure VerDate Sep<11>2014 19:01 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00016 Fmt 4701 Sfmt 4700 E:\FR\FM\01NOR2.SGM 01NOR2 sradovich on DSK3GMQ082PROD with RULES2 Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Rules and Regulations 50753 a seamless conversion of calcimimetics necessary to assist providers in proper research methodology and will consider from Part D to Part B. Commenters cost allocation, and leads to significant the suggestions for future updates. requested that we closely monitor inconsistency in cost reporting. Comment: We received many other patient access and outcomes related to In addition, a patient advocacy comments that were beyond the scope calcimimetics, and expressed concern organization noted that CMS previously of the CY 2018 ESRD PPS proposed rule about coinsurance and the need to stated that it would review cost reports including the following suggestions: support innovation, especially for new to better understand the costs of home Develop a renal-specific productivity drugs within the existing ESRD PPS dialysis training. The organization factor; require the sharing of dialysis functional categories. They also raised inquired about CMS’s progress towards patient information with the treating issues regarding refills, CMS this goal. ESRD facility after a hospitalization to reimbursing for shipping and Response: We appreciate the promote health information technology dispensing costs, and reporting the drug commenters’ thoughts and suggestions initiatives; allow ESRD facilities to dispensed rather than the amount used on the CMS cost reports and audits. The include the 50 cents per treatment by patients. Lastly, a national dialysis audit process is underway, but not Network Fee on their cost reports; provider association commented that complete at this time. We will take encourage home dialysis by consistently nephrologists have voiced concerns commenters’ views into consideration covering the costs of home training and about the potential implications of CMS for future cost report updates. more frequent treatments by home reimbursement policies relating to Comment: Although CMS did not patients; and preserve the public-private calcimimetics under the physician self- propose any changes to the case-mix partnership for ESRD care and ensure referral law. and facility-level adjustments under the that private insurers are incentivized to Response: We plan to issue guidance ESRD PPS, we received many comments cover 30 months of dialysis or soon that will address the issues raised from national dialysis provider transplantation services as well as by commenters. We do not understand organizations, large dialysis preventive care for patients with some of the commenters’ concerns organizations, and patient advocacy diabetes and hypertension to slow the because oral equivalents of IV organizations expressing concern about progression of chronic kidney disease to medications currently in the ESRD PPS the payment adjustments under the ESRD. bundled payment and other oral ESRD PPS, specifically the use of cost Response: We appreciate receiving medications used for the treatment of reports for patient-level adjustments. these comments so that we are aware of ESRD (that is, oral drugs that fit into the They recommended that CMS update issues impacting ESRD facilities and established ESRD PPS functional the standardization factor using the beneficiaries. However, we did not categories) have been covered under the most current data available. include any proposals regarding these ESRD PPS since 2011 when the ESRD The commenters stated that they have topics in the CY 2018 ESRD PPS PPS bundled system was first recommended several steps that CMS proposed rule, and therefore we implemented. Because of this, we consider these suggestions to be beyond believe that ESRD facilities would have should take to address shortcomings with the case-mix adjusters’ validity and the scope of this rule. existing relationships with pharmacies Comment: A national dialysis that could provide oral drugs to ESRD accuracy. Until those steps are taken, the organizations asserted that CMS provider association and a national patients and these pharmacies could dialysis organization recommended also furnish the oral calcimimetics. should not apply the case-mix adjustments and restore the dollars clarification regarding patients with AKI Comment: MedPAC commented that who do not recover kidney function and section 217(e) of PAMA required the historically removed from the base rate to reflect the frequency and size of the transition to become ESRD patients. Secretary to conduct audits of Medicare Specifically, these commenters cost reports beginning in 2012 for a revised adjusters. They also recommended that CMS have an requested guidance related to Medicare representative sample of freestanding eligibility, transplant wait list, and and hospital-based facilities furnishing independent, third-party perform a peer review of the research methodology incident patient modifier. dialysis services. To support this effort, Response: We appreciate the feedback the law authorized the Secretary to employed within the ESRD PPS and asked that CMS consider the comments on this issue and we will consider this transfer $18 million (in fiscal year 2014) topic for future guidance. from the Federal Supplementary regarding methodology submitted by the Medical Insurance Trust Fund to CMS’s public and provide substantive III. Calendar Year (CY) 2018 Payment program management. In September responses on the record to address for Renal Dialysis Services Furnished 2015, CMS awarded a contract to concerns. Commenters also asked that to Individuals With Acute Kidney conduct the audit. MedPAC strongly CMS provide more detailed data to Injury (AKI) encouraged CMS to accelerate the allow for a complete analysis of the A. Background audit’s completion and release its final ESRD PPS. For example, commenters results, and emphasized the importance requested a comprehensive list of On June 29, 2015, the Trade of auditing the cost reports that dialysis variables, descriptions, and analyses Preferences Extension Act of 2015 facilities submit to CMS to ensure the that could resolve the variances (TPEA) (Pub. L. 114–27) was enacted. In data are accurate. identified in the dialysis industry’s the TPEA, the Congress amended the An organization of small and analysis of the ESRD PPS methodology. Social Security Act (the Act) to include independent dialysis facilities agreed, They also stated that a more coverage and provide for payment for stating that standardized cost reports comprehensive list of data elements dialysis furnished by an ESRD facility to can improve payment accuracy in the would clarify the CMS contractor’s an individual with acute kidney injury ESRD PPS and thus the organization conclusions and allow them to better (AKI). Specifically, section 808(a) of the seeks to partner with CMS to develop address the underpayment of the ESRD TPEA amended section 1861(s)(2)(F) of standardized cost reports and reporting PPS. the Act to provide coverage for renal guidance for ESRD facilities. The Response: We appreciate the dialysis services furnished on or after organization indicated that the current commenters’ thoughts with regard to the January 1, 2017, by a renal dialysis reporting structure lacks the detail ESRD PPS case-mix adjustments and facility or a provider of services paid VerDate Sep<11>2014 19:01 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00017 Fmt 4701 Sfmt 4700 E:\FR\FM\01NOR2.SGM 01NOR2 sradovich on DSK3GMQ082PROD with RULES2 50754 Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Rules and Regulations under section 1881(b)(14) of the Act to ESRD facilities; national renal groups, treatment AKI dialysis payment rate. We an individual with AKI. Section 808(b) nephrologists and patient organizations; proposed a CY 2018 AKI dialysis of the TPEA amended section 1834 of patients and care partners; payment rate of $233.31, adjusted by the the Act by adding a new subsection (r) manufacturers; health care systems; and ESRD facility’s wage index. to the Act. Subsection (r)(1) of section nurses. The comments and our responses to 1834 of the Act provides for payment, In this final rule, we provide a the comments on this AKI payment beginning January 1, 2017, for renal summary of the proposed provision, a proposal are set forth below. dialysis services furnished by renal summary of the public comments Comment: We received a comment dialysis facilities or providers of received and our responses to them, and from MedPAC stating that the AKI services paid under section 1881(b)(14) the policies we are finalizing for CY payment policy should be site-neutral of the Act to individuals with AKI at the 2018 payment for renal dialysis services for all settings, including hospital end-stage renal disease (ESRD) furnished to individuals with AKI. outpatient departments and ESRD prospective payment system (PPS) base facilities. MedPAC stated that this rate, as adjusted by any applicable 1. Annual Payment Rate Update for CY policy would lower spending for geographic adjustment applied under 2018 beneficiaries and taxpayers and reduce section 1881(b)(14)(D)(iv)(II) of the Act a. CY 2018 AKI Dialysis Payment Rate incentives to provide service in a higher and may be adjusted by the Secretary of paid sector since payment rates should The payment rate for AKI dialysis is the Department of Health and Human be based on the setting where the ESRD PPS base rate determined for Services (the Secretary) (on a budget beneficiaries have adequate access to a year under section 1881(b)(14) of the neutral basis for payments under section good quality care at the lowest cost to Act, which is the finalized ESRD PPS 1834(r) of the Act) by any other beneficiaries and the program, adjusting base rate. We note that ESRD facilities adjustment factor under section for differences in patient severity. have the ability to bill Medicare for non- 1881(b)(14)(D) of the Act. MedPAC suggested that the Centers for In the calendar year (CY) 2017 ESRD renal dialysis items and services and Medicare & Medicaid Services (CMS) PPS final rule, we finalized several receive separate payment in addition to should pursue legislative authority to coverage and payment policies in order the payment rate for AKI dialysis. implement such a policy. to implement subsection (r) of section As discussed in the CY 2018 ESRD Response: We appreciate MedPAC’s 1834 of the Act and the amendments to PPS proposed rule (82 FR 31201), the comment with regard to site-neutrality section 1881(s)(2)(F) of the Act, CY 2018 proposed ESRD PPS base rate and pursuing legislative authority. We including the payment rate for AKI was $233.31, which reflected the did not propose any specific changes to dialysis (81 FR 77866 through 77872). proposed ESRD bundled market basket our AKI payment policies in the CY We interpret section 1834(r)(1) of the and multifactor productivity 2018 ESRD PPS proposed rule, and Act to mean the amount of payment for adjustment. Therefore, we proposed a therefore we consider this comment to AKI dialysis services is the base rate for CY 2018 per treatment payment rate of be outside the scope of this rule. As we renal dialysis services determined for $233.31 for renal dialysis services noted in the CY 2017 ESRD PPS final such year under the ESRD base rate as furnished by ESRD facilities to rule (81 FR 77868), section 808(b) of set forth in 42 CFR 413.220, updated by individuals with AKI. TPEA did not address payments to the ESRD bundled market basket b. Geographic Adjustment Factor hospital outpatient departments for percentage increase factor minus a dialysis services furnished to productivity adjustment as set forth in Section 1834(r)(1) of the Act further beneficiaries with AKI. 42 CFR 413.196(d)(1), adjusted for provides that the amount of payment for Comment: Two national dialysis wages as set forth in 42 CFR 413.231, AKI dialysis services shall be the base organizations and a large dialysis and adjusted by any other amounts rate for renal dialysis services organization asked that we affirm the deemed appropriate by the Secretary determined for a year under section distinction between AKI patients and under 42 CFR 413.373. We codified this 1881(b)(14) of the Act, as adjusted by ESRD beneficiaries, ensure sufficient policy in § 413.372. any applicable geographic adjustment funds are available to meet the factor applied under section utilization of AKI services by Medicare B. Summary of the Proposed Provisions, 1881(b)(14)(D)(iv)(II) of the Act. We beneficiaries since the Congress did not Public Comments, and Responses to interpret the reference to ‘‘any mandate that CMS implement the Comments on CY 2018 Payment for applicable geographic adjustment factor provisions of TPEA in a budget-neutral Renal Dialysis Services Furnished to applied under subparagraph (D)(iv)(II) manner, and also affirm that the ESRD Individuals With AKI of such section’’ to mean the geographic Network fee does not apply to AKI The proposed rule, entitled ‘‘Medicare adjustment factor that is actually treatments. The commenters noted that Program; End-Stage Renal Disease applied to the ESRD PPS base rate for the ESRD Networks are charged with Prospective Payment System, Payment a particular facility. Accordingly, we focusing on patients with ESRD, and for Renal Dialysis Services Furnished to apply the same wage index that is used therefore, the Network fee should not be Individuals with Acute Kidney Injury, under the ESRD PPS, as discussed in the applied to AKI payments. and End-Stage Renal Disease Quality CY 2018 ESRD PPS proposed rule (82 A professional association, clinician’s Incentive Program’’ (82 FR 31190 FR 31201). In the CY 2017 ESRD PPS group, and a national dialysis provider through 31233), hereinafter referred to final rule (81 FR 77868), we finalized association commented that CMS did as the CY 2018 ESRD PPS proposed that the AKI dialysis payment rate will not fully reflect the nuances of the rule, was published in the Federal be adjusted for wage index for a distinctly different needs of AKI Register on July 5, 2017, with a particular ESRD facility in the same way patients from ESRD patients in the AKI comment period that ended on August that the ESRD PPS base rate is adjusted coverage and payment policy 28, 2017. In that proposed rule, we for wage index for that facility. implemented in the CY 2017 ESRD PPS proposed to update the AKI dialysis Specifically, we apply the wage index to final rule. Specifically, the association payment rate. We received the labor-related share of the ESRD PPS noted the time and cost of educating approximately 9 public comments on base rate that we utilize for AKI dialysis staff about AKI dialysis and extra our proposal, including comments from to compute the wage adjusted per- attention required by AKI patients and VerDate Sep<11>2014 19:01 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00018 Fmt 4701 Sfmt 4700 E:\FR\FM\01NOR2.SGM 01NOR2 sradovich on DSK3GMQ082PROD with RULES2 Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Rules and Regulations 50755 more frequent laboratory monitoring of AKI population and its associated Response: We appreciate the feedback blood and urine. The commenters urged utilization, we will determine the on historic utilization and agree that CMS to closely track utilization of items appropriate steps toward further current data is the most appropriate for and services that are included in the developing the AKI payment rate. use with regard to the AKI population. ESRD PPS bundled payment to ensure Finally, regarding the comment about The AKI monitoring program will that payment is appropriate for AKI the applicability of the ESRD Network include current data and will be used to dialysis. fee to AKI treatments, we note that we inform future payment policy, including The provider association also stated discussed that issue in detail in the CY any potential adjustments to the AKI that as we learn more about the 2017 ESRD PPS final rule (81 FR 77867 payment rate. As we stated in the CY provision of services to these patients, it through 77678). We explained that after 2017 ESRD PPS final rule (81 FR 77871), may become apparent that an AKI considering comments and reviewing we will develop public use files for the adjustment to the payment rate is the applicable statutory provision, we utilization of these services, but we do necessary to address the differences in will not apply the ESRD Network fee to not anticipate that this data will be the services provided to AKI patients. the AKI dialysis payment rate. available until we have at least 1 full The commenter was pleased that CMS Comment: We received comments year of claims data. If stakeholders have recognized in the CY 2017 ESRD PPS from national provider organizations, additional clinical data regarding final rule that adjustments may be large dialysis organizations, and a drug utilization and the treatments necessary in the future, as well as the manufacturer providing evidence that administered to AKI patients, we would need to bill certain services separately. the AKI utilization estimates included welcome the receipt of that data in de- Response: We agree with the in the CY 2018 ESRD PPS proposed rule identified form. commenters that care for AKI patients is may be inaccurate. These organizations Comment: National provider different from the care provided to indicated that the outpatient data used organizations suggested that an AKI individuals with ESRD. With respect to to estimate the shift in services from the specific modifier should be identified the comment about ensuring sufficient outpatient hospital setting to the ESRD for laboratory tests and drugs used by funds are available for AKI payments, facility may underestimate the number AKI patients and should allow separate we note that AKI treatments of beneficiaries that received treatment payment. Commenters suggested that administered in an ESRD facility for AKI. The organizations stated this CMS issue guidance defining the represent a shift in service from the underestimation could be due to utilization of this modifier, for example, hospital outpatient department to the for laboratory tests repeated more hospitals not consistently billing for ESRD facility and therefore represent a frequently for AKI patients than for dialysis treatments administered to savings to the Medicare Trust Fund, ESRD patients. These organizations also beneficiaries with AKI. since reimbursement for services believe that the AY modifier should not Response: We agree that the estimates provided in an ESRD facility is lower be used on AKI claims. Rather, they than services provided in a hospital used in the CY 2018 ESRD PPS recommended that CMS identify a new setting. As we stated in the CY 2017 proposed rule underestimated the AKI-specific modifier, which would ESRD PPS final rule (81 FR 77867), we number of beneficiaries receiving allow CMS and providers to track believe the definition of an individual treatments for AKI. When the CY 2018 utilization of key products and services with AKI set forth in TPEA provides an ESRD PPS proposed rule was by AKI patients to better inform policy appropriate way to distinguish patients developed, we used the best available in future rulemaking. One commenter with AKI from patients with ESRD. information, which was information asked that such modifiers be Additionally, the TPEA did not mandate regarding treatments provided in a appropriately flagged in both the rate implementation on a budget-neutral hospital outpatient setting. In the time setting and standard analytic data files basis. between the publication of the CY 2018 to ensure transparency to the public for As we discussed in the CY 2017 ESRD ESRD PPS proposed rule and the CY the purpose of analysis. PPS final rule (81 FR 77868), we 2018 ESRD PPS final rule, data Another dialysis organization stated finalized a policy that the AKI dialysis regarding actual ESRD facility that with regard to AKI and billing, it is payment rate is the final ESRD PPS base utilization of treatments provided to still not clear which claim modifiers are rate adjusted by the wage index that is beneficiaries with AKI has become required for Medicare claims for AKI used under the ESRD PPS. We stated available. As a result, CMS has revised patients. They requested that CMS that we are not adjusting the payment the impact analysis for AKI payment provide specific clarification on this amount by any other factors at this time, from $2 million to $20 million for CY issue. but may do so in future years. To 2018. Response: We appreciate the feedback address the higher costs associated with Comment: National provider on the operationalization of AKI claim AKI patients as compared to ESRD organizations, a large dialysis submission. As we noted in the CY 2017 patients, we finalized a policy of paying organization, and a patient advocacy ESRD PPS final rule (81 FR 77867), the for all AKI dialysis treatments provided organization requested that CMS TPEA requires that we pay ESRD to a patient, without applying the explain the AKI monitoring program facilities for renal dialysis services monthly treatment limits applicable and the transparent provision of data furnished to beneficiaries with AKI in under the ESRD PPS. We also finalized related to the program. These the amount of the wage-adjusted ESRD a policy to pay separately for all items commenters noted that historic PPS base rate. In addition, we stated and services that are not part of the utilization may not be representative of there is no weekly limit on the number ESRD PPS base rate. We have created the actual prevalence of AKI patients of treatments that will be paid. ESRD the ability through our claims requiring dialysis due to operational facilities will receive payment based on processing systems to identify models used by hospital outpatient the applicable Part B fee schedules for individuals with AKI in order to track departments and suggested that current other items and services that are not the utilization of services and their data be used to develop an AKI considered to be renal dialysis services. health outcomes to ensure these patients adjustment as necessary to address the As we stated in the CY 2017 ESRD PPS are receiving the care they require. Once differences in the services provided to final rule, we continue to believe that we have substantial data related to the AKI patients. these payment considerations are VerDate Sep<11>2014 19:01 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00019 Fmt 4701 Sfmt 4700 E:\FR\FM\01NOR2.SGM 01NOR2 sradovich on DSK3GMQ082PROD with RULES2 50756 Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Rules and Regulations sufficient for Medicare payment of renal Comment: A patient advocacy due to access site difficulties and fluid dialysis services furnished to organization expressed support for our overload. In a review of data, we have beneficiaries with AKI. As these proposal to adjust the AKI payment rate found very few claims for pediatric AKI services evolve in ESRD facilities, we by only the geographic and wage patients. can address any changes in future indices. This commenter further noted Comment: A national dialysis rulemaking. We will also provide billing that, for some patients, peritoneal provider association and a national guidance as necessary to address dialysis (PD) is the most appropriate dialysis organization recommended updates to modifier rules and claims modality. Additionally, some AKI modifying cost reports to separately submission. patients can safely dialyze at home and capture certain AKI costs. Specifically, Comment: A software vendor have their urine and blood tests they recommended that new rows requested that we clarify whether the performed for the assessment of kidney should be added to Worksheet D for AKI TDAPA applies to AKI services. function in a location closer to home. hemodialysis treatments and PD Response: We will issue additional The commenter recommended that treatments. They stated the instructions program guidance that will address the home training be paid separately, should explain that AKI treatments are application of the TDAPA to AKI without dollars removed from the base to be reported separately from all other services and other billing guidance. If rate. ESRD dialysis treatments. Response: We appreciate the we determine that it is appropriate for Response: We agree that updates will the TDAPA to apply to AKI services, we commenter’s support for our AKI payment rate proposal. With regard to need to be made to the dialysis facility would consider that to be a substantive cost report in order to differentiate costs payment policy which would be PD, we agree that it is an appropriate modality for some beneficiaries, of AKI dialysis treatments from established through notice and treatments provided for the treatment of comment rulemaking. however, in the CY 2017 ESRD PPS final rule, we stated that we do not ESRD. We are currently developing the Comment: A health system and a transmittal that will update the cost provider organization commented that expect that AKI beneficiaries will dialyze at home (81 FR 77870 through report to allow for the differentiation including AKI treatments in the count to between AKI treatments and treatments determine eligibility for the low-volume 77871). We continue to believe that this is a population that requires close for ESRD. payment adjustment (LVPA) is medical supervision by qualified staff Final Rule Action: We are finalizing inappropriate. The commenters believe during their dialysis treatment. We the AKI payment rate as proposed, that that including these treatments in that affirm in this final rule that payment is, based on the finalized ESRD PPS count could discourage facilities from will only be made for in-center PD or base rate. Specifically, the final CY 2018 accepting AKI patients if their treatment hemodialysis treatments for AKI ESRD PPS base rate is $232.37. jeopardizes their low volume status. The beneficiaries. We will monitor this Accordingly, we are finalizing a CY commenters also believe that including policy to determine if changes are 2018 payment rate for renal dialysis AKI treatments in the LVPA count, but necessary in the future, understanding services furnished by ESRD facilities to not applying the LVPA to those that there may be a subset of patients for individuals with AKI as $232.37. treatments, is an inconsistent whom AKI dialysis at home is an IV. End-Stage Renal Disease (ESRD) application of the LVPA policy. appropriate treatment. We appreciate An industry organization urged CMS Quality Incentive Program (QIP) for the commenter’s insight on the home Payment Year (PY) 2021 to include the rural adjustment in the training add-on payment. AKI payment to reflect the increased Comment: One industry organization A. Background cost necessary to provide high-quality urged CMS to adopt a pediatric care since rural facilities face all of the adjustment for facilities that treat For over 30 years, monitoring the same challenges in the providing pediatric AKI patients, while another quality of care provided to end-stage dialysis treatment to AKI patients as industry organization recognized that renal disease (ESRD) patients by dialysis they do to ESRD patients. pediatric patients are only covered for providers or facilities (hereinafter Response: We appreciate the ESRD and expressed support for our referred to collectively as ‘‘facility’’ or commenters’ feedback on the payment policy and appreciation that ‘‘facilities’’) has been an important application of the LVPA to AKI dialysis CMS recognizes the treatment component of the Medicare ESRD treatments as well as their inclusion differences in the ESRD and AKI payment system. The ESRD quality toward a facility’s eligibility. Since the populations. incentive program (QIP) is the most policy regarding eligibility for the LVPA Response: We appreciate the support recent step in fostering improved is based on all treatments provided by and comments with regard to our AKI patient outcomes by establishing a facility, including non-Medicare payment policy, especially for pediatric incentives for dialysis facilities to meet treatments, we determined that the patients. As we evaluate and monitor or exceed performance standards policy should also include AKI dialysis the payments for AKI treatments, we established by the Centers for Medicare treatments, not just ESRD treatments at will continue to evaluate the & Medicaid Services (CMS). this time (81 FR 77869). In the CY 2017 appropriateness of the ESRD case-mix Under the ESRD QIP, payments made ESRD PPS final rule (81 FR 77868), we adjustments, including the pediatric to a dialysis facility by Medicare under discussed not applying the case-mix adjustment. The current clinical section 1881(b)(14) of the Social adjusters to the payment for AKI literature (Walters, Scott & Porter, Craig Security Act (the Act) for a year are treatments because those adjusters were & Brophy, Patrick. (2008). Dialysis and reduced by up to 2 percent if the facility developed based on ESRD treatments, pediatric acute kidney injury: Choice of does not meet or exceed the total and we continue to believe this is the renal support Modality. Pediatric performance score (TPS) with respect to most appropriate policy. As we nephrology (Berlin, Germany). 24. 37– performance standards established by continue to monitor data, we will 48. 10.1007/s00467–008–0826–x) the Secretary of the Department of review the efficacy of our LVPA and indicates that pediatric treatment for Health and Human Services (the rural policies to determine if AKI is most commonly done in an Secretary) with respect to certain modification is required. intensive care unit, not an ESRD facility specified measures. VerDate Sep<11>2014 19:01 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00020 Fmt 4701 Sfmt 4700 E:\FR\FM\01NOR2.SGM 01NOR2 sradovich on DSK3GMQ082PROD with RULES2 Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Rules and Regulations 50757 In the calendar year (CY) 2012 ESRD and updated other policies for the factors of which are also sometimes PPS final rule (76 FR 70228), published program. referred to as socioeconomic status in the Federal Register on November 10, The ESRD QIP is authorized by factors or socio-demographic status 2011, we set forth certain requirements section 1881(h) of the Act, which was factors), play a major role in health. One for the ESRD QIP for payment years added by section 153(c) of Medicare of our core objectives is to improve (PYs) 2013 and 2014. Improvements for Patients and beneficiary outcomes, including In the CY 2013 ESRD PPS final rule Providers Act of 2008 (MIPPA). Section reducing health disparities, and we (77 FR 67450), published in the Federal 1881(h) of the Act requires the Secretary want to ensure that all beneficiaries, Register on November 9, 2012, we set to establish an ESRD QIP by (1) including those with social risk factors, forth requirements for the ESRD QIP, selecting measures; (2) establishing the receive high quality care. In addition, including for payment year 2015 and performance standards that apply to the we seek to ensure that the quality of beyond. In that rule, we added several individual measures; (3) specifying a care furnished by facilities is assessed as new measures to the ESRD QIP’s performance period with respect to a fairly as possible under our programs measure set and expanded the scope of year; (4) developing a methodology for while ensuring that beneficiaries have some of the existing measures. We also assessing the total performance of each adequate access to high quality care. established CY 2013 as the performance facility based on the performance We have reviewed reports prepared period for the PY 2015 ESRD QIP, standards with respect to the measures by the Office of the Assistant Secretary established performance standards and for a performance period; and (5) for Planning and Evaluation (ASPE) 1 adopted scoring and payment applying an appropriate payment and the National Academies of methodologies similar to those finalized reduction to facilities that do not meet Sciences, Engineering, and Medicine on for the PY 2014 ESRD QIP. or exceed the established Total the issue of accounting for social risk In the CY 2014 ESRD PPS final rule Performance Score (TPS). factors in CMS’ value-based purchasing and quality reporting programs, and (78 FR 72156), published in the Federal B. Summary of the Proposed Provisions, considered options on how to address Register on December 2, 2013, we set Public Comments, Responses to the issue in these programs. On forth requirements for the ESRD QIP, Comments, and Newly Finalized December 21, 2016, ASPE submitted a including for PY 2016 and beyond. In Policies for the End-Stage Renal Disease Report to Congress on a study it was that rule, we added several new (ESRD) Quality Incentive Program (QIP) required to conduct under section 2(d) measures to the ESRD QIP’s measure The proposed rule, entitled ‘‘Medicare set, established the performance period of the Improving Medicare Post-Acute Program; End-Stage Renal Disease Care Transformation (IMPACT) Act of for the PY 2016 ESRD QIP, established Prospective Payment System, Payment performance standards for the PY 2016 2014. The study analyzed the effects of for Renal Dialysis Services Furnished to certain social risk factors in Medicare measures, and adopted scoring and Individuals with Acute Kidney Injury, beneficiaries on quality measures and payment reduction methodologies that and End-Stage Renal Disease Quality measures of resource use that are used were similar to those finalized for the Incentive Program’’ (82 FR 31190 in one or more of nine Medicare value- PY 2015 ESRD QIP. through 31233), hereinafter referred to based purchasing programs, including In the CY 2015 ESRD PPS final rule as the CY 2018 ESRD PPS proposed the ESRD QIP.2 The report also included (79 FR 66120), published in the Federal rule, was published in the Federal considerations for strategies to account Register on November 6, 2014, we Register on July 5, 2017, with a for social risk factors in these programs. finalized requirements for the ESRD comment period that ended on August In a January 10, 2017 report released by QIP, including for PYs 2017 and 2018. 28, 2017. In that proposed rule, we The National Academies of Sciences, In that rule, we finalized the measure proposed updates to the ESRD QIP, Engineering, and Medicine, that body set for both PY 2017 and PY 2018, including for PY 2019 through PY 2021. provided various potential methods for revised the In-Center Hemodialysis We received approximately 58 public measuring and accounting for social risk Consumer Assessment of Healthcare comments on our proposals, including factors, including stratified public Providers System (ICH CAHPS) comments from large dialysis reporting.3 Reporting Measure, revised the Mineral organizations, renal dialysis facilities, As noted in the fiscal year (FY) 2017 Metabolism Reporting Measure, national renal groups, nephrologists, Inpatient Prospective Payment System/ finalized the Extraordinary patient organizations, patients and care Long-Term Care Hospital Prospective Circumstances Exemption (ECE) policy, partners, manufacturers, health care Payment System (IPPS/LTCH PPS) final and finalized a new scoring systems; nurses, and other stakeholders. rule (81 FR 56762 through 57345), the methodology beginning with PY 2018. In this final rule, we provide a National Quality Forum (NQF) In the CY 2016 ESRD PPS final rule summary of each proposed provision, a undertook a 2-year trial period in which (80 FR 68968), published in the Federal summary of the public comments Register on November 6, 2015, we set received and our responses to them, and 1 Office of the Assistant Secretary for Planning forth requirements for the ESRD QIP, the policies we are finalizing for the and Evaluation. 2016. Report to Congress: Social including for PY 2017 through PY 2019. ESRD QIP, including for PYs 2019 Risk Factors and Performance Under Medicare’s In that rule, we finalized the PY 2019 Value-Based Purchasing Programs. Available at: through 2021. https://aspe.hhs.gov/pdf-report/report-congress- measure set, reinstated the ICH CAHPS social-risk-factors-and-performance-under- Reporting Measure attestation beginning 1. Accounting for Social Risk Factors in medicares-value-based-purchasing-programs. with PY 2017, and revised the small the ESRD QIP. 2 Office of the Assistant Secretary for Planning facility adjuster (SFA) beginning with In the CY 2018 ESRD PPS proposed and Evaluation. 2016. Report to Congress: Social Risk Factors and Performance Under Medicare’s PY 2017. rule (82 FR 31202), we discussed the Value-Based Purchasing Programs. Available at: In the CY 2017 ESRD PPS final rule issue of accounting for social risk factors https://aspe.hhs.gov/pdf-report/report-congress- (81 FR 77834), published in the Federal in the ESRD QIP. We understand that social-risk-factors-and-performance-under- Register on November 4, 2016, we set social risk factors such as income, medicares-value-based-purchasing-programs. 3 National Academies of Sciences, Engineering, forth new requirements for the ESRD education, race and ethnicity, and Medicine. 2017. Accounting for social risk QIP, including new quality measures employment, disability, community factors in Medicare payment. Washington, DC: The beginning with PY 2019 and PY 2020, resources, and social support (certain National Academies Press. VerDate Sep<11>2014 19:01 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00021 Fmt 4701 Sfmt 4700 E:\FR\FM\01NOR2.SGM 01NOR2 sradovich on DSK3GMQ082PROD with RULES2 50758 Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Rules and Regulations certain new measures, measures We note that in section V.I.9 of the FY requesting comments on how to account undergoing maintenance review, and 2018 IPPS/LTCH PPS final rule (82 FR for social risk factors in the ESRD QIP. measures endorsed with the condition 38229 through 38231), we finalized an They argued that beneficiaries with that they enter the trial period could be approach for stratifying hospitals into ESRD are disproportionately affected by assessed to determine whether risk peer groups for purposes of assessing social risk factors and stressed that in adjustment for selected social risk payment adjustments under the considering factors, CMS must strike the factors would be appropriate for these Hospital Readmissions Reduction correct balance to ensure it meets the measures. This trial entailed Program, as required under the 21st goals of assessing providers and temporarily allowing inclusion of social Century Cures Act of 2016 (Pub. L. 114– suppliers in a fair manner while not risk factors in the risk-adjustment 255). We refer readers to that section for masking disparities or dis-incentivizing approach for these measures. Recently, a detailed discussion of the final policy; the provision of care to more medically the NQF concluded this trial (http:// while this discussion is specific to the complex patients. Commenters added www.qualityforum.org/Publications/ Hospital Readmissions Reduction that CMS should continue to support 2017/07/Social_Risk_Trial_Final_ Program, it reflects the level of analysis further research to examine the costs of Report.aspx), and based on its findings, we would undertake when evaluating caring for beneficiaries with social risk the NQF will continue its work to methods and combinations of methods factors and to determine whether evaluate the impact of social risk factor for accounting for social risk factors in current payments adequately account adjustment on intermediate outcome CMS’ other value-based purchasing for these differences in care needs. and outcome measures for an additional programs, such as ESRD QIP. In Some of the factors commenters 3 years. The extension of this work will addition, in the CY 2018 ESRD PPS recommended for consideration by CMS allow the NQF to determine further how proposed rule (82 FR 31202), we include: (1) Functional status, because to effectively account for social risk requested public comment on which there is evidence that those from lower factors through risk adjustment and social risk factors might be most socioeconomic and minority groups other strategies in quality measurement. appropriate for stratifying measure have poorer functional status and that As we consider the analyses and scores and/or potential risk-adjustment this affects both their medical care and of a particular measure. Examples of recommendations from the ASPE report quality of life; (2) poverty and social risk factors include, but are not and the NQF trial on risk adjustment for education, because dialysis facilities limited to, dual eligibility/low-income quality measures, we are continuing to take care of a higher number of patients subsidy, race and ethnicity, and work with stakeholders. As we have in poverty with lower levels of geographic area of residence. We also previously communicated, we are education and these patients tend to be requested comments on which of these concerned about holding facilities to less adherent to medications, diet and factors, including current data sources different standards for the outcomes of fluid restrictions; (3) geography, because where this information would be their patients with social risk factors regional variation in transplantation available, could be used alone or in because we do not want to mask access is significant, as is regional combination, and whether other data potential disparities or minimize differences in waitlist times, which should be collected to better capture the ultimately could change the percentage incentives to improve the outcomes for effects of social risk. We will take disadvantaged populations. Keeping of patients on the waitlist and impact a commenters’ input into consideration as performance measure score; (4) family this concern in mind, we will continue we continue to assess the to seek public comment on whether we support; (5) ability to adhere to appropriateness and feasibility of medication regimens; (6) capacity for should account for social risk factors in accounting for social risk factors in the the ESRD QIP, and if so, what method follow-up; (7) insurance status; (8) ESRD QIP. We note that any such income; (9) race and ethnicity; (10) or combination of methods would be changes would be proposed through most appropriate for accounting for disability; and (11) community future notice-and-comment rulemaking. resources. social risk factors. Examples of potential We look forward to working with methods include: Adjustment of the stakeholders as we consider the issue of One commenter pointed out the payment adjustment methodology under accounting for social risk factors and importance of accounting for risk factors the ESRD QIP; adjustment of provider reducing health disparities in CMS that affect both pediatric patients and performance scores (for instance, programs. Of note, implementing any of those caring for pediatric patients stratifying facilities based on the the above methods would be taken into because some of these risk factors, in proportion of their patients who are consideration in the context of how this particular those present among the dual eligible); confidential reporting of and other CMS programs operate (for parents and caregivers of pediatric stratified measure rates to facilities; example, data submission methods, patients, may affect their ability to public reporting of stratified measure availability of data, statistical properly care for those patients. rates; risk adjustment of a particular considerations relating to reliability of Commenters urged CMS to consider a measure as appropriate based on data data calculations, among others), so we more robust set of social risk factors to and evidence; and redesigning payment also welcomed comment on operational meet the needs of the pediatric patient incentives (for instance, rewarding considerations. CMS is committed to population. They added that there must improvement for facilities caring for ensuring beneficiaries have access to be an accounting not only of race and patients with social risk factors or and receive high quality care, and the ethnicity, insurance status, and other incentivizing facilities to achieve health quality of care furnished by providers socioeconomic factors, but also their equity). In the CY 2018 ESRD PPS and suppliers is assessed fairly in CMS school attendance and performance, and proposed rule (82 FR 31202 through programs. peer interactions. Factors to consider for 31203), we requested comment on We requested comments on parents and other primary caregivers whether any of these methods should be accounting for social risk factors in the include their employment status, considered, and if so, which of these ESRD QIP. The comments and our fatigue, and financial strains among methods or combination of methods responses are set forth below. others. One commenter argued that would best account for social risk Comment: Many commenters dual-eligible status is the most factors in the ESRD QIP. expressed appreciation to CMS for consistent of all social risk factors in VerDate Sep<11>2014 19:01 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00022 Fmt 4701 Sfmt 4700 E:\FR\FM\01NOR2.SGM 01NOR2 sradovich on DSK3GMQ082PROD with RULES2 Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Rules and Regulations 50759 predicting which patients will have the providers. Future proposals would PSC would both benefit facilities and worst outcomes. follow further research and continued enhance the public’s understanding of A few commenters expressed stakeholder engagement. the TPS. concerns with our desire to look at Comment: Several commenters social risk factor adjustments. One 2. Changes to the Performance Score supported CMS’s proposed commenter expressed concerns that Certificate (PSC) Beginning With the PY simplification of the PSC and agreed there is already an issue with small 2019 ESRD QIP that the changes would make it easier sample sizes in the QIP, which would In the ESRD QIP final rule, which for patients to understand the facility’s likely be aggravated by dividing the published in the Federal Register on performance score. One commenter measure population into smaller January 5, 2011 (76 FR 628 through recommended that CMS review the subsets. The same commenter stated 646), we finalized a policy for informing white papers commissioned by Agency that small sample sizes the public of facility performance for Healthcare Research and Quality on disproportionately affect facilities that through facility-posted certificates (76 ‘‘Best Practices in Public Reporting,’’ only furnish ESRD care to patients in FR 637). Specifically, we finalized that which the commenter believes provide their homes or those that care for a these PSCs would include the following a good overview of principles for small number of pediatric ESRD information: (1) The TPS achieved by presenting health care quality patients because those facilities tend to the facility under the ESRD QIP with information to consumers. be small and are often scored only on respect to the payment year involved; Response: We thank the commenters a few measures. To collect this data, one (2) comparative data that shows how for their support. Our proposal was commenter argued that it should be well the facility’s TPS compares to the intended, in part, to address feedback straightforward for CMS to use its data national TPS; (3) the performance result we obtained during two patient to identify dual eligibility/low-income that the facility achieved on each engagement sessions that were open to subsidy data, as well as geographic area individual measure with respect to the the public.4 The majority of patients of residence. Another commenter added year involved; and (4) comparative data who took part in these sessions reported that it could be difficult to collect race/ that shows how well the facility’s that they felt overwhelmed by the ethnicity data but that patient self- individual quality measure performance amount of information that we currently reporting may be the most appropriate scores compare to the national include on the PSC, did not understand way to collect such data. performance result for each quality all of the information, and that they Response: We appreciate all the measure (76 FR 637). As the ESRD QIP focused mainly on specific data such as comments and interest in this topic. As has become more complex over the the facility scores or the comparison of we have previously stated, we are years and as new measures have been facility scores with the national median. concerned about holding providers to added to the program, the PSC has Patients also requested that the different standards for the outcomes of become a lengthy document that information be simplified and translated their patients with social risk factors, facilities are required to print and post into plain language. We believe that our because we do not want to mask in both English and Spanish for their changes to the PSC will make it easier potential disparities or minimize patients to view (77 FR 67517). We have for patients and their caregivers to incentives to improve outcomes for received feedback from the community understand how facilities perform under disadvantaged populations. We believe about the difficulty patients and their the ESRD QIP. that the path forward should incentivize families have with interpreting and We will review the recommended improvements in health outcomes for understanding the information reports and determine the feasibility of disadvantaged populations while contained on the PSC due to its sheer incorporating some of these suggestions. ensuring that beneficiaries have access volume and complexity. Comment: Several commenters did to excellent care. We intend to consider Section 1881(h)(6)(c) of the Act only not support CMS’s proposals to simplify all suggestions as we continue to assess requires that the PSC indicate the TPS the PSC, stating that the PSC should each measure and the overall program. achieved by the facility with respect to provide more rather than fewer details We appreciate that some commenters a program year. Therefore, to make the and that the current PSC helps patients recommended risk adjustment as a PSC a more effective and make informed decisions about their strategy to account for social risk understandable document for the care. One commenter pointed out that factors, while others stated a concern community, we proposed to shorten the section 1881(h)(6)(C) of the Act only that risk adjustment could minimize PSC by removing some of the refers to the TPS, but that section incentives and reduce efforts to address information that is currently included 1881(h)(6)(A) of the Act calls upon the disparities for patients with social risk on it. We proposed that beginning in PY Secretary to make information available factors. We intend to conduct further 2019, and continuing in future years, to the public including the total score, analyses on the impact of strategies such the PSC would indicate the facility’s comparisons to the national average, as measure-level risk adjustment and TPS, as required under section and performance on individual stratifying performance scoring to 1881(h)(6)(C) of the Act, as well as measures. account for social risk factors. In information sufficient to identify the Response: We thank commenters for addition, we appreciate the facility (for example, name, address, sharing their concerns. Our proposal recommendations from the commenters etc.). Additionally, we proposed to was intended to make the PSC easier to about consideration of specific social include information showing how the understand while still conveying risk factor variables and will examine facility’s TPS compared to the national important information about facility these variables and the feasibility of average TPS for that specific payment performance under the ESRD QIP. collecting one or more of these patient- year. We did not propose any other However, we agree that the data we are level variables. As we consider the changes to the requirements we feasibility of collecting patient-level previously finalized for the PSC. 4 ‘‘Executive Summary of the December 13 DFC– data and the impact of strategies to We requested comments on this ESRD QIP Patient Listening Session at the CMS Quality Conference,’’ December 20, 2016. account for social risk factors through proposal, and were particularly ‘‘Dialysis Facility Compare Patient Engagement further analysis, we will continue to interested in comments on whether the Session Debrief,’’ April 3, 2017, NORC at the evaluate the reporting burden on reduced amount of information on the University of Chicago. VerDate Sep<11>2014 19:01 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00023 Fmt 4701 Sfmt 4700 E:\FR\FM\01NOR2.SGM 01NOR2 sradovich on DSK3GMQ082PROD with RULES2 50760 Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Rules and Regulations removing, as well as other ESRD QIP ways to improve the PSC. We believe understandable by the community. The related data, should continue to be the revised PSC will address the information being removed from the publicly available. We intend to report commenter’s recommendations. The PSC will still be available in other these data on Dialysis Facility Compare revised PSC contains a more simply locations and we encourage (DFC) and cms.gov. displayed TPS for each facility as well beneficiaries and their families to use all Comment: A patient advocacy as the national average, but no national the resources currently available to organization recommended that the PSC median. We are excluding the national them to make informed decisions about be simplified by including just a simple median because it does not increase the care they receive. understanding of facility performance cumulative number, such as the TPS, 3. Requirements Beginning With the PY and may cause unnecessary confusion. because it believed that this number 2020 ESRD QIP would be most useful, and would be The new PSC also does not contain something that most people would decimals or percentages unless the a. Clarification of the Minimum Data likely look at. This organization also average is a decimal, and it directs those Policy for Scoring Measures Finalized believed that it is potentially confusing viewing the document to review for the PY 2020 ESRD QIP to have the national average presented additional information on the CMS.gov Under our current policy, we begin along with the national median given Web site and on Dialysis Facility counting the number of months in that very few people understand what a Compare. We are still considering the which a facility is open on the first day median is. The organization best format for display and we intend to of the month after the facility’s CMS additionally thought that the phrases for make the explanations on the PSC as certification number (CCN) Open Date. each row would be more plan language as possible to increase In the CY 2017 ESRD PPS final rule (81 understandable and helpful if they were understanding of the document. FR 77926), we inadvertently made worded in a simpler manner, decimals Final Rule Action: After careful errors in finalizing how we intended and percentages should be presented consideration of the comments received, this policy to apply to a number of consistently, and that the language we are finalizing our proposal, as measures in the PY 2020 ESRD QIP. around scores could be simplified. proposed, to update the PSC. We believe Table 19 finalized in the CY 2017 Response: We thank the commenter these changes will help make the ESRD PPS final rule (81 FR 77926) has for sharing these recommendations for document more easily readable and been duplicated here, as Table 2(a): TABLE 2(a)—PREVIOUSLY FINALIZED MINIMUM DATA REQUIREMENTS FOR THE PY 2020 ESRD QIP Measure Minimum data requirements CCN open date Small facility adjuster Dialysis Adequacy (Clin- 11 qualifying patients ...... N/A ...... 11–25 qualifying patients. ical). Vascular Access Type: 11 qualifying patients ...... N/A ...... 11–25 qualifying patients. Catheter (Clinical). Vascular Access Type: Fis- 11 qualifying patients ...... N/A ...... 11–25 qualifying patients. tula (Clinical). Hypercalcemia (Clinical) .... 11 qualifying patients ...... N/A ...... 11–25 qualifying patients. NHSN Bloodstream Infec- 11 qualifying patients ...... On or before January 1, 11–25 qualifying patients. tion (Clinical). 2018. NHSN Dialysis Event (Re- 11 qualifying patients ...... On or before January 1, N/A. porting). 2018. SRR (Clinical) ...... 11 index discharges ...... N/A ...... 11–41 index discharges. STrR (Clinical) ...... 10 patient-years at risk ...... N/A ...... 10–21 patient-years at risk. SHR (Clinical) ...... 5 patient-years at risk ...... N/A ...... 5–14 patient-years at risk. ICH CAHPS (Clinical) ...... Facilities with 30 or more survey-eligible patients dur- On or before January 1, N/A. ing the calendar year preceding the performance 2018. period must submit survey results. Facilities will not receive a score if they do not obtain a total of at least 30 completed surveys during the performance period. Anemia Management (Re- 11 qualifying patients ...... Before July 1, 2018 ...... N/A. porting). Serum Phosphorus (Re- 11 qualifying patients ...... Before July 1, 2018 ...... N/A. porting). Depression Screening and 11 qualifying patients ...... Before July 1, 2018 ...... N/A. Follow-Up (Reporting). Pain Assessment and Fol- 11 qualifying patients ...... Before July 1, 2017 ...... N/A. low-Up (Reporting). NHSN Healthcare Per- N/A ...... Before January 1, 2018 ..... N/A. sonnel Influenza Vac- cination (Reporting). Ultrafiltration Rate (Report- 11 qualifying patients ...... Before July 1, 2018 ...... N/A. ing). In the CY 2018 ESRD PPS proposed any changes to the methodology we use reporting measures, or to the minimum rule (82 FR 31203), we proposed the to count the number of months for number of cases (qualifying patients, intended application of this policy for which a facility is open for purposes of survey-eligible patients, index PY 2020. We did not propose to make scoring facilities on clinical and discharges, or patient-years at risk) that VerDate Sep<11>2014 19:01 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00024 Fmt 4701 Sfmt 4700 E:\FR\FM\01NOR2.SGM 01NOR2 sradovich on DSK3GMQ082PROD with RULES2 Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Rules and Regulations 50761 applies to each measure. Table 2(b) measures finalized for PY 2020, as well eligible to receive a score on a reporting displays the proposed revised patient as the proposed revised CCN Open measure. minimum requirements for each of the Dates after which a facility would not be TABLE 2(b)—PROPOSED REVISED MINIMUM DATA REQUIREMENTS FOR THE PY 2020 ESRD QIP Measure Minimum data requirements CCN open date Small facility adjuster Dialysis Adequacy (Clin- 11 qualifying patients ...... N/A ...... 11–25 qualifying patients. ical). Vascular Access Type: 11 qualifying patients ...... N/A ...... 11–25 qualifying patients. Catheter (Clinical). Vascular Access Type: Fis- 11 qualifying patients ...... N/A ...... 11–25 qualifying patients. tula (Clinical). Hypercalcemia (Clinical) .... 11 qualifying patients ...... N/A ...... 11–25 qualifying patients. NHSN Bloodstream Infec- 11 qualifying patients ...... Before January 1, 2018 ..... 11–25 qualifying patients. tion (Clinical). NHSN Dialysis Event (Re- 11 qualifying patients ...... Before January 1, 2018 ..... N/A. porting). SRR (Clinical) ...... 11 index discharges ...... N/A ...... 11–41 index discharges. STrR (Clinical) ...... 10 patient-years at risk ...... N/A ...... 10–21 patient years at risk. SHR (Clinical) ...... 5 patient-years at risk ...... N/A ...... 5–14 patient-years at risk. ICH CAHPS (Clinical) ...... Facilities with 30 or more survey-eligible patients dur- Before January 1, 2018 ..... N/A. ing the calendar year preceding the performance period must submit survey results. Facilities will not receive a score if they do not obtain a total of at least 30 completed surveys during the performance period. Anemia Management (Re- 11 qualifying patients ...... Before July 1, 2018 ...... N/A. porting). Serum Phosphorus (Re- 11 qualifying patients ...... Before July 1, 2018 ...... N/A. porting). Depression Screening and 11 qualifying patients ...... Before July 1, 2018 ...... N/A. Follow-Up (Reporting). Pain Assessment and Fol- 11 qualifying patients ...... Before July 1, 2018 ...... N/A. low-Up (Reporting). NHSN Healthcare Per- N/A ...... Before January 1, 2018 ..... N/A. sonnel Influenza Vac- cination (Reporting). Ultrafiltration Rate (Report- 11 qualifying patients ...... Before July 1, 2018 ...... N/A. ing). We requested comments on this and are not addressing them in this final there are five areas in which these proposal. rule. programs have variance in comparison Comment: Commenters were Final Rule Action: Based on the to the policy within the ESRD QIP appreciative of the clarification CMS comments received, we are finalizing regarding ECE requests. These are: (1) provided on the minimum number of the proposed minimum data Allowing the facilities or hospitals to cases. requirements for the PY 2020 ESRD QIP, submit a form signed by the facility’s or as described in Table 2(b) above. Response: We thank commenters for hospital’s chief executive officer (CEO) their support. b. Changes to the Extraordinary versus CEO or designated personnel; (2) Comment: Several commenters Circumstances Exception (ECE) Policy requiring the form be submitted within expressed concern with using sample Many of our quality reporting and 30 days following the date that the sizes as small as 11 and argued that the value-based purchasing programs share extraordinary circumstance occurred, small sample size exposes the ESRD QIP a common process for requesting an versus within 90 days following the date scores to random results that are not exception from program reporting due the extraordinary circumstance fully compensated by the SFA. One to an extraordinary circumstance not occurred; (3) inconsistency regarding commenter urged CMS to adopt a within a facility’s control. The Hospital specification of a timeline for us to minimum sample size of 26 patients and Inpatient Quality Reporting, Hospital provide our response notifying the to eliminate the SFA altogether. The Outpatient Quality Reporting, Inpatient facility or hospital of our decision; (4) commenters suggested that there are Psychiatric Facility Quality Reporting, inconsistency regarding whether we many ways in which small facilities can Ambulatory Surgical Center Quality would grant ECEs based on a facility’s be included while avoiding random Reporting, PPS-Exempt Cancer Hospital inability to timely and completely results. Quality Reporting, the Hospital report data due to CMS data system Response: We appreciate the Acquired Condition Reduction Program, issues; and (5) referring to this policy as commenters’ concerns. However, and the Hospital Readmissions ‘‘extraordinary extensions/exemptions’’ because we did not propose to change Reduction Program all share common versus as ‘‘extraordinary circumstances the minimum number of cases that processes for Extraordinary exceptions’’. We believe that aligning apply to each measure, or to revisit the Circumstances Exception (ECE) the way the ECE policy is implemented SFA, we consider these comments to be requests. In reviewing the policies for in our program, with the way it is outside the scope of the proposed rule these programs, we recognized that implemented in the programs listed VerDate Sep<11>2014 19:01 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00025 Fmt 4701 Sfmt 4700 E:\FR\FM\01NOR2.SGM 01NOR2 sradovich on DSK3GMQ082PROD with RULES2 50762 Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Rules and Regulations above, can improve the overall these policies would apply beginning Comment: Commenters supported administrative efficiencies for affected with the PY 2020 ESRD QIP, as related CMS’s proposed modifications to the facilities or hospitals. to extraordinary circumstance events ECE policy in the ESRD QIP, and urged In the CY 2015 ESRD PPS final rule that occur on or after January 1, 2018. CMS to finalize the proposal. One (79 FR 66120 through 66265), we We also noted that there may be commenter requested that CMS issue finalized that to receive consideration circumstances in which it is not feasible clear guidance on the criteria used to for an exception from the ESRD QIP for a facility’s CEO to sign the ECE deny or approve an ECE to ensure that requirements in effect during the time request form. In these circumstances, we approvals and denials are made period that a facility is affected by an believe that facilities affected by such consistently, uniformly, and in a extraordinary circumstance, facilities circumstances should be able to submit manner that ensures that dialysis would need to be closed and provide an ECE request regardless of the CEO’s facilities can rely on such guidance from CMS with a CMS Disaster Extension/ availability to sign. This proposed CMS as they make determinations about Exception Request Form within 90 change would allow facilities to whether to submit an ECE request. calendar days of the date of the disaster designate an appropriate, non-CEO Response: We thank commenters for or extraordinary circumstance (79 FR contact for this purpose. We would their support of our proposals to update 66190). We finalized that the facility accept ECE forms which have been the ECE policy in the ESRD QIP. When would need to provide the following signed by designated personnel. considering ECE requests that we information on the form: Although we do not anticipate that receive from facilities, we consider all • Facility CCN. unresolved issues with CMS data information provided by the facility. We • Facility name. consider whether the facility submitted • systems will happen on a regular basis, CEO name and contact information. we also stated that we recognized that the request in a timely manner and • Additional contact name and there may be times when CMS included all required information on its contact information. experiences issues with its data systems ECE request form. We consider the • Reason for requesting an exception. that inhibits facilities’ ability to submit reason for the closure and the strength • Dates affected. of the supporting documentation • data. We are often able to resolve such Date facility will start submitting provided. We take each request under data again, with justification for this issues and allow facilities an extended period of time to report the data. consideration and decide based on all date. the evidence provided. • However, in the case that the issue Evidence of the impact of the Comment: One commenter inhibits the complete reporting of data extraordinary circumstances, including recommended that CMS add a separate (even under an extended deadline), we but not limited to photographs, exclusion for dialysis camps, given their newspaper, and other media articles. stated that we believed it would be very limited operating schedules. We also finalized that we would inequitable to take the absence of such Another commenter recommended that consider granting an ECE to facilities unreported data into account when CMS grant ECEs to camps that request absent a request, if we determine that an computing a facility’s TPS for a them. According to these commenters, extraordinary circumstance affected an payment year. Therefore, we proposed these camps, which operate for short, entire region or locale (79 FR 66190). to address these situations in one of two well-defined periods during the year, We proposed to update these policies ways. In some cases, CMS would issue make it possible for ESRD pediatric by: (1) Allowing the facility to submit a a blanket exception to facilities that patients to have a traditional camp form signed by the facility’s CEO or have been affected by an unresolved experience but are often penalized designated personnel; (2) expanding the technical issue. In such cases, facilities under the ESRD QIP. reasons for which an ECE can be would not be required to submit an ECE Response: We appreciate commenter’s requested to include an unresolved request to CMS, and CMS would send concerns. However, the camps referred issue with a CMS data system, which communications about the blanket to by the commenters furnish renal affected the ability of the facility to exception to the affected facilities using dialysis services (as defined in section submit data (an unresolved data system routine communication channels. In 1881(b)(14)(B)) and, for that reason, we issue would be one which did not allow other cases, CMS would not issue a have no discretion to exclude them from the facility to submit data by the data blanket exception to facilities. In these the ESRD QIP, if they otherwise meet submission deadline and which was cases, facilities would be required to the program’s eligibility requirements unable to be resolved with a work- submit an ECE request to CMS using the (such as the minimum data around), and (3) specifying that a regular ECE request process, and would requirements, CCN open date, etc.). We facility does not need to be closed in need to indicate how they were directly also see no basis to grant ECEs to order to request and receive affected by the technical issue. facilities that otherwise meet the consideration for an ECE, as long as the Furthermore, we stated our belief that program’s eligibility requirements facility can demonstrate that its normal it is important for facilities to receive simply because they are not open for the operations have been significantly timely feedback regarding the status of entire year. The ECE policy was affected by an extraordinary ECE requests. We strive to complete our designed to provide relief to renal circumstance outside of its control. We review of each ECE request as quickly dialysis facilities that experience stated that these proposed policies as possible. However, we recognize that extraordinary circumstances outside of generally align with policies in the the number of requests we receive, and their control. Although we recognize the Hospital Inpatient Quality Reporting the complexity of the information role that these camps may play in Program (76 FR 51651 through 51652), provided impacts the actual timeframe improving the quality of life for (78 FR 50836 through 50837) and (81 FR to make ECE determinations. To pediatric ESRD patients, we do not view 57181 through 57182), Hospital improve the transparency of our their partial year operating status as a Outpatient Quality Reporting Program process, we stated that we would strive circumstance outside of their control. (77 FR 68489 and 81 FR 79795), as well to complete our review of each request We also see no reason for not holding as ECE policies we have finalized for within 90 days of receipt. these facilities accountable to the same other quality reporting and value-based We requested comments on these quality standards of care that apply to purchasing programs. We proposed that proposals. other facilities under the ESRD QIP. VerDate Sep<11>2014 19:01 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00026 Fmt 4701 Sfmt 4700 E:\FR\FM\01NOR2.SGM 01NOR2 sradovich on DSK3GMQ082PROD with RULES2 Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Rules and Regulations 50763 Comment: One commenter requested collect data on this population and to who have been determined to have end- clarification of the term ‘‘designated include them in performance stage renal disease as determined in personnel’’, and asked for information calculations. section 226A of the Act,’’ and that this about how someone would be Response: We agree that the quality of limitation excludes AKI patients from designated as such. care afforded to AKI patients by dialysis the ESRD benefit and programs. Response: We expect that each facility facilities is an emergent issue in dialysis Commenters pointed out that the ESRD will have its own process for care, and collecting data on that care is QIP statutory language further defines designating personnel with appropriate important. Including AKI patients in the the quality incentive as avoiding a authority to sign an ECE request on ESRD QIP will require careful payment reduction to the rates paid behalf of the facility, and we will accept consideration of the clinical under section 1881(b)(14) of the Act and an ECE request signed either by the appropriateness of including them in noted that facilities that provide facility’s CEO or such designated each measure. services to AKI patients are paid under personnel. Comment: Many commenters did not section 1834(r) of the Act. Final Rule Action: After careful support the inclusion of AKI patients in Response: We continue to believe that consideration of the comments received, the ESRD QIP. They stressed that CMS we have authority to collect data on the we are finalizing the updates to the ECE should continue to gather and evaluate AKI patient population from facilities policy as proposed. AKI data before proposing to include under the ESRD QIP and that it is AKI patient outcomes in any QIP c. Solicitation of Comments on the important to hold facilities accountable measure and expressed concerns Inclusion of Acute Kidney Injury (AKI) for the quality of renal dialysis services regarding the appropriateness of Patients in the ESRD QIP furnished to those patients. We including AKI patients in any of the appreciate the feedback we received on The services for which quality is measures currently included in the this issue and we will take it into measured under the ESRD QIP are renal program. Several commenters made account as we consider whether to make dialysis services defined in section measure-specific recommendations proposals related to this population in 1881(b)(14)(B) of the Act. Prior to about why AKI patients should not be future rulemaking. January 1, 2017, these services could included in the NHSN BSI measures, only be covered and reimbursed under the Vascular Access measures, and the d. Estimated Performance Standards, Medicare if they were furnished to Dialysis Adequacy measures. Many Achievement Thresholds, and individuals with ESRD, but they are commenters stressed that if AKI patients Benchmarks for the Clinical Measures now also covered and reimbursed if are included in the QIP, then the Finalized for the PY 2020 ESRD QIP they are furnished by renal dialysis program should use quality measures In the CY 2017 ESRD PPS final rule facilities or providers of services paid based solely on data from AKI patients, (81 FR 77834 through 77969), we under section 1881(b)(14) of the Act to which are supported by AKI care finalized that for PY 2020, the individuals with acute kidney injury guidelines. performance standards, achievement (AKI) (see sections 1861(s)(2)(F) and Response: We thank the commenters thresholds, and benchmarks for the 1834(r) of the Act). for sharing their concerns regarding the clinical measures would be set at the We currently do not require facilities inclusion of AKI patients in the ESRD 50th, 15th and 90th percentile, to report AKI patient data for any of our QIP generally, and for their respectively, of national performance in measures in the ESRD QIP, including recommendations regarding the CY 2016, because this will give us the National Healthcare Safety Network inclusion of AKI patients in specific enough time to calculate and assign (NHSN) Bloodstream infection (BSI) quality measures. We intend to numerical values to the proposed Clinical and Reporting Measures.5 systematically evaluate the performance standards for the PY 2020 However, we now have the authority to appropriateness of including AKI program prior to the beginning of the collect data on this patient population patients in our existing quality measures performance period (81 FR 77915). We and believe that it is vitally important through our measure maintenance stated in the CY 2018 ESRD PPS to monitor and measure the quality of process, and in new measures that could proposed rule that we did not have the care furnished to these patients. be focused specifically on that subset of necessary data to assign numerical In the future, we intend to require patients treated by facilities. In values to those performance standards, facilities to report data on AKI patients considering the inclusion of AKI achievement thresholds, and under the ESRD QIP. We requested patients in our measures, we intend to benchmarks because we did not yet comments on whether and how to adapt apply the same standards that we use to have complete data from CY 2016. any of our current measures to include determine the applicability of our Nevertheless, we could estimate these this population, as well as the type of measures to specific patient numerical values based on the most measures that might be appropriate to populations, which include seeking recent data available at the time we develop for future inclusion in the input from clinical experts and other issued the CY 2018 ESRD PPS proposed program that would address the unique stakeholders. We would also consider rule, and we have since updated those needs of beneficiaries with AKI. the clinical differences between ESRD values based on more recently available Comment: Several commenters dialysis patients and AKI patients, as data. For the vascular access type supported the inclusion of those with well as the relatively small number of (VAT), Hypercalcemia, NHSN BSI, In- AKI into the ESRD QIP. One commenter AKI patients currently being treated by Center Hemodialysis Consumer stated that because the incidence of AKI dialysis facilities. Assessment of Healthcare Providers and is increasing, and is estimated to double Comment: A few commenters argued Systems (ICH CAHPS), Standardized over the next decade, it’s important to that while monitoring AKI patients is Readmission Ratio (SRR), Standardized important and supported CMS’ efforts to Hospitalization Ratio (SHR), Kt/V 5 To the extent that the CDC requests facilities to do so, CMS only has statutory authority Dialysis Adequacy, and Standardized report AKI patient data under its own, separate, to apply the QIP to beneficiaries with Transfusion Ratio (STrR) clinical statutory authority, data on these patients are not shared with CMS or used in the calculation of any ESRD. Commenters argued that the measures, this data came from the ESRD QIP measures, including the NHSN Clinical statute establishing and governing the period of January through December and Reporting Measures. ESRD QIP is limited to ‘‘individuals 2015. In Table 3, we provided the VerDate Sep<11>2014 19:01 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00027 Fmt 4701 Sfmt 4700 E:\FR\FM\01NOR2.SGM 01NOR2 sradovich on DSK3GMQ082PROD with RULES2 50764 Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Rules and Regulations estimated numerical values for all estimated in the proposed rule). In values for the clinical measures, using finalized PY 2020 ESRD QIP clinical Table 4, we have provided updated data from the first part of CY 2017. measures (these are the values we TABLE 3—ESTIMATED NUMERICAL VALUES FOR THE PERFORMANCE STANDARDS FOR THE PY 2020 ESRD QIP CLINICAL MEASURES Achievement Performance Measure threshold Benchmark standard VAT: ...... %Fistula ...... 53.66% 79.62% 65.93% %Catheter ...... 17.20% 2.95% 9.19% Kt/V Dialysis Adequacy Comprehensive ...... 87.37% 97.74% 93.20% Hypercalcemia ...... 4.24% 0.32% 1.85% STrR ...... 1.488 0.421 0.901 SRR ...... 1.271 0.624 0.998 NHSN BSI ...... 1.738 0 0.797 Standardized Hospitalization Ratio measure (SHR) ...... 1.244 0.672 0.970 ICH CAHPS: Nephrologists’ Communication and Caring ...... 56.41% 77.06% 65.89% ICH CAHPS: Quality of Dialysis Center Care and Operations ...... 52.88% 71.21% 60.75% ICH CAHPS: Providing Information to Patients ...... 72.09% 85.55% 78.59% ICH CAHPS: Overall Rating of Nephrologists ...... 49.33% 76.57% 62.22% ICH CAHPS: Overall Rating of Dialysis Center Staff ...... 48.84% 77.42% 62.26% ICH CAHPS: Overall Rating of the Dialysis Facility ...... 51.18% 80.58% 65.13% Data sources: VAT measures: 2015 CROWNWeb; SRR, STrR, SHR: 2015 Medicare claims; Kt/V: 2015 CROWNWeb; Hypercalcemia: 2015 CROWNWeb; NHSN: 2015 CDC, ICH CAHPS: CMS 2015. Our current policy generally is that if In such cases, numerical values and (2) ICH CAHPS: Overall Rating of final numerical values for the assigned to performance standards may Dialysis Center Staff because the final performance standard, achievement appear to decline, even though they numerical values for those measures threshold, and/or benchmark are worse represent higher standards for infection were worse for PY 2020 than they were than they were for that measure in the prevention. For PY 2020 and future for PY 2019. previous year of the ESRD QIP, then we payment years, we proposed to continue Final Rule Action: We did not receive will substitute the previous year’s use of this policy for the reasons performance standard, achievement explained above. Under that policy, comments on our proposal to continue threshold, and/or benchmark for that except for the NHSN BSI Clinical our policies for substituting the measure. We adopted this policy Measure, we would substitute the PY performance standard, achievement because we believe that the ESRD QIP 2019 performance standard, threshold and benchmark in appropriate should not have lower performance achievement threshold, and/or cases. We are therefore, finalizing our standards than in previous years. In the benchmark for any measure that has a proposal to continue use of these CY 2017 ESRD PPS final rule, we final numerical value for a performance policies for PY 2020 and future payment finalized an update to that policy standard, achievement threshold, and/or years, as proposed. We are also updating because in certain cases, it may be benchmark that is worse than it was for the performance standards, achievement appropriate to re-baseline the NHSN BSI that measure in the PY 2019 ESRD QIP. thresholds, and benchmarks for the Clinical Measure, such that expected We would also substitute the PY 2019 finalized PY 2020 ESRD QIP clinical infection rates are calculated based on a values for two CAHPS measures: (1) ICH measures as shown in Table 4, using the more recent year’s data (81 FR 77886). CAHPS: Overall Rating of Nephrologists most recently available data. TABLE 4—FINALIZED PERFORMANCE STANDARDS FOR THE PY 2020 ESRD QIP CLINICAL MEASURES USING THE MOST RECENTLY AVAILABLE DATA Achievement Performance Measure threshold Benchmark standard Vascular Access Type (VAT): %Fistula ...... 53.95% 79.90% 65.98% %Catheter ...... 17.22% 3.11% 9.40% Kt/V Dialysis Adequacy Comprehensive ...... 91.09% 98.56% 95.64% Hypercalcemia ...... 2.41% 0.00% 0.86% Standardized Transfusion Ratio (STrR) ...... 1.444 0.429 0.889 Standardized Readmission Ratio (SRR) ...... 1.273 0.629 0.998 NHSN Bloodstream Infection ...... 1.598 0 0.740 Standardized Hospitalization Ratio measure (SHR) ...... 1.249 0.670 0.967 ICH CAHPS: Nephrologists’ Communication and Caring ...... 57.36% 78.09% 67.04% ICH CAHPS: Quality of Dialysis Center Care and Operations ...... 53.14% 71.52% 61.22% ICH CAHPS: Providing Information to Patients ...... 73.31% 86.83% 79.79% ICH CAHPS: Overall Rating of Nephrologists ...... 49.33% 76.57% 62.22% ICH CAHPS: Overall Rating of Dialysis Center Staff ...... 48.84% 77.42% 62.26% VerDate Sep<11>2014 19:01 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00028 Fmt 4701 Sfmt 4700 E:\FR\FM\01NOR2.SGM 01NOR2 sradovich on DSK3GMQ082PROD with RULES2 Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Rules and Regulations 50765 TABLE 4—FINALIZED PERFORMANCE STANDARDS FOR THE PY 2020 ESRD QIP CLINICAL MEASURES USING THE MOST RECENTLY AVAILABLE DATA—Continued Achievement Performance Measure threshold Benchmark standard ICH CAHPS: Overall Rating of the Dialysis Facility ...... 52.24% 82.48% 66.82% Data sources: VAT measures: 2016 CROWNWeb; SRR, STrR, SHR: 2016 Medicare claims; Kt/V: 2016 CROWNWeb; Hypercalcemia: 2016 CROWNWeb; NHSN: 2016 CDC, ICH CAHPS: CMS 2016. e. Policy for Weighting the Clinical 2020. With the addition of the Safety and the Reporting Measure Domain Measure Domain for PY 2020 Measure Domain to the ESRD QIP, we would comprise 10 percent of the TPS. finalized that the Clinical Measure Table 5 shows the weights finalized for In the CY 2017 ESRD PPS final rule, Domain would comprise 75 percent of PY 2020 for the Clinical Measure we finalized our policy for weighting the TPS, the Safety Measure Domain Domain. the Clinical Measure Domain for PY would comprise 15 percent of the TPS TABLE 5—FINALIZED CLINICAL MEASURE DOMAIN WEIGHTING FOR THE PY 2020 ESRD QIP Measure weight in the clinical domain Measures/measure topics by subdomain score Measure weight as percent of TPS (percent) (updated) Patient and Family Engagement/Care Coordination Sub- 40 ...... domain. ICH CAHPS measure ...... 25 ...... 18.75 SRR Measure ...... 15 ...... 11.25 Clinical Care Subdomain ...... 60 ...... STrR measure ...... 11 ...... 8.25 Dialysis Adequacy measure ...... 18 ...... 13.5 VAT measure topic ...... 18 ...... 13.5 Hypercalcemia measure ...... 2 ...... 1.5 SHR measure ...... 11 ...... 8.25 Total ...... 100% (of Clinical Measure Domain) ..... 75% (of TPS) Note: The percentages listed in this Table represent the measure weight as a percent of the Clinical Domain Score for PY 2020. We did not propose any changes to across facilities, such that facilities 6 in this final rule). Based on the these weights, but we received a few achieving the lowest TPS receive the estimated performance standards which comments. largest payment reductions. In the CY we provided in the CY 2018 ESRD PPS Comment: Some commenters 2017 ESRD PPS final rule, we finalized proposed rule (82 FR 31207) and listed recommended that we increase the our proposal for calculating the above, we estimated that a facility weight of the VAT Catheter Measure minimum TPS for PY 2020 and future would need to meet or exceed a and decrease the weight of the VAT payment years (81 FR 77927). Under our minimum TPS of 61 for PY 2020. For all Fistula Measure to emphasize the current policy, a facility will not receive the clinical measures, these data came clinical benefits of eliminating a payment reduction if it achieves a from CY 2015. We proposed that a catheters. Additionally, a commenter minimum TPS that is equal to or greater facility failing to meet the minimum recommended that CMS adopt a set of than the total of the points it would TPS, would receive a payment global exclusions that would have received if: (1) It performs at the reduction based on the estimated TPS consistently apply to all measures, performance standard for each clinical ranges indicated in Table 6. which would be automatically applied measure; and (2) it receives the number unless there is a specific clinical or of points for each reporting measure that TABLE 6—ESTIMATED PAYMENT operational reason they should not be. corresponds to the 50th percentile of REDUCTION SCALE FOR PY 2020 Response: We appreciate the facility performance on each of the PY commenters’ recommendations. 2018 reporting measures (81 FR 77927). Reduction However, because we did not make any Total performance score (%) proposals related to these specific We were unable to calculate a policy areas, we consider these minimum TPS for PY 2020 in the CY 100–61 ...... 0 comments to be out of the scope of the 2017 ESRD PPS final rule because we 60–51 ...... 0.5 proposed rule. Therefore, we have not did not yet have the data to calculate the 50–41 ...... 1.0 40–31 ...... 1.5 addressed them in this final rule. performance standards for each of the clinical measures. We therefore stated 30–21 ...... 2.0 f. Payment Reductions for the PY 2020 that we would publish the minimum ESRD QIP TPS for the PY 2020 ESRD QIP in the The comments and our responses to Section 1881(h)(3)(A)(ii) of the Act CY 2018 ESRD PPS final rule (81 FR the comments on our proposal are set requires the Secretary to ensure that the 77927). We estimated the minimum TPS forth below. application of the ESRD QIP scoring for PY 2020, along with the updated Comment: One commenter asked methodology results in an appropriate payment reduction scale, in Table 5 in CMS to fix an error in the CY 2018 distribution of payment reductions the proposed rule (renumbered as Table ESRD PPS proposed rule, Table 5 (Table VerDate Sep<11>2014 19:01 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00029 Fmt 4701 Sfmt 4700 E:\FR\FM\01NOR2.SGM 01NOR2 sradovich on DSK3GMQ082PROD with RULES2 50766 Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Rules and Regulations 6 in this final rule), titled ‘‘Estimated options for refining the methodology to the request for medical records based Payment Reduction Scale for PY 2020 used to improve the effectiveness and on candidate events either electronically Based on the Most Recently Available reliability of the data collected. For or on paper. If the contractor determines Data,’’ stating that the last line should future payment years, we will consider that additional medical records are be corrected to read ‘‘30–0’’. The whether this validation effort should needed to reach the 10-record threshold commenter stated that the table, as continue in pilot status or as a from a facility to validate whether the published in the proposed rule, does not permanent feature of the ESRD QIP. facility accurately reported the dialysis include the TPS range between 0 and Under the continued validation study, events, then the contractor would send 20. we will sample the same number of a request for additional, randomly Response: We thank the commenter records (approximately 10 per facility) selected patient records from the for pointing out this error. We from the same number of facilities, facility. The facility would have 60 inadvertently neglected to include in which totaled 300 facilities during CY calendar days from the date of the letter Table 5 (Table 6 in this final rule) of the 2018. If a facility is randomly selected to respond to the request. With input proposed rule that the payment to participate in the pilot validation from the CDC, the CMS contractor reduction would be 2.0 percent for study but does not provide us with the would use a methodology for reviewing facilities that achieve a TPS between requisite medical records within 60 and validating records from selected 30–0. We have included the final TPS calendar days of receiving a request, patients, to determine whether the ranges in Table 7 based on the most then we proposed to deduct 10 points facility reported dialysis events for recently available data. from the facility’s TPS. those patients in accordance with the Final Rule Action: After consideration In the CY 2015 ESRD PPS final rule NHSN Dialysis Event Protocol. If a of the comments received and an (79 FR 66120 through 66265), we facility is selected to participate in the analysis of the most recently available finalized a feasibility study for validation study but does not provide data, we are finalizing that the validating data reported to the CDC’s CMS with the requisite lists of minimum TPS for PY 2020 will be 59. NHSN Dialysis Event Module for the information or medical records within We are also finalizing the payment NHSN BSI Clinical Measure (OMB 60 calendar days of receiving a request, reduction scale shown in Table 7. #0938–NEW). Healthcare-acquired then we proposed to deduct 10 points infections are relatively rare, and we from the facility’s TPS. We stated that TABLE 7—FINALIZED PAYMENT REDUC- finalized that the feasibility study information from the validation study TION SCALE FOR PY 2020 BASED would target records with a higher may be used in future years of the ON THE MOST RECENTLY AVAILABLE probability of including a dialysis event, program to inform our consideration of DATA because this would enrich the future policies that would incorporate validation sample while reducing the NHSN data accuracy into the scoring burden on facilities. This methodology Total performance score Reduction process. In future years of the program (%) resembles the methodology we use in we may also look to improve the NHSN the Hospital Inpatient Quality Reporting 100–59 ...... 0 dialysis event validation study by Program to validate the central line- validating records from a greater 58–49 ...... 0.5 associated BSI measure, the catheter- 48–39 ...... 1.0 number of facilities or by validating a 38–29 ...... 1.5 associated urinary tract infection larger sample of records from each 28–0 ...... 2.0 measure, and the surgical site infection facility participating in the study. measure (77 FR 53539 through 53553). The comments and our responses to g. Data Validation For the PY 2020 ESRD QIP, we proposed to continue conducting the the comments on our proposals are set One of the critical elements of the same NHSN dialysis event validation forth below. ESRD QIP’s success is ensuring that the study, that we finalized in the CY 2017 Comment: Several commenters data submitted to calculate measure ESRD PPS final rule for PY 2019 (81 FR supported CMS’s efforts to continue the scores and TPSs are accurate. We began 77894). For PY 2020, we would NHSN BSI Data Validation Study and a pilot data validation program in CY continue to select 35 facilities to supported the efforts of CDC around BSI 2013 for the ESRD QIP, and procured participate in an NHSN dialysis event prevention. One commenter specifically the services of a data validation validation study by submitting 10 supported CMS’s efforts to include both contractor that was tasked with patient records covering two quarters of high performing facilities and those at validating a national sample of facilities’ data reported in CY 2018. However, for risk of under-reporting. Another records as reported to CROWNWeb. For PY 2020, the sampling method used to commenter expressed that a larger, more validation of CY 2014 data, our priority select the 35 facilities would be adjusted representative sample is needed for was to develop a methodology for such that a more representative sample validation. A few commenters validating data submitted to of facility data can be analyzed, applauded CMS for working with CDC Consolidated Renal Operations in a including data from high performing on the proposed methodology for data Web-Enabled Network (CROWNWeb) facilities as well as facilities identified validation and recommended that the under the pilot data validation program. as being at risk of underreporting. A sample size of facilities be increased to In the CY 2014 ESRD PPS final rule (78 CMS contractor would send these 5 percent, consistent with the dialysis FR 72223 through 72224), we finalized facilities requests for medical records facility validation sample size for a requirement to sample approximately for all patients with ‘‘candidate events’’ CROWNWeb data. One commenter 10 records from 300 randomly selected during the evaluation period; that is, pointed out that CMS should include a facilities; these facilities had 60 days to patients who had any positive blood diverse group of facilities to ensure that comply once they received requests for cultures; received any intravenous the major providers are not over- records. We continued this pilot for the antimicrobials; had any pus, redness, or represented in the sample. The PY 2017, PY 2018 and PY 2019 ESRD increased swelling at a vascular access commenter encouraged CMS to use QIP, and proposed to continue doing so site; and/or were admitted to a hospital lessons learned from the CY 2017 data for the PY 2020 ESRD QIP. Using the during the evaluation period. Facilities validation study when conducting the data collected thus far, we are exploring would have 60 calendar days to respond CY 2018 validation survey. VerDate Sep<11>2014 19:01 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00030 Fmt 4701 Sfmt 4700 E:\FR\FM\01NOR2.SGM 01NOR2 sradovich on DSK3GMQ082PROD with RULES2 Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Rules and Regulations 50767 Response: We thank the commenters Comment: One commenter requested in auditing quality data submissions to for sharing their recommendations, and that CMS make the results of the ensure their accuracy at the individual we appreciate their support. We agree CROWNWeb validation publicly facility level, but questioned why CMS that it’s important to monitor and available. Another commenter continues to refer in the ESRD QIP to a prevent infections and that it’s questioned whether CMS has not ‘‘validation study’’ rather than an audit important to continue conducting released any validation results because program of CROWNWeb data validation to ensure that the data those results would show that submissions and the NHSN BSI Clinical received on infections is accurate and CROWNWeb is not a reliable data Measure. complete so that CMS and CDC can collection tool and that the NHSN BSI Response: We thank commenters for continue in their efforts to help facilities Measure is not valid. sharing their concerns. As we stated in with infection prevention. We also agree Response: We thank the commenter the CY 2016 ESRD PPS final rule (80 FR that an increase in the sample size of the for sharing this recommendation. 69049), the data validation studies are NHSN validation study will allow us to However, one of our main goals for not designed to be an audit, but rather more comprehensively validate the BSI validation is to give feedback that the to assess the capacity of renal dialysis data. We are currently working closely selected facility can use to make facilities to provide accurate and with CDC to determine whether we internal improvements to its reporting complete data on performance should propose in future rulemaking to processes, and we do not think it would measures, and to find ways to assist change the current sample size, and as be beneficial to make this feedback them in improving their data reporting. part of that analysis, we are considering public. Further, given the small sample It is meant to be a collaborative effort how to best ensure that the sample size size, we are concerned that publicly between CMS and the facilities selected includes a diverse group of facilities releasing the information would for validation with the goal of that does not over or under-represent threaten the confidentiality and privacy determining ways to improve the any particular type of facilities. of facilities that are chosen to process for all facilities. An audit, by participate in the validation study. To Comment: One commenter expressed contrast, would be a more directed date, our validation studies have not concerns with the accuracy of NHSN search for errors and punitive in nature. shown any concerns with the reliability We are also using the validation data to Data and recommended that CMS of data reported to CROWNWeb or mandate reporting of culture results to improve the integrity of data reported to NHSN. In fact, our most recent CROWNWeb and NHSN; whereas we NHSN by the lab processing the CROWNWeb Validation Study found an specimen, and when Regional Health would use the data collected through an overall error rate of 3.4 percent (95 audit to detect inaccuracies in reported Information Exchanges become percent confidence interval of 1.3 operational in all communities, mandate data and reconcile those differences. percent to 5.5 percent) for the Additionally, information gathered from participation in an Exchange by all CROWNWeb system. Given laboratories processing blood cultures. the validation studies is used to develop stakeholders continued concerns, we training and/or education modules to The commenter also recommended that will consider providing a national assist facilities that may be having there should be an ongoing auditing of summary report, validation fact sheet, or trouble with reporting complete and at least 10 percent of facilities to similar document that summarizes high- accurate data to CROWNWeb or NHSN. provide an incentive for diligent data level aggregate results from each Final Rule Action: After carefully collection and honest and accurate validation study. reporting. Additionally, the commenter Comment: Several commenters considering the comments received, we recommended that the NHSN BSI expressed concerns that the Data are finalizing our data validation studies Clinical Measure remain in the program Validation Study is actually an audit for PY 2020 as proposed. as a reporting measure only until such and suggested that a true audit process 4. Requirements for the PY 2021 ESRD an ongoing audit can be put in place. would provide appropriate due process, QIP Response: We thank the commenter including the right to appeal adverse for their recommendations and will decisions. One commenter argued that a. Measures for the PY 2021 ESRD QIP continue working with CDC to identify the timeframe for response is inadequate We previously finalized 16 measures ways to assess and strengthen the and that the penalty for failing to in the CY 2017 ESRD PPS final rule for overall accuracy of NSHN BSI data. We comply with it is disproportionately the PY 2020 ESRD QIP. Our policy is to remind commenters that the overall severe when compared to the problem continue using measures unless we purpose of the validation under the being identified. The same commenter propose to remove or replace them, (77 ESRD QIP is to ensure that renal dialysis also recommended that while the FR 67477), therefore, we will continue facilities are reporting accurate and validation ‘‘study’’ is taking place, CMS to use all but two of these measures in complete information to CMS for should not reduce a facility’s ESRD QIP the PY 2021 ESRD QIP. In the CY 2018 purposes of calculating their TPSs. score because the purpose of the study ESRD PPS proposed rule, we proposed While we agree that one way to is to assess future policies to ensure the to replace the two VAT Clinical encourage all facilities to report accurate accuracy of NHSN data. One commenter Measures with the Hemodialysis BSI data would be to require a larger asked CMS to clearly state in the final Vascular Access: Standardized Fistula number of facilities to participate in a rule the reason why the validation Rate Clinical Measure and the given year, we are also examining studies are necessary and, if the purpose Hemodialysis Vascular Access: Long- whether we can achieve the same goal is to audit facilities, the commenter Term Catheter Rate Clinical Measure of accurate reporting in other ways that asked that CMS provide appropriate due beginning with PY 2021. The measures may be less burdensome and more cost- process. Another commenter being continued in PY 2021 are efficient. acknowledged that CMS has an interest summarized in Table 8. VerDate Sep<11>2014 19:01 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00031 Fmt 4701 Sfmt 4700 E:\FR\FM\01NOR2.SGM 01NOR2 sradovich on DSK3GMQ082PROD with RULES2 50768 Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Rules and Regulations TABLE 8—PY 2020 ESRD QIP MEASURES BEING CONTINUED IN PY 2021 NQF Number Measure title and description 0258 ...... ICH CAHPS Survey Administration, a clinical measure. Measure assesses patients’ self-reported experi- ence of care through percentage of patient responses to multiple testing tools. 2496 ...... SRR, a clinical measure. Ratio of the number of observed unplanned 30-day hospital readmissions to the number of expected unplanned 30-day readmissions. 2979 ...... STrR, a clinical measure. Risk-adjusted standardized transfusion ratio for all adult Medicare dialysis pa- tients. Number of observed eligible red blood cell transfusion events occurring in patients dialyzing at a facility to the number of eligible transfusions that would be expected. N/A ...... Kt/V Dialysis Adequacy Comprehensive, a clinical measure. Percentage of all patient months for patients whose delivered dose of dialysis (either hemodialysis or peritoneal dialysis) met the specified threshold during the reporting period. 1454 ...... Hypercalcemia, a clinical measure. Proportion of patient-months with 3-month rolling average of total un- corrected serum or plasma calcium greater than 10.2 mg/dL. 1463* ...... SHR, a clinical measure. Risk-adjusted SHR of the number of observed hospitalizations to the number of expected hospitalizations. 0255 ...... Serum Phosphorus, a reporting measure. Percentage of all adult (≥18 years of age) peritoneal dialysis and hemodialysis patients included in the sample for analysis with serum or plasma phosphorus measured at least once within month. N/A ...... Anemia Management Reporting, a reporting measure. Number of months for which facility reports erythropoiesis-stimulating agent (ESA) dosage (as applicable) and hemoglobin/hematocrit for each Medi- care patient, at least once per month. Based on NQF #0420 ...... Pain Assessment and Follow-Up, a reporting measure. Facility reports in CROWNWeb one of six condi- tions for each qualifying patient once before August 1 of the performance period and once before Feb- ruary 1 of the year following the performance period. Based on NQF #0418 ...... Clinical Depression Screening and Follow-Up, a reporting measure. Facility reports in CROWNWeb one of six conditions for each qualifying patient once before February 1 of the year following the performance period. Based on NQF #0431 ...... NHSN Healthcare Personnel Influenza Vaccination, a reporting measure. Facility submits Healthcare Per- sonnel Influenza Vaccination Summary Report to CDC’s NHSN system, according to the specifications of the Healthcare Personnel Safety Component Protocol, by May 15 of the performance period. N/A ...... Ultrafiltration Rate, a reporting measure. Number of months for which a facility reports elements required for ultrafiltration rates for each qualifying patient. Based on NQF #1460 ...... NHSN BSI in Hemodialysis Patients, a clinical measure. The Standardized Infection Ratio (SIR) of BSIs will be calculated among patients receiving hemodialysis at outpatient hemodialysis centers. N/A ...... NHSN Dialysis Event Reporting Measure. Number of months for which facility reports NHSN Dialysis Event data to CDC. * We note that the complete lists of ICD–10 codes associated with the Standardized Readmission Ratio Clinical Measure and the Standardized Hospitalization Ratio Clinical Measure included in the ESRD QIP for PY 2020 are included in the Measure Technical Reports, available here: https://www.cms.gov/Medicare/Quality-Initiatives-Patient-Assessment-Instruments/ESRDQIP/061_TechnicalSpecifications.html. We did not propose any changes to consistent with the specifications for the correctly describes the comorbidity the measures previously finalized and Serum Phosphorus Reporting Measure being risk adjusted under the measure. continuing for PY 2021, however we that is endorsed by the NQF (NQF Comment: Regarding the Serum received two comments requesting #0255), and which evaluates the extent Phosphorus Reporting Measure, one clarification on measures continuing in to which facilities monitor and report commenter expressed concerns that PY2021 and a number of comments on patient phosphorus levels. requiring facilities to report phosphorus ways to improve those measures in the Comment: One commenter asked results from the first month that a ESRD QIP. Those comments and our about the Standardized Readmission patient is on home hemodialysis responses are set forth below. Ratio (SRR) Clinical Measure, inquiring represents a barrier to home dialysis. Comment: One commenter asked why why CMS removed amputation status We understood this to be a reference to CMS removed transient patients from and added functional disability to the concerns about the complexity of the set of exclusions for the Serum list of past-year comorbidity transitioning into home hemodialysis as Phosphorus Reporting Measure. adjustments in the risk model. a treatment modality, and the timing of Response: The measure specification Response: We used the term obtaining the blood draw necessary for language was changed from excluding ‘‘functional disability’’ in a measure the data. transient patients to needing to be in the methodology report that lists the facility for the entire month as an coefficients for the past year Regarding the Comprehensive inclusion criterion. This was done to comorbidity adjustments but defined Dialysis Adequacy measure, clarify how we identify eligible patients that term to mean hierarchical condition commenters expressed concerns that Kt/ for the measure, and aligns the measure groupers (177 and 178) which describe V is an outdated measure of dialysis more closely with how CROWNWeb amputation status (the measure adequacy and shared that there are other (the data source) attributes patients to a Methodology report is available here: tests which would indicate optimal facility. There is essentially no https://www.cms.gov/Medicare/Quality- dialysis such as the Beta-2 difference in application between the Initiatives-Patient-Assessment- microglobulin or a 24-hour urine test. previous and updated specification. The Instruments/ESRDQIP/061_ One commenter stressed that it’s updated specification also makes the TechnicalSpecifications.html). Moving important to include a measure of Serum Phosphorus Reporting Measure forward, we will use the term residual kidney function, particularly that we use in the ESRD QIP more ‘‘Amputation,’’ because that term more for peritoneal dialysis patients. VerDate Sep<11>2014 19:01 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00032 Fmt 4701 Sfmt 4700 E:\FR\FM\01NOR2.SGM 01NOR2 sradovich on DSK3GMQ082PROD with RULES2 Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Rules and Regulations 50769 Regarding the ICH CAHPS measure, the collection period as ‘‘any three (78 FR 72204), Anemia Management commenters argued that the measure contiguous UFRs during a calendar Reporting Measure (77 FR 67491 should be included in the program as a month.’’ Several commenters expressed through 67495, and 78 FR 72198), reporting measure rather than as a concerns about the measure Comprehensive Dialysis Adequacy clinical measure, that the survey should specifications for the measure, Clinical Measure (80 FR 69043–69057), only be conducted once a year because including that a treatment preceding the Ultrafiltration Rate Reporting Measure twice-yearly administration leads to Kt/V but that falls within the prior (81 FR 77912 through 77915), patient fatigue, limiting feedback on calendar month may not meet the Standardized Hospitalization Rate patient experiences, and that the survey reporting requirement. These Reporting Measure (81 FR 77906 should be split into three separate and commenters requested that CMS revise through 77911), Serum Phosphorus independently tested sections rather the measure specifications so that the Reporting Measure (81 FR 77911 than requiring the entire survey twice a UFR reporting requirement can be through 77912), Mineral Metabolism year. Commenters also stressed the need independent of the Kt/V measurement Reporting Measure (78 FR 72197), for a separate survey for home because, they argued, there is no Hypercalcemia Clinical Measure (78 FR hemodialysis patients. rationale for tying the two measures to 72203). Regarding the NHSN BSI Clinical and one another. Comment: Commenters made several Reporting Measures, commenters Regarding the Anemia Management recommendations regarding measures pointed out flaws with the measures, Measure, one commenter urged CMS to we should consider for future inclusion including the fact that dialysis facilities restore a measure establishing a in the program. Commenters cannot report information if they are not minimal standard for anemia recommended a measure for referrals for receiving infection information from management and another requested a transplantation, more measures that hospitals. Several commenters urged separate anemia management measure focus on pediatric patients, an advanced CMS to include only the NHSN Dialysis for home dialysis patients. care planning measure, and a Event reporting measure and to remove One commenter requested that CMS standardized mortality ratio measure. the NHSN BSI clinical measure from the differentiate within the Pain Measure Response: We thank commenters for program. Two other concerns were that between chronic and immediate pain, these recommendations and we will blood cultures obtained in hospitals are and another commenter requested that a consider them as we continue to assess not systematically captured in the pain assessment be required at every measures for future inclusion in the Reporting Measure and that there is treatment rather than merely twice a ESRD QIP. year. A few commenters recommended incomplete antibiotic susceptibility data b. Replacement of the Vascular Access that CMS develop a standardized ESRD- in NHSN. Type (VAT) Clinical Measures Regarding the Standardized specific tool for depression. Beginning With the PY 2021 Program Hospitalization Ratio Clinical Measure, Regarding the Hypercalcemia Clinical Year one commenter argued that the SHR measure, one commenter asked CMS to should not be included in the program remove the measure from the program We consider a quality measure for until its reliability at the facility size entirely because it’s challenging for removal or replacement if: (1) Measure used in the measure has been patients who continue to experience performance among the majority of demonstrated because for small difficulties with access to medications ESRD facilities is so high and unvarying facilities, more than half of a facility’s and the health outcomes related to that meaningful distinctions in score is due to random noise and is not surgery for hyperparathyroidism and improvements or performance can no an accurate signal of quality. Another hypercalcemia. longer be made (in other words, the commenter asked CMS to include an Response: We appreciate commenters’ measure is topped-out); (2) performance exclusion in the measure for thoughtful comments about the or improvement on a measure does not hospitalizations that occur within 29 measures continuing for PY 2021. result in better or the intended patient days of the index discharge because this However, as we did not propose any outcomes; (3) a measure no longer aligns would avoid a readmission being changes to these measures which were with current clinical guidelines or captured as a hospitalization by the SHR previously finalized and are continuing practice; (4) a more broadly applicable but it would still be captured as a into PY 2021, we consider these (across settings, populations, or readmission by the SRR. comments to be outside the scope of the conditions) measure for the topic Regarding the Ultrafiltration Rate CY 2018 ESRD PPS proposed rule. We becomes available; (5) a measure that is (UFR) Reporting measure, several continue to believe that the measures more proximal in time to desired patient commenters recommended that CMS previously finalized for inclusion in the outcomes for the particular topic require January 2018 UFR rates to be program represent the most appropriate becomes available; (6) a measure that is reported on or before March 31, 2018 way to assess quality of care in dialysis more strongly associated with desired rather than February 28, 2018, to align facilities. As we continue to assess the patient outcomes for the particular topic with the reporting of other clinical existing measures in the program, we becomes available; or (7) collection or values for January 2018. Another will take these recommendations into public reporting of a measure leads to commenter recommended that CMS consideration. However as mentioned negative or unintended consequences define ‘‘treatment week’’ or ‘‘collection above, we are not making updates to (77 FR 67475). In the CY 2015 ESRD period’’ for the UFR measure in a way these measures at this time. For a more PPS final rule, we adopted statistical that takes into consideration operational thorough discussion of the concerns criteria for determining whether a details such as lab draws early in the raised at the time we introduced each of clinical measure is topped out, and month or the unavailability of a UFR these measures into the ESRD QIP, adopted a policy under which we could prior to the Kt/V draw for other reasons. please review the following rules where retain an otherwise topped-out measure Alternatively, the commenter suggested each of these measures was finalized: if we determined that its continued that any three contiguous UFRs should ICH CAHPS (77 FR 67480 through inclusion in the ESRD QIP measure set provide an accurate estimate of UFR to 67481, and 78 FR 72193), NHSN would address the unique needs of a accomplish the measure goals and asked Dialysis Event Reporting Measure (77 specific subset of the ESRD population CMS to adopt this position and define FR 67484), NHSN BSI Clinical Measure (79 FR 66174). VerDate Sep<11>2014 19:01 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00033 Fmt 4701 Sfmt 4700 E:\FR\FM\01NOR2.SGM 01NOR2 sradovich on DSK3GMQ082PROD with RULES2 50770 Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Rules and Regulations After publication of the CY 2017 the 75th percentile, or 25th percentile Vascular Access measures were not ESRD PPS final rule (81 FR 77834 for measures where lower percentiles included in this evaluation because they through 77969), we evaluated the indicate better performance, was will not be continuing from PY 2020 to finalized PY 2020 ESRD QIP measures statistically indistinguishable from the PY 2021. CROWNWeb data from 2015 that would be continued in PY 2021 90th (or 10th) percentile, and second, were used for Hypercalcemia, the against these criteria. We determined the truncated coefficient of variation combination of 2015 CROWNWeb data that none of these measures met (TCV) was less than or equal to 10 and 2015 Medicare claims data were criterion (1), (2), (3), (4), (5) or (7). As percent, or 0.10. We note that the used for Kt/V measure, and the SRR, part of this evaluation for criterion one, percentiles were considered statistically STrR, and SHR measures were based on we performed a statistical analysis of indistinguishable if the 75th/25th both combination of 2014 CROWNWeb the PY 2020 measures we plan to percentile was within two standard data and 2014 Medicare claims data. continue using for PY 2021 and future errors of the 90th/10th percentile. The NHSN BSI Clinical Measure was payment years to determine whether Additionally, for each measure the TCV calculated using the CY 2015 NHSN any measures were ‘‘topped out.’’ The was calculated by first removing the data from the CDC, and the six full results of this analysis can be found lower and upper 5th percentiles, then components of the ICH–CAHPS measure at https://www.cms.gov/Medicare/ dividing the standard deviation by the were calculated using the CY 2015 ICH– Quality-Initiatives-Patient-Assessment- mean of this truncated distribution CAHPS data. Instruments/ESRDQIP/061_ (SDtruncated/Meantruncated). The TCV was Table 9 presents the percentiles, TechnicalSpecifications.html and a then converted to a decimal by dividing standard error, and TCV for each summary of our topped-out analysis the TCV by 100. measure. In this analysis, all facilities results appears in Table 9. The measures we evaluated were the with the minimum eligible patient As Table 9 illustrates, the comprehensive Dialysis Adequacy requirement per measure were included. distributions of the PY 2020 clinical measure, Hypercalcemia (referred to in The results indicate none of the PY 2020 measures were assessed to determine if the table as ‘‘Serum Calcium >10.2’’), clinical measures met both ‘‘topped any measures were ‘‘topped out.’’ For a NHSN Standardized Infection Ratio out’’ conditions. Therefore, we did not measure to be considered topped out, (SIR), SRR, STrR, and SHR clinical propose to remove any of these two conditions had to be met. First, a measures, and 6 individual components measures from the ESRD QIP for PY measure was considered topped out if of the CAHPS clinical measure. The 2021 for being topped out. TABLE 9—PY 2020 CLINICAL MEASURES CONTINUING IN PY 2021 INCLUDING FACILITIES WITH MINIMUM ELIGIBLE PATIENT REQUIREMENT PER MEASURE Statistically Measure N 75th/25th 90th/10th Std error indistin- Truncated Truncated TCV TCV ≤0.10 percentile percentile guishable mean SD Kt/V delivered dose above min- imum (%)...... 6101 96.0 97.7 0.084 No 92.6 3.88 0.04 Yes Serum Calcium >10.2 ...... 6258 0.91 0.32 0.050 No a 97.8 1.49 <0.01 Yes ICH–CAHPS: Nephrologists Com- munication and Caring (%) ...... 3349 71.8 77.1 0.159 No 65.7 7.11 0.11 No ICH–CAHPS: Quality of Dialysis Center Care and Operations (%) ...... 3349 66.2 71.2 0.134 No 60.9 6.20 0.10 No ICH–CAHPS: Providing Informa- tion to Patients (%) ...... 3349 82.4 85.6 0.101 No 78.4 4.61 0.06 Yes ICH–CAHPS: Percent, Rating of Nephrologist ...... 3349 69.9 76.6 0.204 No 62.0 9.29 0.15 No ICH–CAHPS: Percent, Rating of Dialysis Facility Staff ...... 3349 70.9 77.4 0.215 No 62.0 9.92 0.16 No ICH–CAHPS: Percent, Rating of Dialysis Center ...... 3349 73.8 80.6 0.221 No 64.8 10.18 0.16 No NHSN-SIR ...... 5805 0.40 0.00 0.011 No 0.964 0.57 <0.01 Yes SRR ...... 6178 0.78 0.63 0.003 No 0.969 0.21 <0.01 Yes STrR ...... 5742 0.63 0.42 0.007 No 0.955 0.39 <0.01 Yes SHR ...... 6298 0.81 0.67 0.004 No 0.978 0.20 <0.01 Yes a Truncated mean for percentage is reversed (100 percent-truncated mean) for measures where lower score = better performance. Over the past few years, we have catheter may be the most appropriate both from the ESRD QIP measure set received numerous public comments vascular access type when life beginning with the PY 2021 program regarding the two VAT measures expectancy is limited (81 FR 77905). We based on criterion (6) listed earlier included in the ESRD QIP’s measure set. also note that the VAT measures because measures that are more strongly Specifically, commenters have currently used in the ESRD QIP measure associated with desired patient recommended that CMS adjust the set are calculated using claims data. outcomes for the particular topic are weights of the VAT measures to place This limits the applicability of the now available. We proposed to replace more emphasis on reducing catheters to measures to Medicare Fee-For-Service the VAT measures with the encourage the use of fistulas and grafts (FFS) patients, while excluding all Hemodialysis Vascular Access: (81 FR 77904). Another commenter others. Standardized Fistula Rate Clinical specifically supported CMS’ submission Although there is no evidence to Measure (NQF #2977) and the of new VAT Measures to the NQF Renal suggest that the current VAT measures Hemodialysis Vascular Access: Long- Standing Committee to address the are leading to negative or unintended Term Catheter Rate Clinical Measure small number of patients for whom a consequences, we proposed to remove (NQF #2978). We believe these VerDate Sep<11>2014 19:01 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00034 Fmt 4701 Sfmt 4700 E:\FR\FM\01NOR2.SGM 01NOR2 sradovich on DSK3GMQ082PROD with RULES2 Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Rules and Regulations 50771 measures will address the of safety concerns associated with that variability in hospital coding methodological concerns the aggressive erythropoiesis-stimulating practices with respect to the use of 038 community has shared regarding the agent (ESA) use, the expansion of the and 039 revenue codes might unduly existing measures. Additionally, both ESRD PPS bundled payment bias the measure rates. Upon reviewing measures have been endorsed by the methodology to include ESAs, and the the committee’s feedback, we revised NQF, are supported by the Measures continued growth and expansion of the the STrR measure to address these Application Partnership, and can be ESRD QIP. There are concerns that these concerns. Following this revision, we calculated using data that facilities are changes could result in the resubmitted the STrR (NQF #2979) to already required to report in underutilization of ESAs, with lower NQF for consensus endorsement, and CROWNWeb to meet 42 CFR 494.180(h) achieved hemoglobin values that may the NQF endorsed it in 2016. The of the Conditions for Coverage for ESRD increase the frequency of red blood cell proposed change to the STrR beginning Dialysis Facilities. Because CROWNWeb transfusion in the United States chronic with the PY 2021 ESRD QIP will align collects data on all patients, we believe dialysis population. the measure specifications we use for that the adoption of these measures will Excessive rates of blood transfusion the ESRD QIP with the measure enable us to more accurately assess the may be an indicator for underutilization specifications that the NQF endorsed in quality of care furnished by facilities. of clinical treatments to increase 2016 (NQF #2979). We requested comments on our endogenous red blood cell production proposal to remove the current VAT (for example, ESA and iron). Dialysis Summary of Change measures from the ESRD QIP measure patients who are eligible for kidney The proposed updated specifications set beginning with the PY 2021 program transplant and have received to the STrR measure contain a more year. The comments and our responses transfusions are at increased risk of restricted definition of transfusion are set forth below. becoming sensitized to the donor pool events than is used in the current STrR Comment: Commenters were thereby making transplant more difficult measure. Specifically, the revised generally supportive of CMS’s proposed to accomplish. Blood transfusions carry definition excludes inpatient replacement of the VAT measures with a small risk of transmitting blood borne transfusion events for claims that the proposed Hemodialysis Vascular infections and/or the development of a include only 038 or 039 revenue codes Access measures, pointing out that the transfusion reaction, and using infusion without an accompanying International new fistula measure adds adjustment for centers or hospitals to transfuse patients factors associated with illness severity Classification of Diseases–9 (ICD–9) or is expensive, inconvenient, and could ICD–10 procedure code or value code. and comorbid conditions, while the 6 compromise future vascular access. As a result of requiring that all inpatient catheter measure excludes patients who Monitoring the risk-adjusted transfusion events include an may be more appropriately treated with transfusion rate at the dialysis facility appropriate ICD–9 or ICD–10 procedure a catheter. Commenters also appreciated level, relative to national standards, code or value code, the measure will efforts made by CMS over the last few allows for detection of treatment identify transfusion events more years to convene a Technical Expert patterns in dialysis-related anemia specifically and with less bias related to Panel (TEP) and to assess best practices management. This is of importance due regional coding variation. As a result, it in Vascular Access. They added that to recommendations by the Food and will assess a smaller number of events CMS should continue reviewing and Drug Administration regarding more as well as a smaller range of total events. revisiting these measures when conservative ESA dosing.7 As providers necessary to account for factors that may use less ESAs in an effort to minimize 2016 Measures Application Partnership warrant further refinement. the risks associated with aggressive Review Response: We appreciate commenters’ anemia treatment, it becomes more support for our efforts to ensure our important to monitor for an overreliance We determined that the proposed measures reflect best practices in on transfusions. Beginning with PY revision to the STrR (NQF #2979) providing quality care to ESRD dialysis 2017, we adopted the STrR to address constituted a substantive change to the patients. We believe that the new gaps in the quality of anemia measure, and we submitted that revision Hemodialysis Vascular Access measures management. We also submitted that to the Measures Application Partnership have several advantages: (1) They measure to the NQF for consensus for consideration as part of the pre- address long-standing concerns with the endorsement, but the Renal Standing rulemaking process. The Measures previous VAT measures that were Committee did not recommend it for Application Partnership recommended included in the program, (2) they take endorsement, in part due to concerns that this measure be refined and into consideration the important clinical resubmitted due to concerns that differences between patients, and (3) 6 FDA Drug Safety Communication: Modified measuring transfusions in dialysis they are reflective of the importance of dosing recommendations to improve the safe use of facilities may not be feasible.8 The patient choice in their own clinical care. Erythropoiesis-Stimulating Agents (ESAs) in Measures Application Partnership also chronic kidney disease. http://www.fda.gov/Drugs/ expressed concern that the decision to c. Revision of the Standardized DrugSafety/ucm259639.htm. Kidney Disease: Improving Global Outcome administer a blood transfusion may be Transfusion Ratio (STrR) Clinical outside of the dialysis facility’s control Measure Beginning With the PY 2021 (KDIGO) Anemia Work Group. KDIGO Clinical Practice Guideline for Anemia in Chronic Kidney because in general, clinicians in Program Year Disease. Kidney inter., Suppl. 2012; 2: 279–335. hospitals make the decisions about We believe that changes during the http://www.kdigo.org/clinical_practice_guidelines/ pdf/KDIGO-Anemia%20GL.pdf. blood transfusions. The Measures past several years to the way ESRD Obrador and Macdougall. Effect of Red Cell Application Partnership also expressed services are reimbursed under Medicare, Transfusions on Future Kidney Transplantation. concern that variability in blood as well as changes to how ESRD care is Clin J Am Soc Nephrol 8: 852–860, 2013. transfusion coding practices could measured under the ESRD QIP and Ibrahim, et al. Blood transfusions in kidney inadvertently affect a dialysis facility’s through other quality reporting transplant candidates are common and associated with adverse outcomes. Clin Transplant 2011: 25: performance on this measure. initiatives, may have impacted how 653–659. anemia is clinically managed. Some of 7 https://www.fda.gov/Drugs/DrugSafety/ 8 http://www.qualityforum.org/WorkArea/ these changes include the identification ucm259639.htm. linkit.aspx?LinkIdentifier=id&ItemID=84452. VerDate Sep<11>2014 19:01 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00035 Fmt 4701 Sfmt 4700 E:\FR\FM\01NOR2.SGM 01NOR2 sradovich on DSK3GMQ082PROD with RULES2 50772 Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Rules and Regulations Although we acknowledge that the definition, transfusion events are general it is best to maintain the QIP Measures Application Partnership included in the measure only if they are measures current with NQF standards. recommended that we refine and coded with specific transfusion Comment: One commenter generally resubmit the updated version of the procedure or value codes. We believe supported the concept of a transfusion STrR measure, we note that the this coding requirement reduces the measure, but suggested possible Measures Application Partnership’s potential for inadvertently capturing adjustments, which the commenter recommendation is at odds with the non-transfusion events in the measure. believes will improve the proposed earlier conclusion of the NQF to endorse In addition, the exclusion of revenue standardized transfusion ratio measure. this change. On the issue of whether it code only transfusion events from the The commenter added that the goal of is feasible to measure transfusions in measure decreases the potential that the comparing transfusion rates across dialysis facilities, the NQF concluded measure results would be influenced by facilities is to identify those facilities that these events can be identified using differences in hospital coding practices. that are systematically allowing the same Medicare claims code We agree with the NQF Standing hemoglobin values to fall, presumably algorithm that we use to identify Committee’s assessment that the STrR by limiting ESA administration. transfusion events in other outpatient (NQF #2979) is an appropriate measure However, transfusions occur in two settings. The STrR measure identifies of quality for dialysis facilities. We situations: (1) In the setting of transfusion events during at-risk periods further believe that the measure is chronically low hemoglobin values for patients cared for in a dialysis appropriate for the ESRD QIP because which the facility could arguably have facility. the measure (1) Demonstrates variation influenced, and (2) in the setting of an With respect to the Measures in performance among facilities, (2) is acutely low hemoglobin value, over Application Partnership’s concern that an outcome of care that is modifiable by which the facility has little control. To the decision to administer a blood dialysis providers through effective distinguish these two situations, the transfusion might be outside of the management of anemia in patients, and commenter recommended that CMS dialysis facility’s control, we note that (3) is a valid and reliable indicator of look at the last outpatient hemoglobin the issue of whether anemia quality at the facility level. Proper value reported on an ESRD claim before management practices in a dialysis management of anemia is an important the transfusion, or at the 3-month facility can be linked to transfusion risk quality of care issue for dialysis rolling average. According to the was specifically considered by the NQF patients, and a topic for which the ESRD commenter, if the hemoglobin value was during the endorsement process. QIP must include measures (see section greater than a set cutoff value, the The NQF Renal Standing Committee 1881(h)(2)(A)(i)). transfusion would be included in the concluded that this transfusion For these reasons, we proposed the measure. In addition, the commenter avoidance measure would incentivize revision to the STrR measure be stated that the measure could exclude facilities to properly manage anemia, reflected in the ESRD QIP, and conditions other than cancers not with the result of lowering the patient’s beginning with the PY 2021 program amenable to ESA based anemia transfusion risk. The NQF Renal year, we proposed to use the updated treatment correction. Response: We thank the commenter Standing Committee also found that version of the STrR (NQF #2979). Full for these suggested improvements to the although the decision to transfuse might measure specifications and testing data STrR. The STrR measure evaluates risk- ultimately be made by a hospital, the are available at https://www.cms.gov/ adjusted blood transfusion ratios at the need to do so is dictated not only by Medicare/Quality-Initiatives-Patient- _ dialysis facility level, comparing clinical circumstances observed by the Assessment-Instruments/ESRDQIP/061 dialysis facilities’ relative success in hospital, but also by the way the TechnicalSpecifications.html. The complete list of ICD–10 codes that transfusion avoidance. Its goal is not patient’s anemia was managed by the limited to reducing transfusion risk facility. would be included in the measure is included in the Technical Report for the associated with chronic severe anemia Although the Measures Application as suggested by the commenter. Several Partnership was concerned that measure and can also be found in that link. dialysis facility practices can influence variability in blood transfusion coding patient risk for transfusion, including practices could inadvertently affect a We requested comments on this proposal. The comments received and anemia management decisions, as well dialysis facility’s performance on this as dialysis prescription and delivery measure, we note that the definition of our responses are set forth below. Comment: Several commenters practices. Furthermore, the transfusion events used in the revised supported CMS’s proposal to update the consequences of these practices can STrR measure is consistent with the STrR measure because they support result in acute increased transfusion risk definition used in numerous scientific CMS’s efforts to ensure that the QIP or chronic increased risk for transfusion, publications, including several peer measures remain current with NQF depending on the clinical situation. reviewed publications.9 Under this standards. Limiting identification of transfusion Response: We thank the commenters events to only those scenarios 9 Hirth, Turenne, Wilk et al. Blood transfusion practices in dialysis patients in a dynamic for their support and we agree that in associated with chronic anemia and regulatory environment. Am J Kidney Dis. 2014 transfusion risk would inappropriately Oct;64(4):616–21. Doi: 10.1053/j.ajkd.2014.01.011. changes to Medicare end-stage renal disease (ESRD) result in a less impactful transfusion Epub 2014 Feb 19. reimbursement systems and erythropoiesis avoidance measure. For these reasons, Gilbertson, Monda, Bradbury & Collins. RBC stimulating agent (ESA) labels. BMC Nephrology we believe that it is appropriate not to Transfusions Among Hemodialysis Patients (1999– 2014, 15:116. limit our assessment of transfusions to 2010): Influence of Hemoglobin Concentrations Ibrahim, et al. Blood transfusions in kidney Below 10 g/dL. Am J Kidney Dis. 2013; Volume 62, transplant candidates are common and associated those with a prior hemoglobin level Issue 5, 919–928. with adverse outcomes. Clin Transplant 2011: 25: reported to CROWNWeb. Collins et al. Effect of Facility-Level Hemoglobin 653–659. Comment: One commenter expressed Concentration on Dialysis Patient Risk of Molony, et al. Effects of epoetin alfa titration concern that the STrR measure has Transfusion. Am J Kidney Dis. 2014; 63(6):997– practices, implemented after changes to product 1006. labeling, on hemoglobin levels, transfusion use, and inappropriately low reliability and Cappell et al. Red blood cell (RBC) transfusion hospitalization rates. Am J Kidney Dis 2016: epub pointed out that when the measure was rates among US chronic dialysis patients during before print (published online March 12, 2016). considered for NQF endorsement, it was VerDate Sep<11>2014 19:01 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00036 Fmt 4701 Sfmt 4700 E:\FR\FM\01NOR2.SGM 01NOR2 sradovich on DSK3GMQ082PROD with RULES2 Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Rules and Regulations 50773 found to have very low reliability, reliability of the STrR. Given the facilities tend to obtain IUR of 0.7 or particularly for small facilities. Another established effect of sample size on IUR greater. Setting the range for the SFA commenter pointed to an analysis, calculations, we generally expect, based based on this approach would result in: which suggested that longer look-back on statistical modeling, that large (1) Applying the SFA for a larger periods would result in a significant facilities will have higher IUR values portion of facilities, depending on the increase in reliability for both the SHR and small facilities will have lower IUR measure; or (2) potentially excluding and the STrR measures. The commenter values for any given measure. Reliability those facilities, and limiting the value of stated that for small facilities, the inter- is fundamentally associated with the the measure to the program. Finally, unit reliability (IUR) for the 1-year size of a facility: A larger denominator setting consistent minimum data measures is low, and that for small leads to more precise assessments. requirements and ranges would be facilities in the STrR measure, the 1- Regardless of a measure’s IUR, it will be challenging because the frequency of year IUR for 0.36 means that nearly two- higher for larger facilities and lower for events varies in these measures (for thirds of the variance in the measure is smaller facilities. The dependence of example, hospitalizations are more due to random noise rather than real reliability on facility size is understood frequent than transfusion events). differences between facilities. when IUR is considered as a standard of Incorporating multiple years of data also Commenter added that with a 4-year reliability by NQF. has potential consequences for look-back period, the IURs for small In response to commenter’s implementation. As a practical matter, it facilities are similar to the IURs for large suggestion above about requiring an IUR would be difficult to provide facilities in the 1-year look-back period. of 0.70, we are not aware of any formal performance standards in advance of 4- According to the commenter, these and prescriptive NQF guideline or year performance period. Doing so results suggest, that with a 4-year look- standard that sets or requires this test would also limit the degree to which back period, a minimum of two-thirds of result value as a minimum threshold for providers could be assessed on the variance in both measures in all passing reliability. Additionally, there is improvement from year to year, since three subgroups would be due to actual no formal required threshold set by only one quarter of the data would differences between facilities. NQF, as demonstrated in the change from payment year to payment Additionally, the commenter believed endorsement of other quality metrics year. that using a 4-year look-back period that have a range of reliability statistics, Comment: One commenter did not would align these measures with the several of which are below the threshold support the proposed modifications to Standardized Mortality Ratio measure of 0.7. The STrR and SHR reliability the STrR measure because it differs from used in the DFC program, creating results are comparable to the reliability the NQF-endorsed version (#2979). consistency across the measures used in test results for other NQF-endorsed risk Commenter argued that since the statute the ESRD QIP and DFC. adjusted outcome measures used in requires CMS to use NQF-endorsed Another commenter pointed out that public reporting, for example, four NQF measures if available, CMS should the IUR for facilities with sample sizes endorsed cause-specific hospital comply with the statutory requirement below 46 patients was about 0.4, mortality measures demonstrated and use the actual NQF-endorsed suggesting that 60 percent of inter- similar levels of reliability (#0229 Heart measure. facility difference was due to random failure measure, ICC: 0.55; #0468 Response: The modifications to the noise and not underlying performance. Pneumonia mortality measure, STrR proposed for PY 2021 of the ERSD The commenter stated that IURs Intraclass Correlation Coefficient: 0.79; QIP will align the measure used in the increase as a function of sample size. #1893 Chronic Obstructive Pulmonary ESRD QIP with the NQF-endorsed Therefore, commenter argued, smaller Disease mortality measure, ICC: 0.51; version of that measure. samples would be associated with lower #2558 Coronary Artery Bypass Grafting Comment: One commenter IURs. Based on the NQF documentation mortality measure, ICC: 0.32). The 2013 recommended that CMS adopt true risk- submitted by CMS, the commenter NQF Task Force on Evaluating Evidence standardized rate measures, which stated that one would expect the vast and Testing also acknowledged that would be more transparent and useable majority of STrR variation to be due to although the ‘‘Consensus Standards by all stakeholders. The commenter random variation across the 10–21 Approval Committee and subcommittee added that risk standardized rates are patient-years at risk that CMS has would like to have provided some easier to understand and that the proposed for the small facility guidance regarding minimum current ratio measures have a wide adjustment for STrR. While the small thresholds, they repeatedly noted the range of uncertainty that does not facility adjustment would raise scores difficulties in determining such provide an accurate view of a facility’s for small facilities, the commenter thresholds and the need for steering performance when the ratio is reduced argued that it would not adequately committees to have flexibility to make to a single number. Rather than offset the substantial effect of random judgments.’’ (Page 13; Review and continuing to use a confusing set of variation for small sample sizes. The Update of Guidance for Evaluating measures, the commenter urged CMS to commenter recommended that CMS set Evidence and Measure Testing. replace the standardized ratio measures the minimum data requirement for each Technical Report. Approved by CSAC with the year-over-year difference measure at the sample size at which the on October 8, 2013: http:// between normalized (per 100 patient IUR reaches 0.70, the value commonly www.qualityforum.org/Publications/ years) rates (for example, for used at NQF. That is, the minimum 2013/10/Review_and_Update_of_ hospitalization) currently available from sample size would be set at the point Guidance_for_Evaluating_Evidence_ Dialysis Facility Reports until they can where at least 70 percent of the and_Measure_Testing_-_Technical_ be replaced by true risk-standardized observed result would be driven by Report.aspx). rate measures. actual performance. Anything below Aside from considering the Another commenter noted that that, commenter argued, means that too appropriateness of limiting assessment moving to rates, while an important step high a proportion of the observed result as the commenters suggested, we forward, would also create issues that is simply due to chance. believe setting a sample size threshold CMS would need to carefully address. Response: We thank commenters for to reach 0.7 IUR for each measure is not The commenter believed that choosing sharing these concerns regarding the feasible. As has been shown, large a methodology to convert ratios to rates VerDate Sep<11>2014 19:01 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00037 Fmt 4701 Sfmt 4700 E:\FR\FM\01NOR2.SGM 01NOR2 sradovich on DSK3GMQ082PROD with RULES2 50774 Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Rules and Regulations would be a challenge and did not Fistula (NQF #0257) measures, which concerns. A copy of the summary TEP believe that a conversion approach are paired measures of the rate of report is available at https:// would produce a true risk-standardized catheter and fistula placement for www.cms.gov/Medicare/Quality- rate measure. The commenter believed chronic dialysis access, respectively, for Initiatives-Patient-Assessment- that under a conversion approach, the the ESRD QIP (77 FR 67479). These Instruments/ESRDQIP/061_Technical use of the national median rate as the measures were developed in accordance Specifications.html. The TEP made the conversion factor for ratios may be with the National Kidney Foundation following recommendations: misleading in regions of the country Kidney Disease Outcomes Quality • The fistula measure should be risk- where typical performance varies Initiative Guidelines that state the adjusted for factors that are associated significantly from the national rate. following: (1) AV fistulas have the with decreased likelihood of AV fistula According to this commenter, the goal lowest rate of thrombosis and require success, including: of using rates instead of ratios is to make the fewest interventions, (2) cost of AV ++ Diabetes. the measure results more meaningful to fistula use and maintenance is the ++ Heart diseases. patients, providers, and other lowest, (3) fistulas have the lowest rates ++ Peripheral vascular disease. stakeholders by expressing measure of infection, and (4) fistulas are ++ Cerebrovascular disease. results in terms that are both valid and associated with the highest survival and ++ Chronic obstructive pulmonary have intrinsic meaning, rather than the lowest hospitalization rates. Several disease. abstract meaning expressed by ratios. epidemiologic studies consistently ++ Anemia (unrelated to ESRD/ Response: The risk-adjustment demonstrate the reduced morbidity and Chronic Kidney Disease). approach currently used for the StrR mortality associated with greater use of ++ Non-Vascular Access-Related measure is based on indirect AV fistulas for vascular access in Infections. standardization which also forms the ++ Drug Dependence. maintenance hemodialysis. • basis of many measures implemented in Based upon data we collected during The measures should include all the ESRD QIP and other CMS quality the CMS Fistula First/Catheter Last eligible hemodialysis patients, not just reporting and value-based purchasing Initiative,10 a gradual trend towards Medicare beneficiaries. • The measures should include programs, and we believe that this lower catheter use has been observed patients in the first 90 days of dialysis approach leads naturally to a among prevalent maintenance because this is a critical time for access standardized ratio. This ratio compares hemodialysis patients in the United planning/placement. the rate for this facility with the national States, declining from approximately 28 • The measures should include in the rate, having adjusted for the patient mix percent in 2006 to approximately 18 numerator only patients with an AV and as such is relatively straightforward. percent by August 2015. Furthermore, fistula using 2 needles (or an approved We are unclear on why the commenter the percentage of maintenance HD single needle device). believes that rates are more easily patients using a catheter for at least 3 • understood than ratios. Similarly to The measures should exclude months has declined during this time conditions associated with a limited life ratios, risk-adjusted rates are not the period from nearly 12 percent to 10.8 same as actual rates and require a expectancy where an AV fistula may not percent. Continued monitoring of be the appropriate choice for access (for consideration of the patient mix chronic catheter use is needed to sustain adjustment for interpretation. We do example, hospice, metastatic cancer, this trend. end stage liver disease, and coma/brain agree that any conversion to rates would Since the Maximizing Placement of require careful consideration of the injury). AV Fistula Measure (NQF #0257) was We responded to the TEP’s measure methodology and implications first implemented, we have received for assessing facility performance prior recommendations by developing two public comments expressing concerns new VAT measures intended to be to implementation. that in certain cases, such as patients Final Rule Action: After carefully jointly reported to assess the placement with a low life expectancy, placement of of vascular access among ESRD dialysis considering the comments received, we a fistula may not be appropriate. A are finalizing the changes to the patients. These two vascular access growing number of studies report that quality measures, when used together, Standardized Transfusion Ratio Clinical creating AV fistulas in some patients is Measure as proposed. consider AV fistula use as a positive less likely to be successful in the outcome and prolonged use of a d. New Vascular Access Measures presence of certain comorbidities. In tunneled catheter as a negative outcome. Beginning With the PY 2021 ESRD QIP addition, certain patient groups may With the growing recognition that some have less incremental benefit from an As discussed in the CY 2018 ESRD patients have exhausted options for an AV fistula relative to an AV graft. AV fistula or have comorbidities that PPS proposed rule (82 FR 31212), for PY Since the implementation of may limit the success of AV fistula 2021, we proposed to remove the two Minimizing Catheter Use as Chronic creation, joint reporting of the measures VAT measures from the ESRD QIP and Dialysis Access Measure (NQF #0256), accounts for all three vascular access to replace them with two Vascular we have received comments from options. This paired incentive structure Access measures that were recently stakeholders raising concerns about its that relies on both measures endorsed by the NQF. We proposed to inability to account for patients with a (standardized fistula rate and long-term score these measures the same way that limited life expectancy, for whom a catheter rate) reflects consensus-based we score the current VAT measures, and fistula, with its extended maturation best practice, and supports maintenance to include them within the Vascular period, may not represent an improved of the gains in vascular access success Access Measure Topic. quality of life. achieved via the Fistula First/Catheter Background In 2015, we convened a TEP to review the existing vascular access measures to Last Project over the last decade. We received general comments on our Beginning with the PY 2015 ESRD consider how best to address these QIP, we adopted the Minimizing proposal to include two new Vascular Catheter Use as Chronic Dialysis Access 10 Fistula First Catheter Last Dashboard August Access measures in the ESRD QIP (NQF #0256) and Maximizing 2015 http://fistulafirst.esrdncc.org/ffcl/for-ffcl- beginning in PY 2021. The comments Placement of Arterial Venous (AV) professionals/archive/. and our responses are set forth below: VerDate Sep<11>2014 19:01 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00038 Fmt 4701 Sfmt 4700 E:\FR\FM\01NOR2.SGM 01NOR2 sradovich on DSK3GMQ082PROD with RULES2 Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Rules and Regulations 50775 Comment: Several commenters CROWNWeb as the data source for the Vascular Access TEP that the fistula recommended that CMS combine the proposed Vascular Access measures and measure under development specify fistula and catheter rates into a single added that it is not clear how ‘‘life that the AV fistula must use 2 needles quality measure to avoid double expectancy’’ will be calculated. (or an approved single-needle device). counting. Specifically, these Commenter recommended that based on The commenter noted that this revision commenters argued that if fistulas and the proposal to use CROWNWeb as the is reflected in the methodology report, grafts are both counted, then using the primary data source for numerator and but not in the specifications. Another catheter rate as a quality measure is denominator, CMS should consider commenter was pleased to see that the virtually a duplication of the fistula/ delaying the implementation of these flowchart in the methodology report graft rate as a quality measure since the two measures until CROWNWeb can be specifies AV fistula only with 2 needles catheter percentage would equal 100 shown to be a reliable data source. or an approved single-needle device, but percent less the total of fistulas and Another commenter noted that for the recommended that the numerator grafts. Even if grafts are not included, two vascular access measures, there are specifications should also explicitly commenters argued, there is still a large patient-level exclusions for patients state that the patient must be on overlap of the fistula and catheter rates, with a catheter but with limited life maintenance HD ‘‘using an AV fistula giving a double penalizing effect of expectancy, and asked for clarification with 2 needles and without a dialysis using both the fistula and catheter rates regarding the 4 criteria used to catheter present’’ to emphasize clarity as two quality measures. determine limited life expectancy and and avoid ambiguity. The commenter Response: The two vascular access how this information is intended to be also recommended that the measures, when used together, consider documented. specifications address how a patient AV fistula use as a positive outcome and Response: Collection of vascular with a co-existing AV graft should be prolonged use of a tunneled catheter as access data through CROWNWeb has handled. Given that removal of an AV a negative outcome. With the growing been ongoing for 5 years. When graft is complex and not without risk of recognition that some patients have analyzing the concordance of complications, the commenter stated exhausted options for an arteriovenous CROWNWeb vascular access data with that the presence of a graft is acceptable fistula, or have comorbidities that may that of Medicare claims, which have even when using a fistula. As this is not limit the success of AV fistula creation, been used in the ESRD QIP VAT the case when a catheter is present, the pairing the measures accounts for all measures since PY 2015, we found a commenter agreed that the continued three vascular access options. The high level of agreement for the AV presence of a catheter when a fistula is standardized fistula rate measure fistula (kappa = .89) and catheter (kappa being used should not constitute includes risk adjustment for patient = .73) data. We believe the data fidelity success on the measure. Finally, a factors where fistula placement may be is sufficient to merit the use of commenter recommended that CMS either more difficult or not appropriate CROWNWeb data for measurement in redefine the denominator as it and acknowledges that in certain the ESRD QIP. mistakenly uses the construction circumstances an AV graft may be the Regarding life expectancy, both the ‘‘patients’’ when it should use the term best access option. This paired incentive standardized fistula rate and the ‘‘patient-months’’ to be consistent with structure that relies on both measures catheter measures exclude patients with the numerator. reflects consensus best practice, and a catheter as their vascular access and Response: Both the flowchart and the supports maintenance of the gains in who meet one of the following vascular access success achieved via the numerator details in the NQF measure conditions below that are identified Fistula First/Catheter Last Project over specifications include language for the through Medicare claims. No additional the last decade. Additionally, the fistula use of 2 needles or an approved single- documentation (that is, attestation) is and catheter measures apply exclusions needle device. We intend to provide required from the facility. Specifically, for certain conditions recognizing that clarifying language in the published limited life expectancy is defined as catheter placement may be the only technical specifications to make this follows: means of vascular access for these clear. Regarding the revision • Patients under hospice care in the patient sub-populations. Specifically, recommended by commenter to specify current reporting month. both measures exclude patients with a in the measure technical specifications • Patients with metastatic cancer in catheter that have limited life how a patient with a co-existing AV the past 12 months. graft should be handled, we thank expectancy defined as being under • hospice care in the current reporting Patients with end-stage liver disease commenter for their recommendation in the past 12 months. and we will make any necessary month, or with metastatic cancer, end • stage liver disease, coma or anoxic brain Patients with coma or anoxic brain updates to the measure technical injury in the past 12 months. In this injury in the past 12 months. specifications as necessary to ensure way, the combination of risk adjustment These conditions were reviewed and clarity. With regard to the for the standardized fistula rate measure supported by the 2015 Vascular Access recommendation that the technical and the application of the exclusions to TEP and all of them are associated with specifications explicitly state that the both measures does not result in doubly a very high mortality rate in the 6- patient must be on maintenance HD penalizing facilities and instead is month period after they first appear in ‘‘using an AV fistula with 2 needles and intended to incentivize best practices Medicare claims. without a dialysis catheter present’’ to for vascular access. Finally, the Comment: Many commenters emphasize clarity and avoid ambiguity, standardized fistula rate measure is a supported the inclusion of the new CROWNWeb did not support this level risk adjusted standardized rate, and Vascular Access measures as endorsed of granularity during the development contains exclusions, therefore the by NQF in the QIP because this ensures of this measure, and so it is not reflected standardized fistula rate cannot be patient safety while recognizing the in the NQF-endorsed measure directly added/subtracted from a raw needs of the individual patient. One specifications. We agree that this is an percentage of grafts and catheters. commenter noted that CMS indicated in appropriate enhancement to consider Comment: One commenter expressed the proposed rule that it concurred with for future measure maintenance and concerns about CMS’s proposal to use the recommendation of the 2015 system development. We confirm that VerDate Sep<11>2014 19:01 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00039 Fmt 4701 Sfmt 4700 E:\FR\FM\01NOR2.SGM 01NOR2 sradovich on DSK3GMQ082PROD with RULES2 50776 Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Rules and Regulations the denominator is constructed using a negative outcome. With the growing AV fistula may not be the appropriate patient-months, which is consistent recognition that some patients have choice for access (for example, hospice, with the NQF-endorsed specifications. exhausted options for an arteriovenous metastatic cancer, end-stage liver Comment: One commenter agreed fistula, or have comorbidities that may disease, and coma/brain injury). with the proposed exclusion from the limit the success of AV fistula creation, Data Sources Vascular Measures of conditions pairing the measures accounts for all associated with a limited life three vascular access options. The CROWNWeb, Medicare claims and expectancy where an AV fistula may not standardized fistula rate measure the CMS Medical Evidence form 2728 be the appropriate choice for access, but includes risk adjustment for patient (OMB No. 0938–0046) are used as the argued that any exclusions or risk- factors where fistula placement may be data sources for establishing the adjustments that are calculated based on either more difficult or not appropriate denominator. CROWNWeb is the data Medicare claims will not capture and acknowledges that in certain source for establishing the numerator. patients who do not have Medicare. circumstances an AV graft may be the Medicare claims and the CMS Medical These commenters urged CMS to clarify best access option. This paired incentive Evidence form 2728 are data sources for whether the proposed new vascular structure that relies on both measures the risk adjustment factors. Medicare access measures would accurately reflects consensus best practice, and claims and CROWNWeb are used for the measure the care furnished to the supports maintenance of the gains in exclusion criteria. Using CROWNWeb as facility’s total ESRD population vascular access success achieved via the the primary data source allows us to (including Medicare beneficiaries and Fistula First/Catheter Last Project over expand the Standardized Fistula Rate to patients with other payers). the last decade. Additionally, the fistula include all ESRD dialysis patients, Response: We will calculate the and catheter measures apply exclusions rather than only Medicare FFS patients, comorbidity risk adjustment using ICD for certain conditions recognizing providing a more complete quality diagnostic codes reported on Medicare catheter may be the only means of assessment for dialysis facilities. This claims or, if the patient is not a vascular access for these patient sub- was a key consideration by the TEP that Medicare beneficiary, information in populations. Specifically, both measures recommended the development of this incident comorbidities reported on the exclude patients with a catheter that measure. CMS Form 2728. This provides a have limited life expectancy defined as Outcome method for application of comorbidity being under hospice care in the current risk adjustment to patients that do not reporting month, or with metastatic The outcome of the Standardized have Medicare claims and allows the cancer, end stage liver disease, coma or Fistula Rate is the use of an AV fistula measure to be applied to all patients anoxic brain injury in the past 12 as the sole means of vascular access as regardless of payer type. months. of the last hemodialysis treatment The additional exclusion criteria for session of the month. the proposed vascular access measures i. New Hemodialysis Vascular Access: are captured using Medicare claims data Standardized Fistula Rate Clinical Cohort only. These measures were Measure (NQF #2977) The cohort includes adult ESRD recommended by the Vascular Access Summary of Changes dialysis patients who are determined to TEP in 2015 with the expectation that be maintenance hemodialysis patients considering the exclusions is This proposed measure replaces NQF (in-center or home) for the entire appropriate. We conducted sensitivity #0257, Maximizing Placement of AV reporting month at the same facility. analyses regarding the application of fistula, and it incorporates changes that these measures and found that the reflect input from the 2015 Vascular Inclusion and Exclusion Criteria exclusions are relatively rare and do not Access TEP: The Standardized Fistula Rate substantially bias the measure • Risk Adjustment for the following excludes pediatric patients (<18 years assessment. conditions that affect the success of old), patients on peritoneal dialysis, and Comment: Commenter recommended fistula placement: patient-months where the patient was that rather than using fistulas alone, ++ Diabetes. not on hemodialysis (in-center or home) CMS should consider including ++ Heart diseases. at the same facility for the entire arteriovenous grafts with AV fistula for ++ Peripheral vascular disease. reporting month. The measure several reasons: (1) While overall ++ Cerebrovascular disease. additionally excludes patients with a fistulas are slightly superior to grafts, ++ Chronic obstructive pulmonary catheter who have a limited life there is virtually no difference in the disease. expectancy. elderly, (2) grafts are as long-lasting as ++ Anemia (unrelated to ESRD/ fistulas if primary failures are included, Chronic Kidney Disease). Risk Adjustment (3) grafts may be placed shortly before ++ Non-Vascular Access-Related The Standardized Fistula Rate is a dialysis to avoid unnecessary fistulas Infections. directly standardized percentage, with that aren’t used, (4) grafts are more ++ Drug Dependence. each facility’s percentage of fistula use successful than fistulas as a second • Inclusion of all eligible adjusted by a series of risk factors, access, (5) grafts help avoid catheters, hemodialysis patients, not just Medicare including patient demographic and and (6) inclusion of both fistulas and beneficiaries. clinical characteristics based on a grafts may minimize or eliminate the • Inclusion of patients in the first 90 logistic regression model. The need for a complex adjustment in the days of dialysis because this is a critical demographic and clinical characteristics fistula rate as is proposed. time for access planning/placement. were chosen in order to adjust for Response: We thank the commenter • Inclusion in the numerator of only factors outside the control of a facility for its comments on the vascular access patients with an AV fistula using 2 that are associated with a decreased measures. The two vascular access needles (or an approved single needle likelihood of AV fistula success. measures, when used together, consider device). We submitted the measure to NQF, AV fistula use as a positive outcome and • Exclusion of conditions associated where the Renal Standing Committee prolonged use of a tunneled catheter as with a limited life expectancy where an recommended it for consensus VerDate Sep<11>2014 19:01 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00040 Fmt 4701 Sfmt 4700 E:\FR\FM\01NOR2.SGM 01NOR2 sradovich on DSK3GMQ082PROD with RULES2 Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Rules and Regulations 50777 endorsement, and the NQF endorsed the not meet criteria for successful fistula Measure in the ESRD QIP measure set measure in December 2016. The placement. We intend to evaluate this beginning with the PY 2021 program. Standardized Fistula Rate (NQF #2977) criterion and data availability to ii. New Hemodialysis Vascular Access: was submitted to the Measure determine feasibility of adding this Long-Term Catheter Rate (NQF #2978) Applications Partnership in 2016, exclusion in a future iteration of this Beginning With the PY 2021 ESRD QIP which supported the measure for measure. implementation in the ESRD QIP. Many of the exclusion criteria based Summary of Changes We proposed implementing on comorbidities suggested by This proposed measure replaces NQF Hemodialysis Vascular Access: commenters are either associated with #0256, Minimizing Use of Catheters as Standardized Fistula Rate (NQF #2977) shortened life expectancy or low Chronic Dialysis Access, and it beginning with the PY 2021 program likelihood of successful fistula incorporates the following changes that year. Detailed measure specifications placement. In some situations, the reflect input from the 2015 Vascular and testing data are available at https:// severity of the underlying diagnosis is Access TEP: www.cms.gov/Medicare/Quality- difficult to ascertain from claims data, • Inclusion of all eligible Initiatives-Patient-Assessment- although like heart failure, we anticipate hemodialysis patients, not just Medicare Instruments/ESRDQIP/061_ this will improve over time with the beneficiaries, since the measure is now TechnicalSpecifications.html. We change to and availability of ICD–10 specified to be calculated from requested comments on these proposals. codes. Therefore, other comorbidities CROWNWeb. Comment: One commenter will be evaluated as part of future • Patients using a catheter recommended that CMS expand the measure maintenance. Lastly, multiple continuously for 3 months or longer, exclusion criteria for the Vascular prior failed vascular access attempts even if combined with an AV fistula (or Access measures to include the were considered by the TEP as an graft), are now counted in the following: (1) Steal syndrome that exclusion criterion to address the numerator. The current measure does required ligation of AV fistula or exhaustion of vascular sites or failed not count patients in the numerator if arteriovenous graft, (2) Patients who attempts to create a fistula or graft, they have a catheter combined with an have had multiple failed AV fistula or however consensus was not reached AV fistula or graft. arteriovenous graft attempts and have within the TEP on how best to • Patients with missing VAT are no suitable sites left to create AV fistula implement this exclusion. At the counted in both the denominator and or arteriovenous graft, and (3) Patients present time, historical vascular access the numerator. That is, ‘‘missing’’ access who have medical contraindications to data in CROWNWeb are limited, but type is considered a ‘‘failure’’ and AV fistula surgery including severe this exclusion criterion will be therefore counts against the facility. congestive heart failure, and high output evaluated when more historical vascular • Exclusion criteria have been added cardiac failure from previous AV fistula. access data are available. to the measure for conditions associated Commenter also recommended that if The two vascular access measures, with a limited life expectancy where a patients choose to have neither a fistula when used together, consider AV fistula catheter may be an appropriate choice nor a graft placed, after adequate use as a positive outcome and prolonged for access. These are the same education by their physician, then the use of a tunneled catheter as a negative exclusions applied to the Standardized patients should be excluded from the outcome. With the growing recognition Fistula Rate measure (for example, denominator. Commenter added that that some patients have exhausted hospice, metastatic cancer, end stage while overall, fistulas are slightly options for an arteriovenous fistula, or liver disease, and coma/brain injury). superior to grafts, there is virtually no have comorbidities that may limit the difference in the elderly. The success of AV fistula creation, pairing Data Sources commenter also added that some of the the measures accounts for all three CROWNWeb, Medicare Claims and benefits of grafts are that they are as vascular access options. The the CMS Medical Evidence form 2728 long-lasting as fistulas if primary standardized fistula measure adjusts for are used as the data sources for failures are included, they may be patient factors where fistula placement establishing the denominator. placed shortly before dialysis to avoid may be either more difficult or not CROWNWeb is the data source for unnecessary fistulas that aren’t used, appropriate and acknowledges that in establishing the numerator. Medicare they are more successful than fistulas as certain circumstances an AV graft may claims and CROWNWeb are used for the a second access, they help to avoid be the best access option. This paired exclusion criteria. Medicare claims and central venous catheters, and they may incentive structure that relies on both the CMS Medical Evidence Form 2728 minimize or eliminate the need for a measures reflects consensus best are used for risk adjustment. Using complex risk adjustment in the fistula practice, and supports maintenance of CROWNWeb as the primary data source rate as is proposed. the gains in vascular access success allows us to expand the Long-Term Response: The TEP that developed achieved via the Fistula First/Catheter Catheter Rate to include all ESRD this measure in 2015 discussed at length Last Project over the last decade. dialysis patients, rather than only the proposed exclusion for patients who Finally, it would be difficult to ascertain Medicare FFS patients, providing a have exhausted anatomic options for what constitutes adequate education by more complete quality assessment for permanent access. The TEP agreed that a nephrologist from the patient’s dialysis facilities. This was a key this was an important exclusion, but perspective as well as how to validate consideration by the TEP that they also recognized that it would be informed patient choice not to have an recommended the development of this difficult to implement. A major concern AV fistula or arteriovenous graft, and measure. was also that there are not currently this may be particularly a concern for data sources or infrastructure in place vulnerable patients. Outcome that would allow identification of Final Rule Action: After consideration The outcome of the Long-Term patients who have no further surgical of the comments received, we are Catheter Rate is the use of a catheter options for vascular access. There finalizing our proposal to include the continuously for 3 months or longer as would also need to be strong consensus Hemodialysis Vascular Access: of the last hemodialysis treatment on what determines whether patients do Standardized Fistula Rate Clinical session of the month. VerDate Sep<11>2014 19:01 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00041 Fmt 4701 Sfmt 4700 E:\FR\FM\01NOR2.SGM 01NOR2 sradovich on DSK3GMQ082PROD with RULES2 50778 Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Rules and Regulations Cohort average) that decreases patient quality of commenter stated, applying patient The cohort includes adult ESRD life enough for access ligation; and (6) consent could be subject to gaming and dialysis patients who are determined to patient preference. If patient preference would be difficult to validate, be maintenance hemodialysis patients cannot be fully considered by CMS, particularly for vulnerable patients. Comment: One commenter argued (in-center or home) for the entire commenter recommended that an that without including AV Grafts in the reporting month at the same facility. adjustment be included at least for those patients on hemodialysis 4–6 times per measure, there’s a portion of the patient Inclusion and Exclusion Criteria week or with needle phobia. A patient population being excluded. Also, if the The Long-Term Catheter Rate preference adjustment or exception, the facility does not meet the AV fistula excludes pediatric patients (<18 years commenter suggested, could be threshold, then the commenter believes old), patients on peritoneal dialysis, and evaluated by signed patient forms and that the long-term catheter rate is patient-months not on hemodialysis (in- statistics with inspections of outlier directly impacted and facilities are at risk for losing points in two measures. center or home) for the entire reporting facilities. Commenter further argued The proposed risk adjustments for the month at the same facility. The measure that for most of the patients with these standardized fistula rate, commenter additionally excludes patients with a conditions, a catheter is the appropriate argued, should also be applied to the catheter who have a limited life vascular access and facilities should not long-term catheter rate. Also, the expectancy. be penalized for those patients. The commenter stated that the exclusion We submitted the Long-Term Catheter commenter stated that there are some criteria for this measure should be Rate (NQF #2978) to NQF, where the dialysis facilities that don’t accept expanded to incorporate patient choice, Renal Standing Committee patients with catheters in an effort to avoid CMS penalties and this ‘‘cherry- and those appropriate medical and recommended it for consensus picking’’ concern would be eliminated surgical exclusions, so that this measure endorsement, and the NQF endorsed the by including an exception for patient reflects the quality of care being measure in December 2016. The preferences. delivered at the facility. Even with the measure was submitted to the Measure Commenter suggested that while these addition of the proposed exclusion Application Partnership in 2016, which additional exclusion criteria could open criteria, the commenter stated that it’s supported it for implementation in the the door to gaming the system, signed still possible for the QIP score to ESRD QIP. patient forms and statistics with penalize facilities for recommending the We proposed to introduce the Long- inspections of outlier facilities could most clinically appropriate access for Term Catheter Rate (NQF #2978) into handle that issue. If a patient chooses to their patients. the ESRD QIP beginning with the PY have long-term catheter after adequate Response: The fistula and catheter 2021 program year. Full measure education from their Nephrologist and measures apply exclusions for certain specifications and testing data are care team, then the commenter believes conditions recognizing that catheter available at https://www.cms.gov/ that the patient should be excluded. placement may be the only means of Medicare/Quality-Initiatives-Patient- vascular access for these patient sub- _ Commenter added that most patients Assessment-Instruments/ESRDQIP/061 with these conditions have a catheter populations. Specifically, both measures TechnicalSpecifications.html. that is clinically appropriate. If the exclude patients with a catheter that We requested comments on this catheter is the best medical access for have limited life expectancy defined as proposal. that patient, then the commenter being under hospice care in the current Comment: One commenter supported believes that the facility should not be reporting month, or with metastatic the inclusion of the NQF-endorsed penalized. cancer, end stage liver disease, coma or catheter measure in the program but Response: Many of the comorbidities anoxic brain injury in the past 12 asked that CMS provide some additional suggested by commenters are either months. In this way, the combination of clarifications. The commenter asked associated with shortened life risk adjustment for the SFR and the that CMS clarify how data with missing expectancy or low likelihood of application of the exclusions to both access type will be handled. successful fistula placement. In some measures does not result in doubly Response: We thank commenter for its situations, the severity of the underlying penalizing facilities and instead is support. The NQF-endorsed measure diagnosis is difficult to ascertain from intended to incentivize best practices specifications we have adopted for the claims data, although like heart failure, for vascular access. measure state that the measure counts we anticipate this will improve over Final Rule Action: After consideration patient-months with missing vascular time with the change to and availability of the comments received, we are access type in both the denominator and of ICD–10 codes. Therefore, we finalizing our proposal to include the the numerator. Therefore, missing anticipate other comorbidities will be Hemodialysis Vascular Access: Long- vascular access type is counted as a evaluated as part of future measure Term Catheter Rate Clinical Measure in catheter. maintenance. Regarding the 4th the ESRD QIP measure set beginning Comment: Two commenters suggestion of commenter, regarding with the PY 2021 program. recommended that the catheter rate be ‘‘exhausted vascular sites or multiple adjusted for the following: (1) Arterial failed attempts to create a fistula or e. Performance Period for the PY 2021 steal syndromes or other medical graft,’’ multiple prior failed vascular ESRD QIP contraindications to a fistula or graft, for access attempts were considered by the We proposed to establish CY 2019 as example, severe congestive heart failure; TEP as an exclusion criterion, however the performance period for the PY 2021 (2) extensive arm swilling from a fistula consensus was not reached within the ESRD QIP for all but the NHSN or graft; (3) co-morbidities with short TEP on how best to implement this Healthcare Personnel Influenza predicted survivals and patients over 90 exclusion. At the present time, Vaccination reporting measure because years old; (4) exhausted vascular sites or historical vascular access data in it is consistent with the performance multiple failed attempts to create a CROWNWeb are limited, but we periods we have historically used for fistula or graft; (5) prolonged access anticipate evaluating this exclusion these measures and accounts for hemorrhaging post-dialysis from a criterion when more historical vascular seasonal variations that might affect a fistula or graft (over 30 minutes on access data are available. Finally, as the facility’s measure score. VerDate Sep<11>2014 19:01 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00042 Fmt 4701 Sfmt 4700 E:\FR\FM\01NOR2.SGM 01NOR2 sradovich on DSK3GMQ082PROD with RULES2 Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Rules and Regulations 50779 We proposed that the performance finalizing the performance period for Final Rule Action: After consideration period for the NHSN Healthcare the PY 2021 ESRD QIP as proposed. of the comments received, we are Personnel Influenza Vaccination finalizing our proposal to continue our f. Performance Standards, Achievement reporting measure will be from October methodology for setting the performance Thresholds, and Benchmarks for the PY standards, achievement thresholds, and 1, 2018 through March 31, 2019, 2021 ESRD QIP because this period spans the length of benchmarks for the PY 2021 ESRD QIP. the 2018–2019 influenza season. Section 1881(h)(4)(A) of the Act provides that ‘‘the Secretary shall ii. Performance Standards, Achievement We requested comments on these Thresholds, and Benchmarks for the proposals. establish performance standards with respect to measures selected...for a Clinical Measures Proposed for the PY Comment: Two commenters 2021 ESRD QIP supported setting CY 2019 as the performance period with respect to a performance period for PY 2021 year.’’ Section 1881(h)(4)(B) of the Act We do not currently have the generally but did not support the further provides that the ‘‘performance necessary data to assign numerical proposed performance period for the standards...shall include levels of values to the proposed performance NHSN Healthcare Personnel Influenza achievement and improvement, as standards for the clinical measures, Vaccination Reporting Measure as being determined appropriate by the because we do not yet have data from from October 1, 2018 through March 31, Secretary.’’ We use the performance CY 2017 or the first portion of CY 2018. 2019. They argued that the dates of standards to establish the minimum We will publish values for the clinical vaccine availability do not coincide score a facility must achieve to avoid a measures, using data from CY 2017 and the first portion of CY 2018 in the CY with the dates for the measure and Medicare payment reduction. 2019 ESRD PPS final rule. encouraged CMS to modify the measure i. Performance Standards, Achievement to align with the CDC’s guidelines for Thresholds, and Benchmarks for the iii. Performance Standards for the PY immunization, which define the Clinical Measures in the PY 2021 ESRD 2021 Reporting Measures performance period as October 1 or QIP In the CY 2014 ESRD PPS final rule, ‘‘whenever the vaccine became For the same reasons stated in the CY we finalized performance standards for available.’’ 2013 ESRD PPS final rule (77 FR 67500 the Anemia Management and Mineral Response: We thank the commenters through 76502), we proposed for PY Metabolism reporting measures (78 FR for sharing their concerns, however as 2021 to set the performance standards, 72213). In the CY 2016 ESRD PPS final we have explained in previous rules, the achievement thresholds, and rule, we finalized performance performance period for this measure benchmarks for the clinical measures at standards for the Screening for Clinical defines the flu season during which the 50th, 15th, and 90th percentile, Depression and Follow-Up, Pain healthcare personnel must be protected respectively, of national performance in Assessment and Follow-Up, and NHSN against influenza. The performance CY 2017, because this will give us Healthcare Provider Influenza period is only used to identify enough time to calculate and assign Vaccination reporting measures (79 FR personnel who have physically worked numerical values to the proposed 66209). In the CY 2017 ESRD PPS final at the facility for at least 1 day between performance standards for the PY 2021 rule, we finalized performance October 1 and March 31. These are program prior to the beginning of the standards for the Ultrafiltration Rate employees that are considered eligible performance period. We continue to Reporting Measure (81 FR 77916), the for inclusion in the measure believe these standards will provide an Serum Phosphorus Reporting measure denominator. The performance period incentive for facilities to continuously (81 FR 77916), and the NHSN Dialysis does not indicate when the influenza improve their performance, while not Event Reporting measure (81 FR 77916). vaccination should be administered. reducing incentives to facilities that We proposed to continue use of these Therefore, any personnel who are score at or above the national performance standards for the Reporting employed for at least 1 day during the performance rate for the clinical Measures included in the PY 2021 ESRD flu season, may be vaccinated as soon as measures. QIP. the vaccine becomes available for that We requested comments on our We did not receive any comments on respective season. Facilities should proposal to continue this policy for PY our proposed use of these performance report influenza vaccinations given to 2021. The comments and our responses standards for the Reporting Measures all healthcare personnel whether they are set forth below. included in the PY 2021 ESRD QIP and are vaccinated prior to or during the Comment: One commenter stated that we are therefore finalizing these denominator reporting period to receive it supports CMS’s reliance on the same standards as proposed. full credit for the measure; therefore, basic methodology year-over-year for g. Scoring the PY 2021 ESRD QIP there is no penalty for early vaccination the ESRD QIP and therefore supports built into the NHSN measure (81 FR the continuation of the previous policy i. Scoring Facility Performance on 77901). of setting the performance standard, Clinical Measures Based on Comment: One commenter supported achievement threshold, and benchmark Achievement the influenza vaccination reporting at the 50th, 15th, and 90th percentiles In the CY 2014 ESRD PPS final rule, measure performance period of October respectively, in PY 2021. The we finalized a policy for scoring 1 through March 31 because it is commenter also stated that it supports performance on clinical measures based consistent with other quality reporting the policy for determining payment on achievement (78 FR 72215). Under and value-based purchasing programs. reductions, including the process for this methodology, facilities receive Response: We thank commenter for setting the minimum TPS. points along an achievement range their support of the proposed Response: We thank the commenter based on their performance during the performance period for the Healthcare for their support and we agree that performance period for each measure, Personnel Influenza Vaccination consistency in program implementation which we define as a scale between the Reporting Measure. is an important consideration in achievement threshold and the Final Rule Action: After consideration selecting a methodology for scoring benchmark. In determining a facility’s of the comments received, we are performance under the ESRD QIP. achievement score for each clinical VerDate Sep<11>2014 19:01 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00043 Fmt 4701 Sfmt 4700 E:\FR\FM\01NOR2.SGM 01NOR2 sradovich on DSK3GMQ082PROD with RULES2 50780 Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Rules and Regulations measure under the PY 2021 ESRD QIP, the current low volume scoring receive an achievement score and an we proposed to continue using this adjustment to a facility’s home dialysis improvement score for each of the three methodology for all clinical measures. population, should they meet the rest of composite measures and three global We also proposed to use this same the criteria. The commenter stated that ratings in the ICH CAHPS survey methodology for scoring the two new this adjustment was originally designed instrument. A facility’s ICH CAHPS Vascular Access measures. to be applied facility-wide to facilities score will be based on the higher of the Aside from the proposed addition of having only 11–25 eligible cases for a facility’s achievement or improvement the two Vascular Access measures, we given clinical measure, and the score for each of the composite did not propose any changes to this commenter was unsure whether this measures and global ratings, and the policy. We proposed to continue use of approach would adequately compensate resulting scores on each of the this policy for the PY 2021 ESRD QIP. for the disadvantage of being scored on composite measures and global ratings We did not receive any comments on a small number of measures. will be averaged together to yield an our continued use of this policy for PY Another commenter argued that the overall score on the ICH CAHPS clinical 2021. Accordingly, we are finalizing this measures should reflect the unique measure. For PY 2021, the facility’s policy as proposed. nature of each modality and should be achievement score would be calculated developed based on data specific to that ii. Scoring Facility Performance on by comparing where its performance, on modality, recommending that CMS Clinical Measures Based on each of the three composite measures improve Peritoneal Dialysis adequacy Improvement and three global ratings during CY 2019 scoring within the scoring methodology falls, relative to the achievement In the CY 2014 ESRD PPS final rule, because PD therapy is inherently threshold and benchmark for that we finalized a policy for scoring different from Hemodialysis and measure and rating based on CY 2017 performance on clinical measures based outcomes should be measured data. The facility’s improvement score on improvement (78 FR 72215 through accordingly. According to the would be calculated by comparing its 72216). In determining a facility’s commenter, many PD patients performance on each of the three improvement score for each measure experience residual renal function, composite measures and three global under the PY 2021 ESRD QIP, we which is not captured by the QIP and ratings during CY 2019 to its proposed to continue using this this is a particularly significant scoring performance rates on these items during methodology for all clinical measures. limitation with respect to the pediatric CY 2018. Under this methodology, facilities PD population. Commenter urged CMS We requested comments on this receive points along an improvement to revise the dialysis adequacy targets proposal. We did not receive any range, defined as a scale running downward to more accurately capture comments on this proposal. We are between the improvement threshold and and reflect the actual experiences of PD therefore finalizing this policy as the benchmark. We proposed to define patients. proposed. the improvement threshold as the Response: We thank commenters for iv. Scoring the Proposed Hemodialysis facility’s performance on the measure sharing their concerns. While we Vascular Access: Standardized Fistula during CY 2018. The facility’s recognize there are differences in the Rate and Long-Term Catheter Rate improvement score would be calculated achievement of adequate dialysis by Measures and the Vascular Access by comparing its performance on the modality and age, all ESRD dialysis Measure Topic measure during CY 2019 (the patients require adequate dialysis, and it performance period) to the is reasonable to expect providers to In the CY 2013 ESRD PPS final rule improvement threshold and benchmark. provide adequate dialysis to all patients, we established a methodology for We also proposed to use this same regardless of modality or age. CMS deriving the overall scores for measure methodology for scoring the two new continues to believe that facilities topics (77 FR 67507). We proposed to Vascular Access measures. should strive to provide the best quality use the same methodology described in Aside from the proposed addition of care, regardless of a patient’s modality the CY 2013 ESRD PPS to calculate the the two new Vascular Access measures, or age. We will consider these concerns VAT Measure Topic Score. we did not propose any other changes and evaluate the issue further. We requested comments on this to this policy. We proposed to continue Comment: One commenter supported proposal. We did not receive any use of this policy for the PY 2021 ESRD the proposal to use the existing comments on this proposal. We are QIP. methodology for scoring in PY 2021. therefore finalizing this policy as The comments and our responses to Response: We appreciate the support. proposed. the comments on our proposals are set Final Rule Action: After consideration v. Calculating Facility Performance on forth below. of the comments received, we are Reporting Measures Comment: Commenters expressed finalizing our proposals for scoring concerns with the current policy for facilities on clinical measures based on In the CY 2013 ESRD PPS final rule, scoring the ESRD QIP and suggested the improvement and achievement we finalized policies for scoring that it could be a barrier to home methodologies as proposed for the PY performance on the Anemia dialysis uptake at small facilities or 2021 ESRD QIP. Management and Mineral Metabolism stand-alone ‘‘home only’’ programs reporting measures in the ESRD QIP (77 because a small sample size can put a iii. Scoring the ICH CAHPS Clinical FR 67506). In the CY 2015 ESRD PPS facility at risk for a payment reduction Measure final rule, we finalized policies for due to one or two low scores on a In the CY 2015 ESRD PPS final rule, scoring performance on the Clinical measure. we finalized a policy for scoring Depression Screening and Follow-Up, Regarding the clinical measure performance on the ICH CAHPS clinical Pain Assessment and Follow-Up, and domain score, which is worth 75 measure based on both achievement and NHSN Healthcare Provider Influenza percent of the TPS and only comprises improvement (79 FR 66209 through Vaccination reporting measures (79 FR 2–3 measures for most home programs, 66210). We proposed to use this scoring 66210 through 66211). In the CY 2017 commenter suggested that one way to methodology for the PY 2021 ESRD QIP. ESRD PPS final rule, we finalized mitigate this effect would be to apply Under this methodology, facilities will policies for scoring performance on the VerDate Sep<11>2014 19:01 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00044 Fmt 4701 Sfmt 4700 E:\FR\FM\01NOR2.SGM 01NOR2 sradovich on DSK3GMQ082PROD with RULES2 Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Rules and Regulations 50781 Ultrafiltration Rate, Serum Phosphorus, h. Weighting the Measure Domains, and Accordingly, in an effort to remain and NHSN Dialysis Event reporting Weighting the TPS for PY 2021 consistent in the weighting of measures measures (81 FR 77917). included in the program, we proposed We proposed to continue use of these In the CY 2017 ESRD PPS final rule, to weight the following measures in the policies for the PY 2021 ESRD QIP. we discussed our policy priorities for following subdomains of the three We did not receive any comments on quality improvement for patients with individual measure domains (see Table ESRD (81 FR 77887). These priorities this proposal. We are therefore 10): finalizing these policies as proposed. have not changed since that time. TABLE 10—PROPOSED MEASURE DOMAIN WEIGHTING FOR THE PY 2021 ESRD QIP Measure weight within Measure weight as Measures/measure topics by subdomain the domain percent of TPS (proposed for PY 2021) (proposed for PY 2021) Clinical Measure Domain Patient and Family Engagement/Care Coordination Subdomain ...... 40% ...... 30. ICH CAHPS Measure ...... 25% ...... 18.75. SRR Measure ...... 15% ...... 11.25. Clinical Care Subdomain ...... 60% ...... 45. STrR measure ...... 11% ...... 8.25. Kt/V Dialysis Adequacy Comprehensive Measure ...... 18% ...... 13.5. Vascular Access Type Measure Topic ...... 18% ...... 13.5. Hypercalcemia measure ...... 2% ...... 1.5. SHR Measure ...... 11% ...... 8.25. Total: Clinical Measure Domain ...... 100% of Clinical Meas- 75% of Total Perform- ure Domain. ance Score. Reporting Measure Domain Serum Phosphorus reporting measure ...... 20% ...... 2. Anemia Management reporting measure ...... 20% ...... 2. Pain Assessment and Follow-Up reporting measure ...... 20% ...... 2. Clinical Depression Screening and Follow-Up reporting measure ...... 20% ...... 2. Healthcare Personnel Influenza Vaccination reporting measure ...... 20% ...... 2. Total: Reporting Measure Domain ...... 100% of Reporting 10% of Total Perform- Measure Domain. ance Score. Safety Measure Domain NHSN BSI Clinical Measure ...... 60% ...... 9. NHSN Dialysis Event Reporting Measure ...... 40% ...... 6. Total: Safety Measure Domain ...... 100% of Safety Measure 15% of Total Perform- Domain. ance Score. For PY 2021 we proposed to maintain Vascular Access measures with the justify a higher combined weight (78 FR the weight of the Safety Measure proposed Standardized Fistula and 72217). In the CY 2017 ESRD PPS final Domain at 15 percent of a facility’s TPS Catheter Clinical measures. We believe rule, we finalized that for PY 2020, the without raising it further, in light of these measures hold the same weight of the Safety Measure Domain validation concerns discussed in the CY importance and value as the measures would be 15 percent of a facility’s TPS, 2017 ESRD PPS final rule (81 FR 77887). they are replacing and therefore did not the weight of the Clinical Measure Specifically, we identified two distinct propose any changes to the weights Domain would be 75 percent of a types of accidental or intentional under- finalized for PY 2020 in the CY 2017 facility’s TPS and the weight of the reporting. First, there is a belief that ESRD PPS final rule (81 FR 77887). We Reporting Measure Domain would be 10 stated that we may, in future years of many facilities do not consistently percent of a facility’s TPS. We did not the program, consider increasing the report monthly dialysis event data for propose any changes to the weights weight of the NHSN BSI Clinical the full 12-month performance period. assigned to these domains and proposed Measure and/or the NHSN BSI Measure to apply the same weights to the three Second, even with respect to the Topic once we see that facilities are facilities that do report monthly dialysis scoring domains for the PY 2021 completely and accurately reporting to program year. event data, there is a concern that many NHSN and once we have analyzed the of those facilities do not consistently data from the recently updated NHSN In the CY 2017 ESRD PPS final rule, report all of the dialysis events that they Data Validation Study. we also finalized that, to be eligible to should be reporting (81 FR 77879). We continue to believe that while the receive a TPS, a facility must be eligible Although we did not propose to change reporting measures are valuable, the to be scored on at least one measure in the total number of measures in the clinical measures assess facility the Clinical Measure Domain and at ESRD QIP’s measure set for PY 2021, we performance on actual patient care least one measure in the Reporting proposed to replace the existing processes and outcomes, and therefore, Measure Domain. We did not propose VerDate Sep<11>2014 19:01 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00045 Fmt 4701 Sfmt 4700 E:\FR\FM\01NOR2.SGM 01NOR2 sradovich on DSK3GMQ082PROD with RULES2 50782 Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Rules and Regulations any changes to this policy for the PY Measure. Results (shown in Table 11), would be adversely impacted were we 2021 ESRD QIP. suggest that although some facilities to adopt this weighting structure. We requested comments on these would benefit from this policy change, Comment: One commenter requested proposals. a larger percentage would not. clarification on the weight of the Comment: Commenters urged CMS to Ultrafiltration Rate Reporting Measure re-weight the Vascular Access measures TABLE 11—ANALYSIS OF THE EFFECTS for PY 2021 because no weight was within the Clinical Measure Domain, OF RE-WEIGHTING THE VASCULAR included for that measure in the assigning 2⁄3 of the weight of that ACCESS MEASURES proposed rule. measure topic to the Catheter Measure Response: We thank the commenter and 1⁄3 to the Fistula. Commenters N % for pointing out the error. Although we argued that with a differential weighting inadvertently did not include the of the two measures, a facility that Difference in Payment Reduction proposed numerical weight for the UFR scores especially well on the catheter Lower Payment Reduction 328 5.82 Reporting Measure for PY 2021 in Table measure (that is, low numbers of Higher Payment Reduction 417 7.40 8 of the proposed rule, we proposed to catheters) compared to the fistula No Change ...... 4890 86.78 weight the reporting measures and the measure could achieve an increase of Reporting Measure Domain consistent about 2 points in its TPS. Conversely, Difference in TPS with how we have weighted them in these commenters stated that a facility previous years of the program (79 FR Lower TPS ...... 2373 42.10 that scores especially well on the fistula Higher TPS ...... 2004 35.56 66217, 79 FR 66219). Under that measure but still has high numbers of No Change ...... 1258 22.30 weighting scheme, which is reflected in catheters could see its TPS decrease by Table 8 of the proposed rule, each approximately 2 points. Commenters As shown in Table 11, under this re- reporting measure is weighted equally argued that these differences could be weighting approach for the Vascular within the Reporting Domain, and the meaningful for facilities that are near Access Measures, approximately 36 Reporting Domain, as a whole, the TPS cut-off points for payment percent of facilities would receive a comprises 10 percent of the TPS. reduction levels. Commenters also higher VAT Topic Score and TPS, but Application of that policy to the PY stated that facilities that score about the 42 percent would receive lower scores. 2021 reporting measures, which same on the two measures would not Additionally, under this weighting includes the UFR Reporting Measure, see a notable change in their TPS. policy recommended by commenters, results in each measure being weighted Response: We conducted an analysis 5.8 percent would receive a lower at 16.66 percent of the Reporting to determine how the Vascular Access payment reduction, but 7.4 percent Measure Domain, or 1.66 percent of the Measure Topic Scores, TPS, and would receive a higher payment TPS. Table 12 reflects these values. estimated payment reductions would be reduction. While the recommendation Final Rule Action: After considering impacted if we were to assign 2⁄3 of the to re-weight the VAT Measure topic fits the comments we received, we are weight of the measure topic to the with the overall goal of the ESRD QIP finalizing our domain weighting policy Catheter Measure, and 1⁄3 of the weight to increase performance on the catheter for PY 2021. The final weights are of the measure topic to the Fistula measure, we believe that some facilities reflected in Table 12. TABLE 12—FINALIZED MEASURE DOMAIN WEIGHTING FOR THE PY 2021 ESRD QIP Measure weight within Measure weight as Measures/measure topics by subdomain the domain percent of TPS (proposed for PY 2021) (proposed for PY 2021) Clinical Measure Domain Patient and Family Engagement/Care Coordination Subdomain ...... 40% ...... 30. ICH CAHPS Measure ...... 25% ...... 18.75. SRR Measure ...... 15% ...... 11.25. Clinical Care Subdomain ...... 60% ...... 45. STrR measure ...... 11% ...... 8.25. Kt/V Dialysis Adequacy Comprehensive Measure ...... 18% ...... 13.5. Vascular Access Type Measure Topic ...... 18% ...... 13.5. Hypercalcemia measure ...... 2% ...... 1.5. SHR Measure ...... 11% ...... 8.25. Total: Clinical Measure Domain ...... 100% of Clinical Meas- 75% of Total Perform- ure Domain. ance Score. Reporting Measure Domain Serum Phosphorus reporting measure ...... 16.66% ...... 1.66. Anemia Management reporting measure ...... 16.66% ...... 1.66. Pain Assessment and Follow-Up reporting measure ...... 16.66% ...... 1.66. Clinical Depression Screening and Follow-Up reporting measure ...... 16.66% ...... 1.66. Healthcare Personnel Influenza Vaccination reporting measure ...... 16.66% ...... 1.66. Ultrafiltration Rate Reporting Measures ...... 16.66% ...... 1.66. Total: Reporting Measure Domain ...... 100% of Reporting 10% of Total Perform- Measure Domain. ance Score. VerDate Sep<11>2014 19:01 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00046 Fmt 4701 Sfmt 4700 E:\FR\FM\01NOR2.SGM 01NOR2 sradovich on DSK3GMQ082PROD with RULES2 Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Rules and Regulations 50783 TABLE 12—FINALIZED MEASURE DOMAIN WEIGHTING FOR THE PY 2021 ESRD QIP—Continued Measure weight within Measure weight as Measures/measure topics by subdomain the domain percent of TPS (proposed for PY 2021) (proposed for PY 2021) Safety Measure Domain NHSN BSI Clinical Measure ...... 60% ...... 9. NHSN Dialysis Event Reporting Measure ...... 40% ...... 6. Total: Safety Measure Domain ...... 100% of Safety Measure 15% of Total Perform- Domain. ance Score. i. Example of the PY 2021 ESRD QIP through 4 illustrate how to calculate the methodology for PY 2021. Note that for Scoring Methodology Clinical Measure Domain score, the this example, Facility A, a hypothetical In this section, we provide an Reporting Measure Domain score, the facility, has performed very well. example to illustrate the scoring Safety Measure Domain score, and the BILLING CODE 4120–01–P methodology for PY 2021. Figures 1 TPS. Figure 5 illustrates the full scoring VerDate Sep<11>2014 19:01 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00047 Fmt 4701 Sfmt 4725 E:\FR\FM\01NOR2.SGM 01NOR2 sradovich on DSK3GMQ082PROD with RULES2 ER01NO17.003 50784 Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Rules and Regulations Figure 2 illustrates the general methodology for calculating the Reporting Measure Domain score for Facility A. FIGURE2: Reporting Measure Domain: Facility A .. :;;.1667 x [Anemia Manaaermmt score) + Reporting Measure Measure Score ____ ;.ltiti7x [Pain Assessment score] Serum Phosphorus 8 + Anemia Management 8 __ .. ;.1667 x [Depression Screenint sccra] XlO Pain Assessment and Follow-Up 10 + Clinical Depression Screening and Follow-Up 10 .. ______,,, .1667 x [NHSN HCP score] NHSN Healthcare Personnel Influenza IJacclnatlon 10 _ .. ---~·--· ---··-··--··-· + Ultrafiltration Rate 8 : ltiti7x[UFR) .1667x8 + .1667x8 + .1667xl0 Reporting Measure Scoring Domain =90 + I I .1667xl0 XlO + .ltiti7xl0 + .1667x8 Figure 3 illustrates the methodology used for calculating the Safety Measure Domain score for Facility A. FIGURE3: NHSN BSI Measure Topic Safety Measure Domain: Facility A Measure NHSN BSI Clinical Measure NHSN Reporting Measure ISafety Measure Scoring Domain =941 VerDate Sep<11>2014 19:01 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00048 Fmt 4701 Sfmt 4725 E:\FR\FM\01NOR2.SGM 01NOR2 sradovich on DSK3GMQ082PROD with RULES2 ER01NO17.004 ER01NO17.005 Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Rules and Regulations 50785 Figure 4 illustrates the methodology used to calculate the TPS for Facility A. FIGURE 4: Total Performance Score: Facility A Domain Domain Score Clinical Measure Domain safety Measure Domain : ~---_------~------("""(.75x[Cii": (.7Sx92) + Total Performance Score= 92 (.1Sx94) + ( (.10x90) J Figure 5 illustrates the full scoring methodology for PY 2021. FIGURES: 100 pts. -@ Clinical Care No (60%) Reduction + mln.TPS I \ ~- =® r-5%Reduction mill. TPS·10 } 1.11% + Reduction mill. TPS·20 11.5% JReduction =® mill. TPS-30 }~Reduction Opts. VerDate Sep<11>2014 19:01 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00049 Fmt 4701 Sfmt 4725 E:\FR\FM\01NOR2.SGM 01NOR2 sradovich on DSK3GMQ082PROD with RULES2 ER01NO17.006 ER01NO17.007 50786 Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Rules and Regulations BILLING CODE 4120–01–C have a minimum qualifying patient a CCN Open Date before July 1, 2019 j. Minimum Data for Scoring Measures count. In order to receive a score on the would be eligible to be scored on the for the PY 2021 ESRD QIP ICH CAHPS clinical measure, a facility Anemia Management, Serum must have treated at least 30 survey- Phosphorous, Ultrafiltration Rate, Pain Our policy is to score facilities on eligible patients during the eligibility Assessment and Follow-Up, Clinical clinical and reporting measures for period and receive 30 completed Depression Screening and Follow-Up which they have a minimum number of surveys during the performance period. reporting measures, and only facilities qualifying patients during the We proposed to continue use of these with a CCN Open Date before January 1, performance period. With the exception minimum data policies for the measures 2019 would be eligible to be scored on of the Standardized Readmission Ratio, that we proposed to continue including the NHSN BSI Clinical and Reporting Standardized Hospitalization Ratio, in the PY 2021 ESRD QIP measure set. Measures, the ICH CAHPS Clinical Standardized Transfusion Ratio, NHSN We also proposed to use these same Measure, and the NHSN Healthcare Healthcare Personnel Influenza minimum data policies for the proposed Personnel Influenza Vaccination Vaccination, and ICH CAHPS clinical Vascular Access Measures. measures, a facility must treat at least 11 reporting measure. We proposed to Under our current policy, we begin continue applying these CCN open date qualifying cases during the performance counting the number of months for policies to the measures proposed for period in order to be scored on a clinical which a facility is open on the first day PY 2021. or reporting measure. A facility must of the month after the facility’s CMS have at least 11 index discharges to be Certification Number (CCN) Open Date. Table 13 displays the proposed eligible to receive a score on the SRR In the CY 2018 ESRD PPS proposed rule patient minimum requirements for each clinical measure, 10 patient-years at risk (81 FR 31203), we discussed our of the measures, as well as the proposed to be eligible to receive a score on the proposed clarifications, which we are CCN Open Dates after which a facility STrR clinical measure, and 5 patient- finalizing in this final rule (see Table would not be eligible to receive a score years at risk to be eligible to receive a 2b), to our CCN open date policy and to on a reporting measure. We note that the score on the SHR clinical measure. The the patient minimum requirements for 11 qualifying patient minimum used for NHSN Healthcare Personnel Influenza each of the measures finalized for the most of the measures shown in the Vaccination measure does not assess PY 2020 ESRD QIP. Similarly, for the Table 13 is a long-standing policy in the patient-level data and therefore does not PY 2021 ESRD QIP, only facilities with ERSD QIP. TABLE 13—PROPOSED MINIMUM DATA REQUIREMENTS FOR THE PY 2021 ESRD QIP Minimum data Small facility Measure requirements CCN open date adjuster Dialysis Adequacy (Clinical) ...... 11 qualifying patients ...... N/A ...... 11–25 qualifying patients. Hemodialysis Vascular Access: 11 qualifying patients ...... N/A ...... 11–25 qualifying patients. Standardized Fistula Rate (Clin- ical). Hemodialysis Vascular Access: 11 qualifying patients ...... N/A ...... 11–25 qualifying patients. Long-Term Catheter Rate (Clin- ical). Hypercalcemia (Clinical) ...... 11 qualifying patients ...... N/A ...... 11–25 qualifying patients. NHSN BSI (Clinical) ...... 11 qualifying patients * ...... Before January 1, 2019 ..... 11–25 qualifying patients. NHSN Dialysis Event (Reporting) .. 11 qualifying patients * ...... Before January 1, 2019 ..... N/A. SRR (Clinical) ...... 11 index discharges ...... N/A ...... 11–41 index discharges. STrR (Clinical) ...... 10 patient-years at risk ...... N/A ...... 10–21 patient-years at risk. SHR (Clinical) ...... 5 patient-years at risk ...... N/A ...... 5–14 patient-years at risk. ICH CAHPS (Clinical) ...... Facilities with 30 or more survey-eligible pa- Before January 1, 2019 ..... N/A. tients during the CY preceding the perform- ance period must submit survey results. Fa- cilities will not receive a score if they do not obtain a total of at least 30 completed sur- veys during the performance period. Anemia Management (Reporting) .. 11 qualifying patients ...... Before July 1, 2019 ...... N/A. Serum Phosphorus (Reporting) ..... 11 qualifying patients ...... Before July 1, 2019 ...... N/A. Depression Screening and Follow- 11 qualifying patients ...... Before July 1, 2019 ...... N/A. Up (Reporting). Pain Assessment and Follow-Up 11 qualifying patients ...... Before July 1, 2019 ...... N/A. (Reporting). NHSN Healthcare Personnel Influ- N/A ...... Before January 1, 2019 ..... N/A. enza Vaccination (Reporting). Ultrafiltration Rate (Reporting) ...... 11 qualifying patients ...... Before July 1, 2019 ...... N/A. * For the NHSN BSI Clinical Measure and the NHSN Dialysis Event Reporting Measure, qualifying patients include only in-center hemodialysis patients. Inpatient hemodialysis patients and home hemodialysis or peritoneal dialysis patients are excluded from this measure. The comments and our responses to individuals, is not ensuring the integrity unable to predict how their actions will the comments on our proposals are set of the data being reported. The impact outcomes and therefore makes forth below. commenter believes that CMS has measures meaningless in terms of Comment: One commenter argued introduced randomness into the process improving quality. The commenter that the use of the 11-case minimum, of scoring quality measures and that this added that the minimum data threshold while meant to ensure the privacy of randomness leads to facilities being makes the outcome of these measures VerDate Sep<11>2014 19:01 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00050 Fmt 4701 Sfmt 4700 E:\FR\FM\01NOR2.SGM 01NOR2 sradovich on DSK3GMQ082PROD with RULES2 Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Rules and Regulations 50787 meaningless to patients because the more variability in measure scores, our www.cms.gov/Medicare/Quality- small number of patients drives the analysis of the PY 2017 results suggest Initiatives-Patient-Assessment- outcome rather than the actual care smaller facilities received fewer Instruments/ESRDQIP/Downloads/ being provided. The commenter payment reductions (see figure 6 below). Small-Facility-Adjustment-Proposal-for- recommended that CMS eliminate the Reliability analyses have been used to the-ESRD-QIP.pdf. small facility adjuster and adopt instead determine upper thresholds for the These reliability analyses were a minimum sample size of 26 patients small facility adjustment. These performed for all measures, including for scoring measures. reliability analyses were published Response: We thank the commenter when the small facility adjuster was first the ratio measures (which have different for their comments. While it is true that introduced into the ESRD QIP (78 FR thresholds). smaller facilities will most likely have 72222), and are available here: https:// Final Rule Action: After considering identical to the policy finalized for PY unable to determine the 50th percentile the comments received, we are 2020. of facility performance on the PY 2019 finalizing the minimum data policy for We stated in the proposed rule that reporting measures. We will propose the PY 20201 ESRD QIP as proposed. we were not proposing a policy that value in the CY 2019 ESRD PPS proposed rule once we have calculated k. Payment Reductions for the PY 2021 regarding the inclusion of measures for final measure scores for the PY 2019 ESRD QIP which we were not able to establish a numerical value for the performance program, and will finalize those values Section 1881(h)(3)(A)(ii) of the Act standard through the rulemaking in the CY 2019 ESRD PPS final rule requires the Secretary to ensure that the process before the beginning of the using the most updated data available at application of the scoring methodology performance period for PY 2020. We did the time of publication. results in an appropriate distribution of not propose such a policy because no Section 1881(h)(3)(A)(ii) of the Act payment reductions across facilities, measures in the proposed PY 2021 requires that facilities achieving the such that facilities achieving the lowest measure set meet this criterion. lowest TPSs receive the largest payment TPSs receive the largest payment However, should we choose to adopt a reductions. In the CY 2014 ESRD PPS reductions. We proposed that, for the clinical measure in future rulemaking final rule (78 FR 72223 through 72224), PY 2021 ESRD QIP, a facility will not without the baseline data required to we finalized a payment reduction scale receive a payment reduction if it calculate a performance standard before for PY 2016 and future payment years: achieves a minimum TPS that is equal the beginning of the performance For every 10 points a facility falls below to or greater than the total of the points period, we will propose a criterion the minimum TPS, the facility would it would have received if: accounting for that measure in the receive an additional 0.5 percent • It performed at the performance minimum TPS for the applicable reduction on its ESRD PPS payments for standard for each clinical measure. payment year at that time. PY 2016 and future payment years, with • It received the number of points for The PY 2019 program is the most a maximum reduction of 2.0 percent. each reporting measure that corresponds recent year for which we will have We did not propose any changes to this to the 50th percentile of facility calculated final measure scores before policy for the PY 2021 ESRD QIP. performance on each of the PY 2019 the beginning of the proposed Because we are not yet able to reporting measures. performance period for PY 2021 (that is, calculate the performance standards for We noted in the proposed rule that CY 2019). Because we have not yet each of the clinical measures, we are this proposed policy for PY 2021 is calculated final measure scores, we are also not able to calculate a proposed VerDate Sep<11>2014 19:01 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00051 Fmt 4701 Sfmt 4700 E:\FR\FM\01NOR2.SGM 01NOR2 sradovich on DSK3GMQ082PROD with RULES2 ER01NO17.008 50788 Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Rules and Regulations minimum TPS at this time. We will Finally, we note that as the ESRD QIP dilutes the impact of individual propose a minimum TPS, based on data increases the number of measures measures. from CY 2017 and the first part of CY included in the TPS, this also increases Response: We thank commenters for 2018, in the CY 2019 ESRD PPS the chance that a facility will score sharing their concerns. We are proposed rule. poorly on one or more measures, which constantly re-examining the measures The comments and our responses to can result in increased payment that are included in the program to the comments on our proposal are set reductions. ensure that they are capturing a wide forth below. Final Rule Action: After consideration variety of information about the care Comment: Several commenters of the comments received, we are that patients receive, and we carefully expressed concerns with the significant finalizing our policy for determining consider whether measures should be increase in the number of facilities payment reductions for the PY 2021 retired from the program using a set of projected to receive a payment ESRD QIP as proposed. criteria previously finalized through reduction from PY 2017 to PYs 2020 rulemaking (81 FR 77896 through C. Miscellaneous Comments and 2021. They found no changes in the 77897). We agree that new measures methodology or measures that would We received several general implemented in the QIP should be explain such a substantial fluctuation. comments on the ESRD QIP. The evidence-based, promote the delivery of One commenter stated that changes in comments and our responses are set high-quality care, and improve patient the minimum TPS do not predict the forth below. outcomes. We also consider how our change that the addition of any single Comment: Several commenters measures are weighted within the TPS measure is unlikely to drive a major supported the general goals of the ESRD in an effort to ensure that measures with shift in payment reductions and there QIP and supported our efforts to greater clinical significance receive are no significant changes in the develop a quality incentive program that greater weight and emphasis. measure thresholds that would explain promotes high quality patient care for Additionally, through our measurement the large shift. The commenter therefore patients with ESRD. development process and consideration urged CMS to adjust the QIP payment Response: We appreciate commenters’ of which measures to include in the reduction parameters to maintain more support of the ESRD QIP and welcome program, we seek to implement NQF- consistent payment levels from one year the opportunity to collaborate with the endorsed outcomes-based measures to to the next and asked that CMS work community to ensure that the program the extent feasible and, as part of that with the community to consider a continues to promote high quality analysis, examine the reporting burden policy to adjust the payment reduction patient care in renal dialysis facilities. associated with those measures. thresholds to generate more predictable Comment: Several commenters payment outcomes. Another commenter expressed concerns about the burden V. Advancing Health Information asked CMS to explain how it associated with the program, arguing Exchange determined the percentage of penalties that adding new measures to the HHS has a number of initiatives and why there appears to be such a program only increases the burden for designed to improve health and health significant change, to provide for greater providers and for CMS. care quality through the adoption of transparency. Response: We thank commenters for health information technology (health Response: Though we did not propose sharing their concerns. We are IT) and nationwide health information a minimum TPS for PY 2021, we were constantly reviewing our program and exchange. Health IT facilitates the able to provide simulations. We are always looking for ways to balance secure, efficient, and effective sharing estimated the minimum TPS for PY minimizing burden with employing a and use of health-related information 2021 for the analyses provided in the comprehensive quality performance when and where it is needed, and is an CY 2018 ESRD PPS proposed rule using assessment. One way in which we try to important tool for settings across the the available data. For simulations, we achieve this balance is, when feasible, to continuum of care, including ESRD use the performance standards from the calculate measures using Medicare facilities. Health IT plays an important prior year to calculate the minimum claims and other administrative data so role in developing care plans to manage TPS. We do this so that we are that facilities do not need to report dialysis related care and co-morbid simulating what is actually done when additional data. Doing so allows us to conditions for patients with ESRD, as we calculate final sores. However, we assess key clinical care outcomes while well as enabling electronic coordination have found that it does not make a big minimizing additional burden on and communication among difference which performance standards dialysis facilities. multidisciplinary teams. Such tools can are used to conduct our simulations— Comment: Several commenters promote quality improvement, improve results do not change drastically. encouraged CMS to abstain from efficiencies and reduce unnecessary Our policies for determining payment creating new measures and to instead costs. reductions have not changed from year focus on ensuring that the current set of HHS continues to make important to year and are consistent with the measures is evidence-based, promotes strides promoting the availability of methodology described in several of our the delivery of high-quality care, and technology tools to support providers, previous rules (see for example, 80 FR improves patient outcomes. One including those in ESRD settings. For 69046 and 81 FR 77893). We believe the commenter recommended a detailed set instance, in 2015 the Office of the increases in simulated payment of criteria for prioritizing ESRD quality National Coordinator for Health reductions are due to the inclusion of measures. In addition to more closely Information Technology (ONC) released the ICH CAHPS and SHR measures in examining the measures that are added a document entitled ‘‘Connecting Health the PY 2020 simulation, whereas they to the program, several commenters also and Care for the Nation: A Shared were not included in the PY 2019 recommended that CMS look carefully Nationwide Interoperability Roadmap simulation because data was not at the existing measures to determine Version 1.0 (Roadmap) (available at available at that time. It is also due to whether any can be retired, especially as https://www.healthit.gov/sites/default/ a decrease in performance for the SRR, they become ‘‘topped out.’’ Commenters files/hie-interoperability/nationwide- STrR, VAT, and Hypercalcemia expressed concern that having too large interoperability-roadmap-final-version- measures among a subset of facilities. a number of measures in the measure set 1.0.pdf), which describes barriers to VerDate Sep<11>2014 19:01 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00052 Fmt 4701 Sfmt 4700 E:\FR\FM\01NOR2.SGM 01NOR2 sradovich on DSK3GMQ082PROD with RULES2 Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Rules and Regulations 50789 interoperability across the current within 72 hours of their availability; and C. Additional Information Collection health IT landscape, the desired future (3) all other necessary information Requirements state that the industry believes will be specified in the ‘‘transfer to another This final rule does not impose any necessary to enable a learning health facility’’ requirements. new information collection system, and a suggested path for moving Response: We agree with commenters’ requirements in the regulation text, as from the current state to the desired support for the use of health IT to specified above. However, this final rule future state. In the near term, the facilitate improved communication and does make reference to several Roadmap focuses on actions that will coordination across care settings. We associated information collections that enable a majority of individuals and appreciate commenters’ concerns that are not discussed in the regulation text providers across the care continuum to contained in this document. The send, receive, find and use priority data discharge information is often not sent to dialysis facilities following a following is a discussion of these domains at the nationwide level by the information collections. end of 2017. Moreover, the vision hospitalization or may not be sent in a described in the Roadmap significantly timely manner for continuity of care. 1. ESRD QIP While out of scope for this rulemaking, expands the types of electronic health a. Wage Estimates information, information sources, and several policies currently address this To derive wage estimates, we used information users well beyond clinical issue. Under Medicare’s Conditions of data from the U.S. Bureau of Labor information derived from electronic Participation in 42 CFR 482.43(d), Statistics’ May 2016 National health records. hospitals transferring or referring a In addition, ONC has released the patient are already required to send Occupational Employment and Wage 2017 Interoperability Standards necessary medical information to Estimates. In the CY 2016 ESRD PPS Advisory (available at https:// appropriate facilities and outpatient final rule (80 FR 69069), we stated that www.healthit.gov/standards-advisory), a services as needed for follow-up care. it was reasonable to assume that coordinated catalog of standards and We also note that eligible hospitals and Medical Records and Health implementation specifications to enable critical access hospitals participating in Information Technicians, who are priority health information exchange Stage 2 and Stage 3 of the Medicare and responsible for organizing and managing 11 functions. Providers, payers, and Medicaid Electronic Health Record health information data, are the vendors are encouraged to take these Incentives Programs are measured on individuals tasked with submitting health IT standards into account as they their ability to electronically send measure data to CROWNWeb and NHSN implement interoperable health summary of care information for for purposes of the data validation studies rather than a Registered Nurse, information exchange across the transitions of care or referrals to another whose duties are centered on providing continuum of care. setting or provider of care, which may and coordinating care for patients.12 We encourage stakeholders to utilize include dialysis facilities. With respect The mean hourly wage of a Medical health information exchange and to recommendations regarding timing Records and Health Information certified health IT to effectively and requirements for the sending of efficiently help providers improve Technician is $19.93 per hour. Fringe discharge information, we will take benefit is calculated at 100 percent. internal care delivery practices, support these comments under consideration as management of care across the Therefore, using these assumptions, we we continue to revise and build on these estimate an hourly labor cost of $39.86 continuum, enable the reporting of policies in the future. electronically specified clinical quality as the basis of the wage estimates for all measures, and improve efficiencies and VI. Collection of Information collection of information calculations in reduce unnecessary costs. As adoption Requirements the ESRD QIP. We have adjusted these of certified health IT increases and employee hourly wage estimates by a A. Legislative Requirement for interoperability standards continue to factor of 100 percent to reflect current mature, HHS will seek to reinforce Solicitation of Comments HHS department-wide guidance on estimating the cost of fringe benefits and standards through relevant policies and Under the Paperwork Reduction Act programs. overhead. These are necessarily rough of 1995, we are required to provide 30- adjustments, both because fringe The comments and our responses to day notice in the Federal Register and the comments on this proposal are set benefits and overhead costs vary solicit public comment before a significantly from employer to employer forth below. collection of information requirement is Comment: Several commenters noted and because methods of estimating submitted to the Office of Management the recent focus on leveraging health IT these costs vary widely from study to to improve provider communication but and Budget (OMB) for review and study. Nonetheless, there is no practical noted that dialysis facilities often do not approval. We solicited comments in the alternative and we believe that these are receive discharge information needed notice of proposed rulemaking that reasonable estimation methods. for continuity of care. Commenters published in the Federal Register on July 5, 2017 (82 FR 31190). For the b. Time Required To Submit Data Based indicated that patients often do not on Reporting Requirements for PY 2020 disclose information about recent purpose of transparency, we are hospitalizations and dialysis facilities republishing the discussion of the In the CY 2016 ESRD PPS final rule face challenges when requesting information collection requirements. All (80 FR 69070), we estimated that the discharge instructions and summaries of the requirements discussed in this time required to submit measure data on behalf of the patient. Commenters section are already accounted for in for Payment Year 2019 using recommended that CMS require OMB approved information collection CROWNWeb is 2.5 minutes per data hospitals, particularly those using requests. element submitted, which takes into account the small percentage of data certified health IT, to send the following B. Requirements in Regulation Text information to providers involved in the 11 https://www.bls.gov/oes/current/ patient’s care: (1) The discharge We are not finalizing changes to the oes292071.htm. instructions and discharge summary regulatory text for the ESRD PPS or for 12 https://www.bls.gov/oes/current/ within 48 hours; (2) pending test results AKI dialysis payment in CY 2018. oes291141.htm. VerDate Sep<11>2014 19:01 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00053 Fmt 4701 Sfmt 4700 E:\FR\FM\01NOR2.SGM 01NOR2 sradovich on DSK3GMQ082PROD with RULES2 50790 Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Rules and Regulations that is manually reported, as well as the 60 minutes to comply with this and Regulatory Review (January 18, human interventions required to modify requirement (30 minutes from each of 2011), the Regulatory Flexibility Act batch submission files such that they the two quarters in the evaluation (RFA) (September 19, 1980, Pub. L. 96– meet CROWNWeb’s internal data period). If 35 facilities are asked to 354), section 1102(b) of the Social validation requirements. Since then, submit records, we estimate that the Security Act, section 202 of the these estimates of the time required to total combined annual burden for these Unfunded Mandates Reform Act of 1995 submit data have not changed and we facilities will be 35 hours (35 facilities (March 22, 1995; Pub. L. 104–4), are therefore continuing to rely upon × 1 hour). Since we anticipate that Executive Order 13132 on Federalism them in our burden calculations for PY Medical Records and Health (August 4, 1999), the Congressional 2020 and future payment years. Information Technicians or similar Review Act (5 U.S.C. 804(2)), and Executive Order 13771 on Reducing c. Data Validation Requirements for the administrative staff will submit this Regulation and Controlling Regulatory PY 2020 ESRD QIP data, we estimate that the aggregate cost of the NHSN data validation will be Costs (January 30, 2017). Section IV.B.3.g of this final rule $1,395.10 (35 hours × $39.86/hour), or Executive Orders 12866 and 13563 outlines our data validation policies for a total of $39.86 ($1,395.10/35 facilities) direct agencies to assess all costs and PY 2020. Specifically, for the per facility in the sample. The burden benefits of available regulatory CROWNWeb validation, we will associated with these requirements is alternatives and, if regulation is continue randomly sampling records captured in an information collection necessary, to select regulatory from 300 facilities as part of our request (OMB control number 0938– approaches that maximize net benefits continuing pilot data validation 1340). (including potential economic, program. Each sampled facility will be To determine the burden associated environmental, public health and safety required to produce approximately 10 with the collection of information effects, distributive impacts, and records, and the sampled facilities will requirements, we look at each of these equity). Section 3(f) of Executive Order be reimbursed by our validation elements together: The total number of 12866 defines a ‘‘significant regulatory contractor for the costs associated with patients nationally, the number of action’’ as an action that is likely to copying and mailing the requested elements per patient-year required for result in a rule: (1) Having an annual records. The burden associated with each measure, the amount of time effect on the economy of $100 million these validation requirements is the required for data entry, and the or more in any 1 year, or adversely and time and effort necessary to submit the estimated wage plus benefits of the materially affecting a sector of the requested records to a CMS contractor. individuals within facilities who are economy, productivity, competition, We estimate that it will take each most likely to be entering data into jobs, the environment, public health or facility approximately 2.5 hours to CROWNWeb. Therefore, based on this safety, or state, local or tribal comply with this requirement. If 300 methodology, in the CY 2017 ESRD PPS governments or communities (also facilities are asked to submit records, we final rule, we anticipated the burden referred to as economically significant); estimate that the total combined annual associated with the new collection of (2) creating a serious inconsistency or burden for these facilities will be 750 information requirements was otherwise interfering with an action hours (300 facilities × 2.5 hours). Since approximately $91 million for the PY taken or planned by another agency; (3) we anticipate that Medical Records and 2020 ESRD QIP (81 FR 77957).13 materially altering the budgetary Health Information Technicians or We are not changing our data collection impacts of entitlement grants, user fees, similar administrative staff would or loan programs or the rights and methodology for PY 2021; however, we submit this data, we estimate that the obligations of recipients thereof; or (4) are replacing two existing measures for aggregate cost of the CROWNWeb data raising novel legal or policy issues PY 2021. We believe replacing the two validation would be approximately arising out of legal mandates, the existing measures will have a de $29,895 (750 hours × $39.86/hour), or a President’s priorities, or the principles minimis effect on the overall burden total of approximately $93 ($29,895/300 set forth in the Executive Order. facilities) per facility in the sample. The associated with collection of A regulatory impact analysis (RIA) burden associated with these information requirements in PY 2021. must be prepared for major rules with requirements is captured in an Accordingly, the PY 2021 burden economically significant effects ($100 information collection request (OMB estimate remains the same at $91 million or more in any 1 year). This rule control number 0938–1289). million. The net incremental burden is not economically significant within Under the continuing data validation from PY 2020 to PY 2021 is $0. the meaning of section 3(f)(1) of the study for validating data reported to the VII. Economic Analyses Executive Order. However, OMB has NHSN Dialysis Event Module, we will determined that the actions are continue using the methodology A. Regulatory Impact Analysis significant within the meaning of finalized in the CY 2017 ESRD PPS final 1. Introduction section 3(f)(4) and 3(f)(3) of the rule, however we are adopting a Executive Order. Therefore, OMB has We have examined the impacts of this modification to our sampling reviewed this final rule, and the rule as required by Executive Order methodology, which we described at Departments have provided the 12866 on Regulatory Planning and section IV.B.3.g of this final rule. A CMS following assessment of their impact. Review (September 30, 1993), Executive contractor will send these facilities We solicited comments on the Order 13563 on Improving Regulation requests for medical records for all regulatory impact analysis provided and patients with ‘‘candidate events’’ during 13 no comments were received. the evaluation period. Overall, we We note that the aggregate impact of the PY 2020 ESRD QIP was included in the CY 2017 ESRD 2. Statement of Need estimate that, on average, quarterly lists PPS final rule (81 FR 77834 through 77969). The would include two positive blood previously finalized aggregate impact of $113 This rule finalizes a number of cultures per facility, but we recognize million reflects the PY 2020 estimated payment routine updates and one policy change reductions and the collection of information these estimates may vary considerably requirements for the Ultrafiltration Rate Reporting to the ESRD PPS in CY 2018. The from facility to facility. We estimate that Measure, finalized in the CY 2017 ESRD PPS final finalized routine updates include the it will take each facility approximately rule (81 FR 77915). CY 2018 wage index values, the wage VerDate Sep<11>2014 19:01 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00054 Fmt 4701 Sfmt 4700 E:\FR\FM\01NOR2.SGM 01NOR2 sradovich on DSK3GMQ082PROD with RULES2 Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Rules and Regulations 50791 index budget-neutrality adjustment calculated as 0.3 percent, and that comments on this assumption, however, factor, and outlier payment threshold change resulted in the lower impact no comments were received. amounts. The finalized policy change amount included in this final rule. Using the wage information from the involves an update to the outlier pricing The proposed impact for AKI BLS (https://www.bls.gov/oes/2015/ policy. Failure to publish this final rule payments was $2 million. The increase may/naics4_621100.htm) for medical would result in ESRD facilities not from the proposed rule to the final rule and health service managers (Code 11– receiving appropriate payments in CY is based on actual preliminary claims 9111), we estimate that the cost of 2018 for renal dialysis services data that became available after reviewing this rule is $105.00 per hour, furnished to ESRD patients. publication of the proposed rule, which including overhead and fringe benefits. This rule finalizes routine updates to allowed us to make a more accurate Assuming an average reading speed, we the payment for renal dialysis services estimation of the utilization of services. estimate that it would take furnished by ESRD facilities to For PY 2021, we estimate that the approximately 1.25 hours for the staff to individuals with AKI. Failure to publish final revisions to the ESRD QIP will review half of this final rule. For each this final rule would result in ESRD result in a savings of $29 million, which ESRD facility that reviews the rule, the facilities not receiving appropriate includes a zero incremental burden due estimated cost is $131.25 (1.25 hours × payments in CY 2018 for renal dialysis to collection of information $105.00). Therefore, we estimated that services furnished to patients with AKI requirements and $29 million in the total cost of reviewing this in accordance with section 1834(r) of estimated payment reductions across all regulation is $19,162.50 ($131.25 × 146 the Act. facilities. reviewers). This rule finalizes requirements for If regulations impose administrative B. Detailed Economic Analysis the ESRD QIP, including the adoption of costs on private entities, such as the a measure set for the PY 2021 program, time needed to read and interpret this 1. CY 2018 End-Stage Renal Disease as directed by section 1881(h) of the final rule, we estimate the cost Prospective Payment System associated with regulatory review. Due Act. Failure to finalize requirements for a. Effects on ESRD Facilities the PY 2021 ESRD QIP would prevent to the uncertainty involved with continuation of the ESRD QIP beyond accurately quantifying the number of To understand the impact of the PY 2020. In addition, finalizing entities that will review the rule, we changes affecting payments to different requirements for the PY 2021 ESRD QIP assume that the total number of unique categories of ESRD facilities, it is provides facilities with more time to commenters on last year’s proposed rule necessary to compare estimated review and fully understand new will be the number of reviewers of this payments in CY 2017 to estimated measures before they are scored on them final rule. We acknowledge that this payments in CY 2018. To estimate the in the ESRD QIP. assumption may understate or overstate impact among various types of ESRD the costs of reviewing this rule. It is facilities, it is imperative that the 3. Overall Impact possible that not all commenters estimates of payments in CY 2017 and We estimate that the final revisions to reviewed last year’s rule in detail, and CY 2018 contain similar inputs. the ESRD PPS will result in an increase it is also possible that some reviewers Therefore, we simulated payments only of approximately $60 million in chose not to comment on the proposed for those ESRD facilities for which we payments to ESRD facilities in CY 2018, rule. For these reasons we thought that are able to calculate both current which includes the amount associated the number of past commenters would payments and new payments. with updates to the outlier thresholds, be a fair estimate of the number of For this final rule, we used CY 2016 outlier policy, and updates to the wage reviewers of this rule. We requested data from the Part A and B Common index. We are estimating approximately comments on the approach in Working Files, as of August 4, 2017, as $20 million that would now be paid to estimating the number of entities which a basis for Medicare dialysis treatments ESRD facilities for dialysis treatments will review the proposed rule and no and payments under the ESRD PPS. We provided to AKI beneficiaries. comments were received. updated the 2016 claims to 2017 and We note that the impacts for the ESRD We also recognize that different types 2018 using various updates. The PPS and AKI payments in the proposed of entities are in many cases affected by updates to the ESRD PPS base rate are rule are substantially different from mutually exclusive sections of this final described in section II.B.2.d of this final what we are finalizing. The proposed rule, and therefore for the purposes of rule. Table 14 shows the impact of the ESRD PPS impact was $100 million our estimate we assume that each estimated CY 2018 ESRD payments based on the proposed update factor of reviewer reads approximately 50 compared to estimated payments to 0.7. The final update factor was percent of the rule. We requested ESRD facilities in CY 2017. TABLE 14—IMPACT OF CHANGES IN PAYMENT TO ESRD FACILITIES FOR CY 2018 FINAL RULE 1 Effect of total 2018 proposed Effect of Effect of Effect of changes Number of Number of 2018 changes 2018 changes 2018 changes (outlier, wage Facility type facilities treatments in outlier in wage in payment indexes, (in millions) policy indexes rate update routine updates to the payment rate) A B C(%) D(%) E(%) F(%) All Facilities ...... 6,814 45.1 0.2 0.0 0.3 0.5 VerDate Sep<11>2014 19:01 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00055 Fmt 4701 Sfmt 4700 E:\FR\FM\01NOR2.SGM 01NOR2 sradovich on DSK3GMQ082PROD with RULES2 50792 Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Rules and Regulations TABLE 14—IMPACT OF CHANGES IN PAYMENT TO ESRD FACILITIES FOR CY 2018 FINAL RULE 1—Continued Effect of total 2018 proposed Effect of Effect of Effect of changes Number of Number of 2018 changes 2018 changes 2018 changes (outlier, wage Facility type facilities treatments in outlier in wage in payment indexes, (in millions) policy indexes rate update routine updates to the payment rate) A B C(%) D(%) E(%) F(%) Type Freestanding ...... 6,383 42.7 0.2 0.0 0.3 0.5 Hospital based ...... 431 2.4 0.3 0.1 0.3 0.7 Ownership Type Large dialysis organization ...... 5,110 34.3 0.2 0.0 0.3 0.4 Regional chain ...... 871 5.8 0.2 0.1 0.3 0.6 Independent ...... 487 3.1 0.2 0.0 0.3 0.5 Hospital based 2 ...... 341 1.8 0.3 0.1 0.3 0.8 Unknown ...... 5 0.0 0.0 0.2 0.3 0.5 Geographic Location Rural ...... 1,243 6.5 0.2 -0.2 0.3 0.3 Urban ...... 5,571 38.6 0.2 0.0 0.3 0.5 Census Region East North Central ...... 1,109 6.4 0.2 0.0 0.3 0.4 East South Central ...... 551 3.4 0.2 ¥0.1 0.3 0.4 Middle Atlantic ...... 742 5.5 0.2 0.1 0.3 0.6 Mountain ...... 382 2.2 0.1 ¥0.1 0.3 0.3 New England ...... 191 1.5 0.2 ¥0.1 0.3 0.4 Pacific 3 ...... 808 6.4 0.2 0.0 0.3 0.5 Puerto Rico and Virgin Islands ...... 50 0.4 0.1 0.0 0.3 0.5 South Atlantic ...... 1,572 10.5 0.2 ¥0.1 0.3 0.4 West North Central ...... 484 2.3 0.2 0.2 0.3 0.7 West South Central ...... 925 6.5 0.2 0.2 0.3 0.7 Facility Size Less than 4,000 treatments ...... 1,158 2.0 0.2 0.0 0.3 0.4 4,000 to 9,999 treatments ...... 2,542 11.7 0.2 ¥0.1 0.3 0.4 10,000 or more treatments ...... 3,036 31.0 0.2 0.0 0.3 0.5 Unknown ...... 78 0.4 0.3 0.5 0.3 1.1 Percentage of Pediatric Patients Less than 2% ...... 6,706 44.7 0.2 0.0 0.3 0.5 Between 2% and19% ...... 43 0.3 0.2 0.2 0.3 0.8 Between 20% and 49% ...... 11 0.0 0.3 ¥0.6 0.3 0.0 More than 50% ...... 54 0.1 0.3 0.2 0.3 0.9 1 Sensipar will be paid under the transitional drug add-on payment adjustment for CY 2018. In CY 2016 there was approximately $840 million in spending for Sensipar under Part D. 2 Includes hospital-based ESRD facilities not reported to have large dialysis organization or regional chain ownership. 3 Includes ESRD facilities located in Guam, American Samoa, and the Northern Mariana Island. Note: Totals do not necessarily equal the sum of rounded parts, as percentages are multiplicative, not additive. Column A of the impact table outlier payment policy would be a 0.2 categories of types of facilities in the indicates the number of ESRD facilities percent increase in estimated payments. impact table show changes in estimated for each impact category and column B Nearly all ESRD facilities are payments ranging from a ¥0.6 percent indicates the number of dialysis anticipated to experience a positive decrease to a 0.5 percent increase due to treatments (in millions). The overall effect in their estimated CY 2018 these finalized updates in the wage effect of the final changes to the outlier payments as a result of the finalized indices. payment policy described in section outlier policy changes. Column E shows the effect of the II.B.2.c of this rule is shown in column Column D shows the effect of the finalized CY 2018 ESRD PPS payment C. For CY 2018, the impact on all ESRD finalized CY 2018 wage indices and the rate update. The finalized ESRD PPS facilities as a result of the changes to the wage index floor of 0.4000. The payment rate update is 0.3 percent, VerDate Sep<11>2014 19:01 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00056 Fmt 4701 Sfmt 4700 E:\FR\FM\01NOR2.SGM 01NOR2 sradovich on DSK3GMQ082PROD with RULES2 Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Rules and Regulations 50793 which reflects the finalized ESRDB Medicare Part B using any of the d. Effects on Medicare Beneficiaries market basket percentage increase factor methodologies available under section Currently, beneficiaries have a 20 for CY 2018 of 1.9 percent, the 1.0 1847A of the Act. We considered not percent coinsurance obligation when percent reduction as required by the making any change to the outlier pricing they receive AKI dialysis in the hospital section 1881(b)(14)(F)(i)(I) of the Act, policy and also potentially requiring outpatient setting. When these services and the MFP adjustment of 0.6 percent. manufacturers to submit ASP data in are furnished in an ESRD facility, the Column F reflects the overall impact, order to be eligible for outlier payment patients would continue to be that is, the effects of the finalized outlier or payment under the TDAPA. policy changes, the finalized wage index responsible for a 20 percent floor, and payment rate update. We 2. CY 2018 Payment for Renal Dialysis coinsurance. Because the AKI dialysis expect that overall ESRD facilities Services Furnished to Individuals With payment rate paid to ESRD facilities is would experience a 0.5 percent increase AKI lower than the outpatient prospective in estimated payments in CY 2018. The a. Effects on ESRD Facilities payment system’s payment amount, we would expect beneficiaries to pay $50 categories of types of facilities in the We analyzed CY 2017 hospital impact table show impacts ranging from less coinsurance when AKI dialysis is outpatient claims to identify the number furnished by ESRD facilities. 0.0 percent to an increase of 1.1 percent of treatments furnished historically for in their CY 2018 estimated payments. AKI patients. We identified 32,433 AKI e. Alternatives Considered b. Effects on Other Providers dialysis treatments that were furnished As we discussed in the CY 2017 ESRD Under the ESRD PPS, Medicare pays in the first four months of CY 2017. We PPS proposed rule (81 FR 42870), we ESRD facilities a single bundled then inflated the 32,433 treatments to considered adjusting the AKI payment payment for renal dialysis services, account for the whole year of 2017. We rate by including the ESRD PPS case- which may have been separately paid to further inflated to 2018 values using mix adjustments, and other adjustments other providers (for example, estimated population growth for fee-for at section 1881(b)(14)(D) of the Act, as laboratories, durable medical equipment service non-ESRD beneficiaries. This well as not paying separately for AKI suppliers, and pharmacies) by Medicare results in an estimated 98,900 specific drugs and laboratory tests. We prior to the implementation of the ESRD treatments that would now be paid to ultimately determined that treatment for PPS. Therefore, in CY 2018, we estimate ESRD facilities for furnishing dialysis to AKI is substantially different from that the finalized ESRD PPS would have beneficiaries with AKI. Using the CY treatment for ESRD and the case-mix zero impact on these other providers. 2018 final ESRD base rate of $232.37 adjustments applied to ESRD patients and an average wage index multiplier, may not be applicable to AKI patients c. Effects on the Medicare Program we are estimating approximately $20 and as such, including those policies We estimate that Medicare spending million that would now be paid to ESRD and adjustment would be inappropriate. (total Medicare program payments) for facilities for dialysis treatments 3. ESRD QIP ESRD facilities in CY 2018 would be provided to AKI beneficiaries. approximately $9.8 billion. This Ordinarily, we would provide a table a. Effects of the PY 2021 ESRD QIP on estimate takes into account a projected showing the impact of this provision on ESRD Facilities increase in fee-for-service Medicare various categories of ESRD facilities. However, because we have no way to The ESRD QIP provisions are dialysis beneficiary enrollment of 1.6 intended to prevent possible reductions percent in CY 2018. project how many patients with AKI requiring dialysis will choose to have in the quality of renal dialysis services d. Effects on Medicare Beneficiaries dialysis treatments at an ESRD facility, provided to beneficiaries. The Under the ESRD PPS, beneficiaries are we are unable to provide a table at this methodology that we are using to responsible for paying 20 percent of the time. determine a facility’s TPS for the PY ESRD PPS payment amount. As a result 2021 ESRD QIP is described in section b. Effects on Other Providers of the projected 0.5 percent overall IV.B.4.g of this final rule. Any increase in the finalized CY 2018 ESRD Under section 1834(r) of the Act, as reductions in ESRD PPS payments as a PPS payment amounts, we estimate that added by section 808(b) of TPEA, we are result of a facility’s performance under there will be an increase in beneficiary finalizing a payment rate for renal the PY 2021 ESRD QIP would apply to co-insurance payments of 0.5 percent in dialysis services furnished by ESRD ESRD PPS payments made to the facility CY 2018, which translates to facilities to beneficiaries with AKI. The in CY 2021. approximately $10 million a figure only two Medicare providers authorized For the PY 2021 ESRD QIP, we which is rounded to the nearest $10 to provide these outpatient renal estimate that, of the 6,453 dialysis million. The rounded $10 million is dialysis services are hospital outpatient facilities (including those not receiving based on 20 percent of CY 2018 departments and ESRD facilities. The a TPS) enrolled in Medicare, estimated total payment increase of $60 decision about where the renal dialysis approximately 40 percent or 2,551 of the million. There are roughly 400,000 services are furnished is made by the facilities would receive a payment ESRD beneficiaries, so this increase patient and their physician. Therefore, reduction in PY 2021. The total represents a $25 increase per this provision will have zero impact on payment reduction for all of the 2,551 beneficiary. other Medicare providers. facilities expected to receive a reduction is approximately $29 million e. Alternatives Considered c. Effects on the Medicare Program ($29,017,218). Facilities that do not In section II.B.1.d of this final rule, we We anticipate paying an estimated receive a TPS are not eligible for a finalized a policy to price eligible $20 million to ESRD facilities in CY payment reduction. outlier drugs and biologicals that were 2018 as a result of AKI patients Table 15 shows the overall estimated or would have been, prior to January 1, receiving renal dialysis services in the distribution of payment reductions 2011, separately billable under ESRD facility. resulting from the PY 2021 ESRD QIP. VerDate Sep<11>2014 19:01 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00057 Fmt 4701 Sfmt 4700 E:\FR\FM\01NOR2.SGM 01NOR2 sradovich on DSK3GMQ082PROD with RULES2 50794 Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Rules and Regulations TABLE 15—ESTIMATED DISTRIBUTION OF PY 2021 ESRD QIP PAYMENT REDUCTIONS Payment Reduction Number of Percent of (%) facilities facilities 0.0 ...... 3,469 57.6 0.5 ...... 1,507 25.0 1.0 ...... 754 12.5 1.5 ...... 228 3.8 2.0 ...... 62 1.0 Note: This table excludes 433 facilities that we estimate will not receive a payment reduction because they will not report enough data to re- ceive a TPS. To estimate whether or not a facility achievement and improvement on available data from CROWNWeb and would receive a payment reduction in several measures we have previously Medicare claims. Measures used for the PY 2021, we scored each facility on finalized and for which there were simulation are shown in Table 16. TABLE 16—DATA USED TO ESTIMATE PY 2021 ESRD QIP PAYMENT REDUCTIONS Period of time used to calculate achievement thresholds, performance Measure standards, benchmarks, Performance period and improvement thresholds VAT Standardized Fistula Ratio ...... Jan 2014–Dec 2014 ...... Jan 2015–Dec 2015. %Catheter ...... Jan 2014–Dec 2014 ...... Jan 2015–Dec 2015. Kt/V Dialysis Adequacy Comprehensive ...... Jan 2014–Dec 2014 ...... Jan 2015–Dec 2015. Hypercalcemia ...... Jan 2014–Dec 2014 ...... Jan 2015–Dec 2015. STrR ...... Jan 2014–Dec 2014 ...... Jan 2014–Dec 2014. ICH CAHPS Survey ...... Jan 2015–Dec 2015 ...... Jan 2015–Dec 2015. SRR ...... Jan 2014–Dec 2014 ...... Jan 2015–Dec 2015. NHSN BSI ...... Jan 2014–Dec 2014 ...... Jan 2015–Dec 2015. SHR ...... Jan 2014–Dec 2014 ...... Jan 2015–Dec 2015. For all measures except STrR and required to have a score on at least one Table 17 shows the estimated impact SHR, clinical measure topic areas with clinical and one reporting measure to of the finalized ESRD QIP payment less than 11 cases for a facility were not receive a TPS. reductions to all facilities for PY 2021. included in that facility’s TPS. For SHR To estimate the total payment The table details the distribution of and STrR, facilities were required to reductions in PY 2021 for each facility facilities by facility size (both among have at least 5 and 10 patient-years at resulting from this proposed rule, we facilities considered to be small entities risk, respectively, in order to be multiplied the total Medicare payments and by number of treatments per included in the facility’s TPS. Each to the facility during the 1-year period facility), geography (both urban/rural facility’s TPS was compared to an between January 2015 and December and by region), and by facility type estimated minimum TPS and an 2015 by the facility’s estimated payment (hospital based/freestanding facilities). estimated payment reduction table that reduction percentage expected under Given that the time periods used for were consistent with the final policies the ESRD QIP, yielding a total payment these calculations differ from those we outlined in section IV.B.4.g of this final reduction amount for each facility: Total are using for the PY 2021 ESRD QIP, the rule. Facility reporting measure scores ESRD payment in January 2015 through actual impact of the PY 2021 ESRD QIP were estimated using available data December 2015 times the estimated may vary significantly from the values from CY 2014 and 2015. Facilities were payment reduction percentage. provided here. TABLE 17—ESTIMATED IMPACT OF QIP PAYMENT REDUCTIONS TO FACILITIES FOR PY 2021 Payment Number of reduction Number of Number of facilities (percent Number of treatments facilities expected to change in facilities 2015 with QIP receive a total (in millions) score payment ESRD reduction payments) (%) All Facilities ...... 6,453 40.0 6,020 2,551 ¥0.32 Facility Type: Freestanding ...... 6,022 37.8 5,852 2,502 ¥0.33 Hospital-based ...... 431 2.2 168 49 ¥0.20 VerDate Sep<11>2014 20:08 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00058 Fmt 4701 Sfmt 4700 E:\FR\FM\01NOR2.SGM 01NOR2 sradovich on DSK3GMQ082PROD with RULES2 Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Rules and Regulations 50795 TABLE 17—ESTIMATED IMPACT OF QIP PAYMENT REDUCTIONS TO FACILITIES FOR PY 2021—Continued Payment Number of reduction Number of Number of facilities (percent Number of treatments facilities expected to change in facilities 2015 with QIP receive a total (in millions) score payment ESRD reduction payments) (%) Ownership Type: Large Dialysis ...... 4,541 28.6 4,432 1,910 ¥0.32 Regional Chain ...... 989 6.2 929 316 ¥0.26 Independent ...... 568 3.5 536 282 ¥0.50 Hospital-based (non-chain) ...... 354 1.8 123 43 ¥0.25 Unknown ...... 1 0.0 0 0 ...... Facility Size: Large Entities ...... 5,530 34.8 5,361 2,226 ¥0.31 Small Entities 1 ...... 922 5.2 659 325 ¥0.45 Unknown ...... 1 0.0 0 0 ...... Rural Status: (1) Yes ...... 1,260 6.0 1,146 325 ¥0.19 (2) No ...... 5,193 34.0 4,874 2,226 ¥0.35 Census Region: Northeast ...... 879 6.2 786 340 ¥0.32 Midwest ...... 1,511 7.6 1,356 557 ¥0.31 South ...... 2,852 18.2 2,743 1,276 ¥0.36 West ...... 1,142 7.6 1,084 341 ¥0.22 US Territories 2 ...... 69 0.4 51 37 ¥0.56 Census Division: Unknown ...... 1 0.0 0 0 ...... East North Central ...... 1,045 5.5 951 443 ¥0.36 East South Central ...... 522 3.0 515 202 ¥0.30 Middle Atlantic ...... 702 4.9 623 300 ¥0.37 Mountain ...... 368 2.0 336 86 ¥0.17 New England ...... 182 1.3 164 40 ¥0.14 Pacific ...... 782 5.7 753 257 ¥0.24 South Atlantic ...... 1,458 9.4 1,388 719 ¥0.41 West North Central ...... 469 2.1 406 115 ¥0.19 West South Central ...... 875 5.8 841 355 ¥0.33 US Territories 2 ...... 49 0.3 43 34 ¥0.62 Facility Size (# of total treatments) Less than 4,000 treatments ...... 1,211 2.7 1,006 357 ¥0.30 4,000–9,999 treatments ...... 2,401 11.0 2,324 880 ¥0.29 Over 10,000 treatments ...... 2,680 26.1 2,603 1,256 ¥0.35 Unknown ...... 161 0.2 87 58 ¥0.66 b. Effects on Other Providers savings. For comparison, Table 18 we stated in the CY 2017 ESRD PPS The ESRD QIP is applicable to shows the payment reductions achieved final rule, one objective measure we can dialysis facilities. We are aware that by the ESRD QIP program for PYs 2016 examine to demonstrate the improved several of our measures finalized for PY through 2021 totals nearly $115 million quality of care over time is the 2021 may impact other Medicare ($114,736,974). improvement of performance standards providers. For example, with the (81 FR 77873). As the ESRD QIP has introduction of the Standardized TABLE 18—PAYMENT REDUCTIONS refined its measure set and as facilities Readmission Ratio Clinical measure in PAYMENT YEAR 2016 THROUGH 2021 have gained experience with the PY 2017 and the Standardized measures included in the program, Hospitalization Ratio Clinical Measure Estimated payment reductions performance standards have generally Payment year (citation) in PY 2020, we anticipate that hospitals continued to rise. We view this as evidence that facility performance (and may experience financial savings as PY 2021 ...... $29,017,218. therefore the quality of care provided to dialysis facilities work to reduce the PY 2020 ...... $31,581,441 (81 FR 77960). number of unplanned readmissions and PY 2019 ...... $15,470,309 (80 FR 69074). Medicare beneficiaries) is objectively hospitalizations. We are actively PY 2018 ...... $11,576,214 (79 FR 66257). improving. To date we have been unable exploring various methods to assess the PY 2017 ...... $11,954,631 (79 FR 66255). to examine the impact of the ESRD QIP impact these measures have on PY 2016 ...... $15,137,161 (78 FR 72247). on Medicare beneficiaries including the hospitals and other types of providers financial impact of the program or the and facilities. d. Effects on Medicare Beneficiaries impact on the health outcomes of beneficiaries. However, in future years c. Effects on the Medicare Program The ESRD QIP is applicable to we are interested in examining these For PY 2021, we estimate that ESRD dialysis facilities. Since the program’s impacts through the analysis of QIP will contribute approximately $29 inception, there is evidence of improved available data from our existing million ($29,017,218) in Medicare performance on ESRD QIP measures. As measures. VerDate Sep<11>2014 19:01 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00059 Fmt 4701 Sfmt 4700 E:\FR\FM\01NOR2.SGM 01NOR2 sradovich on DSK3GMQ082PROD with RULES2 50796 Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Rules and Regulations e. Alternatives Considered measure could be removed from the this measure, it is clinically valuable program in an effort to reduce burden and important to continue including In an effort to reduce administrative for facilities, but as we noted in the CY this measure in the ESRD QIP’s measure and financial burden on dialysis 2017 ESRD PPS final rule, this measure set and that the clinical benefits facilities, we considered the burden is extremely valuable from a clinical outweigh the burden associated with the associated with each of the measures perspective. Studies 14 suggest that measure. included in the ESRD QIP to determine higher ultrafiltration rates are associated whether any of the measures could with higher mortality and higher odds C. Accounting Statement feasibly be removed from the program at of an ‘‘unstable’’ dialysis session, and this time. The Ultrafiltration Rate that rapid rates of fluid removal at As required by OMB Circular A–4 Reporting measure, finalized for dialysis can precipitate events such as (available at http:// inclusion in the program beginning with intradialytic hypotension, subclinical, www.whitehouse.gov/omb/ _ _ PY 2020, adds a significant burden to yet significantly decreased organ circulars a004 a-4), in Table 19 below, facilities because of the number of data perfusion, and in some cases myocardial we have prepared an accounting elements required to be entered for each damage and heart failure (81 FR 77912). statement showing the classification of patient treated by the facility. We Therefore we continue to believe that, the transfers and costs associated with carefully considered whether this despite the high burden associated with the various provisions of this final rule. TABLE 19—ACCOUNTING STATEMENT: CLASSIFICATION OF ESTIMATED TRANSFERS AND COSTS/SAVINGS Category Transfers ESRD PPS and AKI Annualized Monetized Transfers ...... $70 million. From Whom to Whom ...... Federal government to ESRD providers. Increased Beneficiary Co-insurance Payments ...... $10 million. From Whom to Whom ...... Beneficiaries to ESRD providers. ESRD QIP for PY 2021 Annualized Monetized Transfers ...... $-29 million. From Whom to Whom ...... Federal government to ESRD providers (payment reductions). Category Costs Annualized Monetized ESRD Provider Costs ...... $0. In accordance with the provisions of not included in the definitions of a Using the definitions in this ownership Executive Order 12866, this final rule small entity. For more information on category, we consider the 487 facilities was reviewed by the Office of SBA’s size standards, see the Small that are independent and the 341 Management and Budget. Business Administration’s Web site at facilities that are shown as hospital- http://www.sba.gov/content/small- based to be small entities. The ESRD VIII. Regulatory Flexibility Act business-size-standards (Kidney Analysis facilities that are owned and operated Dialysis Centers are listed as 621492 by large dialysis organizations (LDOs) The Regulatory Flexibility Act with a size standard of $38.5 million). and regional chains will have total (September 19, 1980, Pub. L. 96–354) We do not believe ESRD facilities are revenues of more than $38.5 million in (RFA) requires agencies to analyze operated by small government entities any year when the total revenues for all options for regulatory relief of small such as counties or towns with locations are combined for each entities, if a rule has a significant impact populations of 50,000 or less, and business (individual LDO or regional on a substantial number of small therefore, they are not enumerated or chain), and are not, therefore, included entities. For purposes of the RFA, small included in this estimated RFA analysis. as small entities. entities include small businesses, Individuals and States are not included For the ESRD PPS updates finalized nonprofit organizations, and small in the definition of a small entity. in this rule, a hospital-based ESRD governmental jurisdictions. For purposes of the RFA, we estimate Approximately 12 percent of ESRD that approximately 12 percent of ESRD facility (as defined by type of dialysis facilities are considered small facilities are small entities as that term ownership, not by type of dialysis entities according to the Small Business is used in the RFA (which includes facility) is estimated to receive a 0.8 Administration’s (SBA) size standards, small businesses, nonprofit percent increase in payments for CY which classifies small businesses as organizations, and small governmental 2018. An independent facility (as those dialysis facilities having total jurisdictions). This amount is based on defined by ownership type) is also revenues of less than $38.5 million in the number of ESRD facilities shown in estimated to receive a 0.5 percent any 1 year. Individuals and States are the ownership category in Table 14. increase in payments for CY 2018. 14 Flythe JE, Kimmel SE, Brunelli SM. Rapid fluid Flythe JE, Curhan GC, Brunelli SM. Disentangling Movilli, Ezio, et al. ‘‘Association between high removal during dialysis is associated with the Ultrafiltration Rate–Mortality Association: The ultrafiltration rates and mortality in uraemic cardiovascular morbidity and mortality. Kidney Respective Roles of Session Length and Weight patients on regular haemodialysis. A 5-year International (2011) Jan; 79(2):250–7. PMID: Gain. Clin J Am Soc Nephrol. 2013 Jul;8(7):1151– prospective observational multicenter study.’’ 20927040. 61. Nephrology Dialysis Transplantation 22.12(2007): 3547–3552. VerDate Sep<11>2014 19:01 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00060 Fmt 4701 Sfmt 4700 E:\FR\FM\01NOR2.SGM 01NOR2 sradovich on DSK3GMQ082PROD with RULES2 Federal Register / Vol. 82, No. 210 / Wednesday, November 1, 2017 / Rules and Regulations 50797 For AKI dialysis, we are unable to beds. We do not believe this final rule final rule under the threshold criteria of estimate whether patients will go to will have a significant impact on Executive Order 13132, Federalism, and ESRD facilities, however, we have operations of a substantial number of have determined that it will not have estimated there is a potential for $20 small rural hospitals because most substantial direct effects on the rights, million in payment for AKI dialysis dialysis facilities are freestanding. roles, and responsibilities of States, treatments that could potentially be While there are 132 rural hospital-based local or Tribal governments. furnished in ESRD facilities. dialysis facilities, we do not know how We estimate that of the 2,551 ESRD many of them are based at hospitals XI. Reducing Regulation and facilities expected to receive a payment with fewer than 100 beds. However, Controlling Regulatory Costs reduction in the PY 2021 ESRD QIP, 325 overall, the 132 rural hospital-based Executive Order 13771, entitled are ESRD small entity facilities. We dialysis facilities will experience an Reducing Regulation and Controlling present these findings in Table 15 estimated 0.4 percent increase in Regulatory Costs (82 FR 9339), was (‘‘Estimated Distribution of PY 2021 payments. As a result, this final rule is issued on January 30, 2017. This final ESRD QIP Payment Reductions’’) and not estimated to have a significant rule is not expected to be subject to the Table 17 (‘‘Impact of Proposed QIP impact on small rural hospitals. requirements of Executive Order 13771 Payment Reductions to ESRD Facilities Therefore, the Secretary has because it is expected to result in no for PY 2021’’) above. We estimate that determined that this final rule will not more than de minimis costs. the payment reductions will average have a significant impact on the approximately $11,375 per facility operations of a substantial number of XII. Congressional Review Act across the 2,551 facilities receiving a small rural hospitals. payment reduction, and $13,885 for This final rule is subject to the each small entity facility. Using our IX. Unfunded Mandates Reform Act Congressional Review Act provisions of estimates of facility performance, we Analysis the Small Business Regulatory also estimated the impact of payment Section 202 of the Unfunded Enforcement Fairness Act of 1996 (5 reductions on ESRD small entity Mandates Reform Act of 1995 (UMRA) U.S.C. 801 et seq.) and has been facilities by comparing the total also requires that agencies assess transmitted to the Congress and the estimated payment reductions for 922 anticipated costs and benefits before Comptroller General for review. small entity facilities with the aggregate issuing any rule whose mandates XIII. Files Available to the Public via ESRD payments to all small entity require spending in any 1 year of $100 the Internet facilities. We estimate that there are a million in 1995 dollars, updated total of 922 small entity facilities, and annually for inflation. In 2017, that is The Addenda for the annual ESRD that the aggregate ESRD PPS payments approximately $148 million. This final PPS proposed and final rulemakings to these facilities would decrease 0.45 rule does not include any mandates that will no longer appear in the Federal percent in PY 2021. would impose spending costs on State, Register. Instead, the Addenda will be The Secretary has determined that local, or Tribal governments in the available only through the Internet and this final rule will not have a significant aggregate, or by the private sector, of is posted on the CMS Web site at http:// economic impact on a substantial $148 million. Moreover, HHS interprets www.cms.gov/ESRDPayment/PAY/ number of small entities. The economic UMRA as applying only to unfunded list.asp. In addition to the Addenda, impact assessment is based on estimated mandates. We do not interpret Medicare limited data set (LDS) files are available Medicare payments (revenues) and payment rules as being unfunded for purchase at http://www.cms.gov/ HHS’s practice in interpreting the RFA mandates, but simply as conditions for Research-Statistics-Data-and-Systems/ is to consider effects economically the receipt of payments from the Federal Files-for-Order/LimitedDataSets/ ‘‘significant’’ only if greater than 5 government for providing services that EndStageRenalDiseaseSystemFile.html. percent of providers reach a threshold of meet federal standards. This Readers who experience any problems 3 to 5 percent or more of total revenue interpretation applies whether the accessing the Addenda or LDS files, or total costs. facilities or providers are private, State, should contact ESRDPayment@ In addition, section 1102(b) of the Act local, or tribal. cms.hhs.gov. requires us to prepare a regulatory Dated: October 23, 2017. impact analysis if a rule may have a X. Federalism Analysis significant impact on the operations of Executive Order 13132 on Federalism Seema Verma, a substantial number of small rural (August 4, 1999) establishes certain Administrator, Centers for Medicare & hospitals. Any such regulatory impact requirements that an agency must meet Medicaid Services. analysis must conform to the provisions when it promulgates a proposed rule Dated: October 24, 2017. of section 604 of the RFA. For purposes (and subsequent final rule) that imposes Eric D. Hargan, of section 1102(b) of the Act, we define substantial direct requirement costs on Acting Secretary, Department of Health and a small rural hospital as a hospital that State and local governments, preempts Human Services. is located outside of a metropolitan State law, or otherwise has Federalism [FR Doc. 2017–23671 Filed 10–27–17; 4:15 pm] statistical area and has fewer than 100 implications. We have reviewed this BILLING CODE 4120–01–P VerDate Sep<11>2014 19:01 Oct 31, 2017 Jkt 244001 PO 00000 Frm 00061 Fmt 4701 Sfmt 9990 E:\FR\FM\01NOR2.SGM 01NOR2 sradovich on DSK3GMQ082PROD with RULES2 i Reader Aids Federal Register Vol. 82, No. 210 Wednesday, November 1, 2017 CUSTOMER SERVICE AND INFORMATION CFR PARTS AFFECTED DURING NOVEMBER Federal Register/Code of Federal Regulations At the end of each month the Office of the Federal Register General Information, indexes and other finding 202–741–6000 publishes separately a List of CFR Sections Affected (LSA), which aids lists parts and sections affected by documents published since Laws 741–6000 the revision date of each title. 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