Vol. 78 Tuesday, No. 223 November 19, 2013

Pages 69285–69534

OFFICE OF THE FEDERAL REGISTER

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Contents Federal Register Vol. 78, No. 223

Tuesday, November 19, 2013

Agriculture Department Drug Enforcement Administration See Animal and Plant Health Inspection Service NOTICES See Forest Service Decisions and Orders: See Natural Resources Conservation Service Wheatland Pharmacy, 69441–69447 See Rural Utilities Service Importers of Controlled Substances; Applications: NOTICES GE Healthcare, 69447 Agency Information Collection Activities; Proposals, Mylan Pharmaceuticals, Inc., 69447 Submissions, and Approvals: Application for Payment of Amounts Due Persons Who Education Department have Died, Disappeared or Declared Incompetent, PROPOSED RULES 69362 Improving the Academic Achievement of the Cooperative Agricultural Pest Survey, 69362–69363 Disadvantaged, 69336–69337 NOTICES Animal and Plant Health Inspection Service Agency Information Collection Activities; Proposals, RULES Submissions, and Approvals: Importation of Fresh Beans, Shelled or in Pods, From Application for Grants under the Credit Enhancement for Jordan, 69285–69286 Charter School Facilities Program, 69396–69397 Impact Aid Program Application for Section 8003 Arts and Humanities, National Foundation Assistance, 69396 See National Foundation on the Arts and the Humanities Implementation Study of the Ramp Up to Readiness Program, 69397–69398 Centers for Disease Control and Prevention Applications for New Awards: NOTICES National Institute on Disability and Rehabilitation Agency Information Collection Activities; Proposals, Research; Disability and Rehabilitation Research Submissions, and Approvals, 69417–69418 Projects and Centers Program; Minority-Serving Institution Field-Initiated Projects Program, 69398– Centers for Medicare & Medicaid Services 69402 NOTICES Patient Protection and Affordable Care Act: Energy Department Exchanges and Qualified Health Plans, Quality Rating System, Framework Measures and Methodology, See Federal Energy Regulatory Commission 69418–69426 Environmental Protection Agency Coast Guard RULES RULES Air Quality State Implementation Plans; Approvals and Transportation Worker Identification Credential Not Promulgations: Evidence of Resident Alien Status, 69292–69296 Montana; Revisions to the Administrative Rules of Montana; Air Quality, Subchapters 7, 16 and 17, Commerce Department 69296–69299 See Foreign-Trade Zones Board Ohio; Ohio SO2 Air Quality Rule Revisions, 69299–69302 See International Trade Administration See National Institute of Standards and Technology National Oil and Hazardous Substances Pollution See National Oceanic and Atmospheric Administration Contingency Plan; National Priorities List: NOTICES Partial Deletion of the El Toro Marine Corps Air Station Membership on the Departmental Performance Review Superfund Site, 69302–69310 Board, 69367–69368 PROPOSED RULES Air Quality State Implementation Plans; Approvals and Defense Department Promulgations: See Navy Department Ohio; Ohio SO2 Air Quality Rule Revisions, 69337 RULES Greenhouse Gas Reporting Program: Privacy Act; Implementation, 69289–69292 Amendments and Confidentiality Determinations for NOTICES Fluorinated Gas Production, 69337–69360 Agency Information Collection Activities; Proposals, National Oil and Hazardous Substances Pollution Submissions, and Approvals, 69391–69392 Contingency Plan; National Priorities List: Meetings: Partial Deletion of the El Toro Marine Corp Air Station Defense Advisory Committee on Military Personnel Superfund Site, 69360–69361 Testing, 69392 NOTICES Privacy Act; Systems of Records, 69392–69395 Draft FY 2014–2018 EPA Strategic Plan, 69412–69413 Meetings: Department of Transportation Environmental Financial Advisory Board, 69413–69414 See Pipeline and Hazardous Materials Safety Toxic Substances Control Act Chemical Testing; Test Data, Administration 69414

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Executive Office of the President Federal Retirement Thrift Investment Board See Management and Budget Office NOTICES See Presidential Documents Meetings; Sunshine Act, 69416 See Science and Technology Policy Office See Trade Representative, Office of United States Federal Transit Administration NOTICES Export-Import Bank Environmental Impact Statements; Availability, etc.: NOTICES High Capacity Transit Improvements, Indianapolis Application for Final Commitment for a Long-Term Loan or Northeast Corridor, Geen Rapid Transit Line, Marion Financial Guarantee, 69414–69415 and Hamilton Counties, IN, 69524–69527

Federal Aviation Administration Fish and Wildlife Service RULES NOTICES Flightcrew Member Duty and Rest Requirements, 69287– Endangered and Threatened Wildlife and Plants: 69288 Initiation of a 5-Year Review of Vicuna in Argentina, PROPOSED RULES Bolivia, Chile, Ecuador, and Peru, 69436–69437 Airworthiness Directives: Foreign-Trade Zones Board DORNIER LUFTFAHRT GmbH Airplanes, 69320–69322 Rockwell Collins, Inc. Transponders, 69318–69320 RULES Rolls-Royce Deutschland Ltd and Co KG (Formerly Rolls- Import Administration; Change of Agency Name, 69288– 69289 Royce Deutschland GmbH, Formerly BMW Rolls- Royce GmbH) Turbofan Engines, 69316–69318 Forest Service NOTICES Federal Bureau of Investigation Environmental Impact Statements; Availability, etc.: NOTICES Heavenly Mountain Resort Epic Discovery Project, Lake Agency Information Collection Activities; Proposals, Tahoe Basin Management Unit, CA, 69363–69365 Submissions, and Approvals: Friction Ridge Cards; Arrest and Institution; Applicant; General Services Administration Personal Identification; FBI Standard, 69447–69448 NOTICES Meetings: Federal Communications Commission The Presidential Commission on Election Administration, NOTICES 69416 FCC Form 499A, FCC Form 499Q, and Accompanying Instructions; Changes; Correction, 69415 Health and Human Services Department See Centers for Disease Control and Prevention Federal Election Commission See Centers for Medicare & Medicaid Services NOTICES See National Institutes of Health Meetings; Sunshine Act, 69415 PROPOSED RULES Development of Inward Leakage Standards for Half-Mask Federal Energy Regulatory Commission Air-Purifying Particulate Respirators, 69361 NOTICES Applications: Homeland Security Department Enable Gas Transmission, LLC, 69405–69406 See Coast Guard Lock 7 Hydro Partners, LLC, 69402–69403 See U.S. Customs and Border Protection Massachusetts Water Resources Authority, 69404–69405 NOTICES South Tahoe Public Utility District, 69403–69404 Meetings: Combined Filings, 69406–69409 Improving Chemical Facility Safety and Security Initial Market-Based Rate Filings Including Requests for Listening Sessions, 69433–69434 Blanket Section 204 Authorization: Interior Department Elgin Energy Center, LLC, 69409 See Fish and Wildlife Service Enel Cove Fort, LLC, 69409 See National Park Service Gibson City Energy Center, LLC, 69410–69411 Grand Tower Energy Center, LLC, 69410 Internal Revenue Service Sunwave USA Holdings Inc., 69409–69410 NOTICES Initiation of Proceeding: Agency Information Collection Activities; Proposals, Idaho Power Co., 69411 Submissions, and Approvals, 69527–69529 Meetings; Sunshine Act, 69411–69412 Petitions for Declatory Orders: International Trade Administration Colonial Pipeline Co., 69412 PROPOSED RULES Time Limits for Submission of Information Pertaining to Federal Highway Administration Requests for Sampling in Antidumping Duty NOTICES Administrative Reviews, 69322–69324 Designation of the Primary Freight Network, 69520–69524 NOTICES Antidumping and Countervailing Duty Orders; Results, Federal Reserve System Extensions, Amendments, etc.: NOTICES Sodium Nitrite from Germany and the People’s Republic Formations of, Acquisitions by, and Mergers of Bank of China; Expedited First Sunset Reviews, 69368– Holding Companies, 69416 69369

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Countervailing Duty Administrative Reviews; Results, National Cancer Institute, 69432–69433 Extensions, Amendments, etc.: National Heart, Lung, and Blood Institute, 69430–69432 Laminated Woven Sacks from the People’s Republic of National Institute of General Medical Sciences, 69433 China, 69369–69370 National Institute on Aging, 69432 Meetings: Renewable Energy and Energy Efficiency Advisory National Oceanic and Atmospheric Administration Committee, 69370–69371 RULES Preliminary Determinations of Sales at Less than Fair Endangered and Threatened Species: Value: Protective Regulations for the Gulf of Maine Distinct Diffusion-Annealed, Nickel-Plated Flat-Rolled Steel Population Segment of Atlantic Sturgeon, 69310– Products from Japan, 69371–69373 69315 NOTICES International Trade Commission Endangered and Threatened Species; Take of Anadromous NOTICES Fish, 69374–69376 Investigations; Terminations, Modifications, Rulings, etc.: Endangered and Threatened Wildlife: AGOA, Trade and Investment Performance Overview, et 90-Day Finding on a Petition to List 19 Species and 3 al., 69438–69440 Subpopulations of Sharks as Threatened or Certain Electronic Imaging Devices, 69440–69441 Endangered under the Endangered Species Act, 69376–69391 Justice Department New England and Mid-Atlantic Fishery Management See Drug Enforcement Administration Councils, 69391 See Federal Bureau of Investigation NOTICES National Park Service Proposed Consent Decrees Under the Clean Water Act, 69441 NOTICES Meetings: Labor Department Landmarks Committee of the National Park System NOTICES Advisory Board Meeting, 69437–69438 Agency Information Collection Activities; Proposals, Submissions, and Approvals: National Transportation Safety Board Claim Adjudication Process for Alleged Presence of NOTICES Pneumoconiosis, 69449–69450 Agency Information Collection Activities; Proposals, Crawler, Locomotive, and Truck Cranes Standard, 69448– Submissions, and Approvals, 69456–69459 69449 Presence Sensing Device Initiation Standard, 69450– Natural Resources Conservation Service 69451 NOTICES Meetings: Management and Budget Office Agricultural Air Quality Task Force, 69365–69366 NOTICES Agency Information Collection Activities; Proposals, Navy Department Submissions, and Approvals, 69451–69454 NOTICES Meetings: National Council on Disability Ocean Research Advisory Panel, 69395 NOTICES Meetings; Sunshine Act, 69454–69455 Nuclear Regulatory Commission National Foundation on the Arts and the Humanities RULES Facility Security Clearance and Safeguarding of National NOTICES Security Information and Restricted Data, 69286–69287 Meetings: NOTICES Humanities Panel, 69455–69456 Combined Licenses: National Institute of Standards and Technology Vogtle Unit 3, 69459–69460 NOTICES Environmental Assessments; Availability, etc.: Meetings: Prairie Island Independent Spent Fuel Storage Board of Overseers of the Malcolm Baldrige National Installation; License Renewal, 69460–69462 Quality Award, 69373–69374 Meetings; Sunshine Act, 69462 National Institutes of Health Office of Management and Budget NOTICES See Management and Budget Office Agency Information Collection Activities; Proposals, Submissions, and Approvals: Office of United States Trade Representative Cancer Trials Support Unit, 69428–69429 See Trade Representative, Office of United States NIH NCI Central Institutional Review Board Initiative, 69426–69428 Pipeline and Hazardous Materials Safety Administration Exclusive Licenses: RULES Development of Modified T-cells for the Treatment of Hazardous Materials Table, Special Provisions, Hazardous Multiple Myeloma, 69429 Materials Communications, Emergency Response Meetings: Information, Training Requirements, and Security Center for Scientific Review, 69430–69433 Plans; CFR Correction, 69310

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Presidential Documents State Department PROCLAMATIONS NOTICES Special Observances: Meetings: America Recycles Day (Proc. 9057), 69531–69534 U.S. Advisory Commission on Public Diplomacy, 69517 Rural Utilities Service Susquehanna River Basin Commission RULES Electric System Construction Policies and Procedures; CFR NOTICES Correction, 69286 Meetings, 69517–69518 NOTICES Agency Information Collection Activities; Proposals, Trade Representative, Office of United States Submissions, and Approvals, 69366–69367 NOTICES Environmental Impact Statements; Availability, etc.: Applications: Golden Valley Electric Association; Healy Power Plant North American Free Trade Agreement, Inclusion on the Unit #2 Restart, 69367 Chapter 19 Roster, 69518–69520 Science and Technology Policy Office NOTICES Transportation Department Draft 2014 National Nanotechnology Initiative Strategic See Federal Aviation Administration Plan, 69462–69463 See Federal Highway Administration See Federal Transit Administration Securities and Exchange Commission See Pipeline and Hazardous Materials Safety NOTICES Administration Meetings; Sunshine Act, 69463–69464 Self-Regulatory Organizations; Proposed Rule Changes: Treasury Department BATS Exchange, Inc., 69470–69472, 69509–69511 See Internal Revenue Service BATS Y-Exchange, Inc., 69464–69465 BOX Options Exchange LLC, 69496–69497 Chicago Board Options Exchange, Inc., 69487–69492 U.S. Customs and Border Protection International Securities Exchange, LLC, 69501–69503 NOTICES Miami International Securities Exchange LLC, 69468– Entry Summaries Filed in ACE Pursuant to the ESAR IV 69469 Test; Modifications and Clarifications, 69434–69436 NASDAQ OMX PHLX LLC, 69472–69485 NYSE Arca, Inc., 69493–69499, 69503–69509 NYSE MKT LLC, 69465–69468, 69499–69501 Separate Parts In This Issue The NASDAQ Stock Market LLC, 69485–69487, 69512– 69516 Trading Suspension Orders: Part II Sovereign Lithium, Inc., 69516 Presidential Documents, 69531–69534 Small Business Administration NOTICES Reader Aids Conflicts of Interest Exemptions, 69516 Disaster Declarations: Consult the Reader Aids section at the end of this page for Colorado; Amendment 5, 69516 phone numbers, online resources, finding aids, reminders, North Dakota, 69516–69517 and notice of recently enacted public laws. To subscribe to the Federal Register Table of Contents Social Security Administration LISTSERV electronic mailing list, go to http:// PROPOSED RULES listserv.access.gpo.gov and select Online mailing list Revised Medical Criteria for Evaluating Hematological archives, FEDREGTOC-L, Join or leave the list (or change Disorders, 69324–69336 settings); then follow the instructions.

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CFR PARTS AFFECTED IN THIS ISSUE

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

3 CFR Proclamations: 9057...... 69533 7 CFR 319...... 69285 1726...... 69286 10 CFR 95...... 69286 14 CFR 117...... 69287 121...... 69287 Proposed Rules: 39 (3 documents) ...... 69316, 69318, 69320 15 CFR 400...... 69288 19 CFR Proposed Rules: 351...... 69322 20 CFR Proposed Rules: 404...... 69324 32 CFR 320 (2 documents) ...... 69289, 69291 33 CFR 141...... 69292 34 CFR Proposed Rules: 200...... 69336 40 CFR 52 (2 documents) ...... 69296, 69299 300...... 69302 Proposed Rules: 52...... 69337 98...... 69337 300...... 69360 42 CFR Proposed Rules: 84...... 69361 49 CFR 172...... 69310 50 CFR 223...... 69310

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Rules and Regulations Federal Register Vol. 78, No. 223

Tuesday, November 19, 2013

This section of the FEDERAL REGISTER Background potential economic effects of this action contains regulatory documents having general The regulations in ‘‘Subpart-Fruits on small entities. The analysis is applicability and legal effect, most of which summarized below. Copies of the full are keyed to and codified in the Code of and Vegetables’’ (7 CFR 319.56–1 through 319.56–61, referred to below as analysis are available on the Federal Regulations, which is published under Regulations.gov Web site (see footnote 1 50 titles pursuant to 44 U.S.C. 1510. the regulations) prohibit or restrict the importation of fruits and vegetables into in this document for a link to The Code of Federal Regulations is sold by the United States from certain parts of Regulations.gov) or by contacting the the Superintendent of Documents. Prices of the world to prevent the introduction person listed under FOR FURTHER new books are listed in the first FEDERAL and dissemination of plant pests that are INFORMATION CONTACT. REGISTER issue of each week. new to or not widely distributed within The Small Business Administration’s the United States. small-entity standard for U.S. farms that On May 2, 2013, we published in the produce fresh beans is annual receipts DEPARTMENT OF AGRICULTURE Federal Register (78 FR 25623–25626, of not more than $750,000. In 2007, the Docket No. APHIS–2012–0042) a average market value of sales by the Animal and Plant Health Inspection 1 15,654 U.S. farms that produced snap Service proposal to amend the regulations to allow the importation of commercial beans for the fresh market was about shipments of fresh beans, shelled or in $25,400, well below the small-entity 7 CFR Part 319 pods (French, green, snap, and string), standard. from Jordan into the continental United Jordan expects to export 200 metric [Docket No. APHIS–2012–0042] States. As a condition of entry, the tons of fresh beans to the continental beans were required to be produced in United States annually. This quantity is RIN 0579–AD69 accordance with a systems approach equivalent to less than one-tenth of 1 that includes requirements for packing, percent of U.S fresh snap bean Importation of Fresh Beans, Shelled or washing, and processing. The beans production. While most entities that in Pods, From Jordan Into the were also required to be accompanied may be affected by the final rule are Continental United States by a phytosanitary certificate attesting small, the impact of the rule will be that all phytosanitary requirements had minor. AGENCY: Animal and Plant Health Under these circumstances, the been met and that the consignment was Inspection Service, USDA. Administrator of the Animal and Plant inspected and found free of quarantine ACTION: Final rule. Health Inspection Service has pests. This proposed action was determined that this action will not intended to allow for the importation of SUMMARY: We are amending the fruits have a significant economic impact on fresh beans, shelled or in pods, from and vegetables regulations to allow the a substantial number of small entities. importation of commercial shipments of Jordan into the continental United fresh beans, shelled or in pods (French, States while continuing to provide Executive Order 12988 green, snap, and string), from Jordan protection against the introduction of This final rule allows fresh beans, into the continental United States. As a plant pests. shelled or in pods, to be imported into condition of entry, the beans must be We solicited comments concerning the United States from Jordan. State and produced in accordance with a systems our proposal for 60 days ending July 1, local laws and regulations regarding approach that includes requirements for 2013. We did not receive any comments. fresh beans imported under this rule packing, washing, and processing. The Therefore, for the reasons given in the will be preempted while the fruit is in beans must also be accompanied by a proposed rule, we are adopting the foreign commerce. Fresh beans are phytosanitary certificate attesting that proposed rule as a final rule, without generally imported for immediate all phytosanitary requirements have change. distribution and sale to the consuming been met and that the consignment was Note: In our May 2013 proposed rule, we public and would remain in foreign inspected and found free of quarantine proposed to add the conditions governing the commerce until sold to the ultimate pests. This action allows for the importation of beans from Jordan as consumer. The question of when foreign § 319.56–59. In this final rule, those importation of fresh beans, shelled or in conditions are added as § 319.56–62. commerce ceases in other cases must be pods, from Jordan into the continental addressed on a case-by-case basis. No United States while continuing to Executive Order 12866 and Regulatory retroactive effect will be given to this provide protection against the Flexibility Act rule, and this rule will not require introduction of plant pests. administrative proceedings before This final rule has been determined to DATES: Effective Date: December 19, parties may file suit in court challenging be not significant for the purposes of this rule. 2013. Executive Order 12866 and, therefore, FOR FURTHER INFORMATION CONTACT: Mr. has not been reviewed by the Office of Paperwork Reduction Act Marc Phillips, Senior Regulatory Management and Budget. In accordance with section 3507(d) of Coordination Specialist, Regulatory In accordance with the Regulatory the Paperwork Reduction Act of 1995 Coordination and Compliance, PPQ, Flexibility Act, we have analyzed the (44 U.S.C. 3501 et seq.), the information APHIS, 4700 River Road, Unit 156, collection or recordkeeping Riverdale, MD 20737–1231; (301) 851– 1 To view the proposed rule and the pest risk analysis we prepared for that action, go to http:// requirements included in this final rule, 2114. www.regulations.gov/#!docketDetail;D=APHIS- which were filed under 0579–0405, SUPPLEMENTARY INFORMATION: 2012-0042. have been submitted for approval to the

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Office of Management and Budget split the length of the bean pod. Split or 2013. This direct final rule updated the (OMB). When OMB notifies us of its shredded bean pod pieces may not NRC’s regulations to standardize the decision, if approval is denied, we will exceed 8 centimeters in length and 8.5 frequency of required security education publish a document in the Federal millimeters in diameter. training for employees of NRC licensees Register providing notice of what action (c) Commercial consignments. The possessing security clearances so that we plan to take. beans must be imported as commercial such training will be conducted consignments only. annually consistent with the objectives E-Government Act Compliance (d) Phytosanitary certificate. Each of Executive Order 13526, Classified The Animal and Plant Health consignment of fresh beans must be National Security Information. In Inspection Service is committed to accompanied by a phytosanitary addition, this direct final rule allowed compliance with the E-Government Act certificate issued by Jordan’s NPPO licensees flexibility in determining the to promote the use of the Internet and attesting that the conditions of this means and methods for providing this other information technologies, to section have been met and that the training, established uniformity in the provide increased opportunities for consignment has been inspected and frequency of licensee security education citizen access to Government found free of the pests listed in this and training programs, and enhanced information and services, and for other section. the protection of classified information. purposes. For information pertinent to (Approved by the Office of Management and DATES: The effective date of October 21, E-Government Act compliance related Budget under control number 0579–0405) 2013, is confirmed for this direct final to this rule, please contact Mrs. Celeste rule. Sickles, APHIS’ Information Collection Done in Washington, DC, this 13th day of November 2013. ADDRESSES: Please refer to Docket ID Coordinator, at (301) 851–2908. Michael C. Gregoire, NRC–2011–0268 when contacting the List of Subjects in 7 CFR Part 319 Acting Administrator, Animal and Plant NRC about the availability of Coffee, Cotton, Fruits, Imports, Logs, Health Inspection Service. information regarding this document. Nursery stock, Plant diseases and pests, [FR Doc. 2013–27689 Filed 11–18–13; 8:45 am] You may access publicly-available information related to this document Quarantine, Reporting and BILLING CODE 3410–34–P recordkeeping requirements, Rice, using any of the following methods: • Federal Rulemaking Web site: Go to Vegetables. DEPARTMENT OF AGRICULTURE http://www.regulations.gov and search Accordingly, we are amending 7 CFR for Docket ID NRC–2011–0268. Address part 319 as follows: Rural Utilities Service questions about NRC dockets to Carol PART 319—FOREIGN QUARANTINE Gallagher; telephone: 301–287–3422; NOTICES 7 CFR Part 1726 email: [email protected]. For technical questions, contact the ■ 1. The authority citation for part 319 Electric System Construction Policies individual listed in the FOR FURTHER continues to read as follows: and Procedures INFORMATION CONTACT section of this document. Authority: 7 U.S.C. 450, 7701–7772, and CFR Correction • NRC’s Agencywide Documents 7781–7786; 21 U.S.C. 136 and 136a; 7 CFR In Title 7 of the Code of Federal 2.22, 2.80, and 371.3. Access and Management System Regulations, Parts 1600 to 1759, revised (ADAMS): You may access publicly ■ 2. A new § 319.56–62 is added to read as of January 1, 2013, on page 246, in available documents online in the NRC as follows: § 1726.14, the second definition of Library at http://www.nrc.gov/reading- § 319.56–62 Fresh beans, shelled or in Minor modification or improvement is rm/adams.html. To begin the search, pods, from Jordan. removed. select ‘‘ADAMS Public Documents’’ and Fresh beans (Phaseolus vulgaris L.), [FR Doc. 2013–27735 Filed 11–18–13; 8:45 am] then select ‘‘Begin Web-based ADAMS shelled or in pods (French, green, snap, BILLING CODE 1505–01–D Search.’’ For problems with ADAMS, and string), may be imported into the please contact the NRC’s Public continental United States from Jordan Document Room (PDR) reference staff at only under the conditions described in NUCLEAR REGULATORY 1–800–397–4209, 301–415–4737, or by email to [email protected]. this section. These conditions are COMMISSION • designed to prevent the introduction of NRC’s PDR: You may examine and the following quarantine pests: 10 CFR Part 95 purchase copies of public documents at the NRC’s PDR, Room O1–F21, One Chrysodeixis chalcites, Helicoverpa [NRC–2011–0268] armı´gera, Lampides boeticus Liriomyza White Flint North, 11555 Rockville huidobrensis, Maconellicoccus hirsutus, RIN 3150–AJ07 Pike, Rockville, Maryland 20852. Phoma exigua var. diversispora, and FOR FURTHER INFORMATION CONTACT: Facility Security Clearance and Daniel W. Lenehan, Office of the Spodoptera littoralis. Safeguarding of National Security (a) Packinghouse requirements. The General Counsel, U.S. Nuclear Information and Restricted Data beans must be packed in packing Regulatory Commission, Washington, facilities that are approved and AGENCY: Nuclear Regulatory DC 20555–0001; telephone: 301–415– registered with Jordan’s national plant Commission. 3501; email: [email protected]. protection organization (NPPO). Each ACTION: Direct final rule; confirmation of SUPPLEMENTARY INFORMATION: On August shipping box must be marked with the effective date. 7, 2013 (78 FR 48037), the NRC identity of the packing facility. published a direct final rule that (b) Post-harvest processing. The beans SUMMARY: The U.S. Nuclear Regulatory amended its regulations in § 95.33 of must be washed in potable water. Each Commission (NRC) is confirming the Title 10 of the Code of Federal bean pod must be either cut into effective date of October 21, 2013, for Regulations. The direct final rule chevrons or pieces that do not exceed 2 the direct final rule that was published amendments required NRC licensees (or centimeters in length, or shredded or in the Federal Register on August 7, their designees) to conduct classified

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information security refresher briefings DATES: Effective January 4, 2014. regulatory text of § 121.470(b) to apply for all cleared employees at least FOR FURTHER INFORMATION CONTACT: For to airplanes with a passenger seat annually and to provide derivative technical questions concerning this configuration of ‘‘30 seats or fewer . . . classification training for employees action, contact Dale E. Roberts, AFS– and a payload capacity of 7,500 pounds authorized to apply derivative 200, Flight Standards Service, Air or less.’’ 2 Because this was not the classifications before exercising this Transportation Division Federal intent of the final rule, § 121.470(b) has authority and then at least once every 2 Aviation Administration, 800 been corrected so that all-cargo years thereafter. This direct final rule Independence Avenue SW., operations that previously operated also gave licensees flexibility in Washington, DC 20591; telephone (202) pursuant to § 121.470(b) can continue to determining the means and methods for 267–5749; email [email protected]. do so after the final rule becomes providing this training. In the direct For legal questions concerning this effective.3 final rule, the NRC stated that if any action, contact Alex Zektser or Bonnie significant adverse comments were Dragotto, AGC–220, Office of Chief 2. Conflict Between the Definitions in received on the companion proposed Counsel, Regulations Division, Federal § 117.3 and Other Definitions rule by September 6, 2013 (78 FR 48076; Aviation Administration, 800 The regulatory text in § 117.3 has August 7, 2013), a notice of timely Independence Avenue SW., been corrected to clarify that if there is withdrawal of the direct final rule Washington, DC 20591; telephone (202) a conflict in definitions, the definitions would be published in the Federal 267–3073; email: [email protected] in § 117.3 control only for purposes of Register. A significant adverse comment or [email protected]. the flight and duty limitations and rest is one where a commenter explains why SUPPLEMENTARY INFORMATION: requirements of part 117. the rule would be inappropriate, 3. Reporting Requirements of § 117.11(c) including challenges to its underlying Background premise or approach, or would be On January 4, 2012, the FAA Section 117.11(b) permits a flightcrew ineffective, or unacceptable without a published a final rule entitled member to exceed the flight-time limits change. The NRC did not receive any ‘‘Flightcrew Member Duty and Rest of § 117.11(a) and § 117.23(b) in certain comments that warranted withdrawal of Requirements’’ (77 FR 330). In that rule, circumstances. To ensure that the FAA the direct final rule. Therefore, this the FAA created a new part, part 117, is notified in all instances in which the direct final rule was effective as which replaced the then-existing flight, § 117.11(b) extension is utilized, scheduled. duty, and rest regulations for part 121 § 117.11(c) has been corrected to clarify passenger operations. As part of this Dated at Rockville, Maryland, this 7th day that reporting is required if the of November 2013. rulemaking, the FAA also applied the extension in § 117.11(b) is used to For the Nuclear Regulatory Commission. new part 117 to certain part 91 exceed either the limits of § 117.11 or operations, and it permitted all-cargo § 117.23(b). Cindy Bladey, operations operating under part 121 to Chief, Rules, Announcements, and Directives voluntarily opt into the part 117 flight, 4. Reporting Requirements of Branch, Office of Administration. duty, and rest regulations. § 117.19(b)(4) [FR Doc. 2013–27140 Filed 11–18–13; 8:45 am] After the final rule was published, the Similar to § 117.11(b), § 117.19(b) BILLING CODE 7590–01–P FAA discovered several issues requiring permits a flightcrew member to exceed a technical correction in the regulatory the flight-duty-period limits specified in text of the rule. These issues, and the Tables B and C and in § 117.23(c). To DEPARTMENT OF TRANSPORTATION corresponding technical corrections, are ensure that the FAA is notified in all as follows. instances in which the § 117.19(b) Federal Aviation Administration Technical Corrections extension is utilized, § 117.19(b)(4) has been corrected to clarify that reporting 14 CFR Parts 117 and 121 1. Certain Domestic All-Cargo is required if the extension in [Docket No. FAA–2009–1093; Amdt. Nos. Operations (§ 121.470(b)) § 117.19(b) is used to exceed either the 117–1, 119–16, 121–357] Under the existing rules, 14 CFR limits of Tables B/C or § 117.23. We RIN 2120–AJ58 121.470(b) states that ‘‘[c]ertificate note that while reporting is not required holders conducting scheduled if the limits of Table B or C are exceeded Flightcrew Member Duty and Rest operations entirely within the States of by 30 minutes or less, the corrected Requirements; Technical Correction Alaska or Hawaii with airplanes having § 117.19(b) requires certificate holder a passenger seat configuration of more reporting if the limits of § 117.23 are AGENCY: Federal Aviation than 30 seats, excluding each exceeded by any amount of time. Administration, DOT. crewmember seat, or a payload capacity 5. Cumulative Limitations in § 117.23(b) ACTION: Final rule; technical correction. of more than 7,500 pounds’’ may elect to comply with the flag flight, duty, and The cumulative flight-time limitations SUMMARY: The FAA is correcting the rest rules of part 121. in § 117.23(c) have been corrected to final flightcrew member duty and rest The final rule that created 14 CFR part clarify that a flightcrew member cannot rule published on January 4, 2012. In 117 provides that all-cargo operations accept an assignment that would cause that rule, the FAA amended its existing that do not choose to operate under part that crewmember’s total flight duty flight, duty and rest regulations 117 will be able to operate under the period to exceed either 60 hours in any applicable to certificate holders and same flight, duty, and rest rules that their flightcrew members operating they operated under prior to the 2 Id. at 403 (emphasis added). certain domestic, flag, and supplemental 3 creation of part 117.1 However, the final The FAA acknowledges that § 121.470(b) operations. This document corrects governs scheduled operations and § 110.2 defines a rule inadvertently changed the several issues requiring a technical scheduled operation as a ‘‘passenger-carrying operation.’’ Consequently, an all-cargo operation correction in the codified text of the 1 See Flightcrew Member Duty and Rest may not be able to operate under § 121.470(b) as final flightcrew member duty and rest Requirements Final Rule, 77 FR 330, 336–337 (Jan. currently written. The FAA is examining this issue rule. 4, 2012). and may address it in a future regulatory action.

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168 consecutive hours or 190 hours in permitted by Tables B or C of this part DEPARTMENT OF COMMERCE any 672 consecutive hours. by more than 30 minutes. The report must contain a description of the Foreign-Trade Zones Board 6. Reporting Requirements of § 117.29(e) circumstances surrounding the affected Similar to § 117.11(b) and § 117.19(b), flight duty period. 15 CFR Part 400 § 117.29 permits a flightcrew member to exceed the cumulative limits specified § 117.23 [Corrected] [Docket No.: 131105932–3932–01] in Tables A, B, and C, and in § 117.23. ■ 4. On page 401, in the first column, in RIN 0625–AA98 To ensure that the FAA is notified in all § 117.23, paragraph (c)(1) is corrected to instances in which the § 117.29(b) read as follows: Import Administration; Change of extension is utilized, § 117.29(e) has Agency Name been corrected to clarify that reporting § 117.23 Cumulative limitations AGENCY: Foreign-Trade Zones Board, is required if the extension in * * * * * International Trade Administration, § 117.29(b) is used to exceed either the (c) * * * Commerce. limits of Tables A/B/C or § 117.23. (1) 60 flight duty period hours in any Accordingly, in the final rule, FR Doc. 168 consecutive hours or ACTION: Final rule; nomenclature 2011–33078, published on January 4, * * * * * change. 2012 (77 FR 330), make the following SUMMARY: Effective October 1, 2013, the corrections: § 117.29 [Corrected] Department of Commerce (Department), ■ § 117.3 [Corrected] 5. On page 401, in the third column, through internal department in § 117.29, correct paragraph (e) to read organizational orders, changed the name ■ 1. On page 398, in the second column, as follows: in § 117.3, the introductory text is of ‘‘Import Administration’’ to corrected to read as follows: § 117.29 Emergency and government ‘‘Enforcement and Compliance.’’ sponsored operations. Consistent with this action, this rule § 117.3 Definitions. * * * * * makes appropriate conforming changes In addition to the definitions in §§ 1.1 (e) Each certificate holder must report in part 400 of title 15 of the Code of and 110.2 of this chapter, the following within 10 days: Federal Regulations. definitions apply to this part. In the (1) Any flight duty period that The rule also sets forth a Savings event there is a conflict in definitions, exceeded the maximum flight duty Provision that preserves, under the new the definitions in this part control for period permitted in Tables B or C of this name, all actions taken under the name purposes of the flight and duty part, as applicable, by more than 30 of Import Administration and provides limitations and rest requirements of this minutes; that any references to Import part. (2) Any flight time that exceeded the Administration in any document or * * * * * maximum flight time limits permitted in other communication shall be deemed Table A of this part and § 117.11, as to be references to Enforcement and § 117.11 [Corrected] applicable; and Compliance. ■ 2. On pages 399 and 400, in the third (3) Any flight duty period or flight DATES: This rule is effective on column on page 399 and the first time that exceeded the cumulative November 19, 2013. column of page 400, in § 117.11, correct limits specified in § 117.23. FOR FURTHER INFORMATION CONTACT: paragraph (c) to read as follows: * * * * * Andrew McGilvray, Executive Secretary, Foreign-Trade Zones Board, § 117.11 Flight time limitation. § 121.470 [Corrected] Telephone: (202) 482–2862; Joanna * * * * * ■ 6. On page 403, in the first column, in Theiss, Attorney, Office of Chief (c) Each certificate holder must report § 121.470, correct paragraph (b) to read Counsel for Trade Enforcement and to the Administrator within 10 days any as follows: Compliance, Telephone: (202) 482– flight time that exceeded the maximum 5052. flight time limits permitted by this § 121.470 Applicability. section or § 117.23(b). The report must * * * * * SUPPLEMENTARY INFORMATION: contain a description of the extended (b) Certificate holders conducting Background flight time limitation and the scheduled operations entirely within circumstances surrounding the need for the States of Alaska or Hawaii with This rule implements the decision by the extension. airplanes having a passenger seat the Department of Commerce, through * * * * * configuration of more than 30 seats, internal Department Organizational excluding each crewmember seat, or a Order 10–3 (effective September 18, § 117.19 [Corrected] payload capacity of more than 7,500 2013) and Department Organizational ■ 3. On page 400, in the third column, pounds, may comply with the Order 40–1, (effective September 19, in § 117.19, correct paragraph (b)(4) to requirements of this subpart or subpart 2013), to consolidate and reorganize read as follows: R of this part for those operations. certain Department organizational functions and revise the name of § 117.19 Flight duty period extensions. * * * * * ‘‘Import Administration’’ to * * * * * Issued in Washington, DC, on November ‘‘Enforcement and Compliance.’’ The (b) * * * 12, 2013. revision more accurately reflects the (4) Each certificate holder must report Mark W. Bury, breadth of the agency’s activities with to the Administrator within 10 days any Assistant Chief Counsel for International Law, respect to the enforcement of, and flight duty period that either exceeded Legislation, and Regulations Division, AGC– compliance with, U.S. trade laws. the cumulative flight duty periods 200. Consistent with the consolidation and specified in § 117.23(c), or exceeded the [FR Doc. 2013–27539 Filed 11–18–13; 8:45 am] name change, this rule makes a number maximum flight duty period limits BILLING CODE 4910–13–P of changes in part 400 of title 15 of the

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Code of Federal Regulations. PART 400—REGULATIONS OF THE DATES: The rule will be effective on Specifically, this rule changes all FOREIGN-TRADE ZONES BOARD January 28, 2014 unless adverse references to the ‘‘Assistant Secretary comment is received by January 21, for Import Administration’’ wherever ■ 1. The authority citation for part 400 2014. If adverse comment is received, they appear in part 400 of title 15 to continues to read as follows: the Department of Defense will publish ‘‘Assistant Secretary for Enforcement Authority: Foreign-Trade Zones Act of a timely withdrawal of the rule in the and Compliance.’’ June 18, 1934, as amended (Pub. L. 73–397, Federal Register. 48 Stat. 998–1003 (19 U.S.C. 81a–81u)). Savings Provision ADDRESSES: You may submit comments, This rule shall constitute notice that ■ 2. In 15 CFR part 400, revise all identified by docket number and title, all references to Import Administration references to the ‘‘Assistant Secretary by any of the following methods: for Import Administration’’ to read in any documents, statements, or other * Federal Rulemaking Portal: http:// communications, in any form or media, ‘‘Assistant Secretary for Enforcement www.regulations.gov. and whether made before, on, or after and Compliance’’. the effective date of this rule, shall be Dated: November 8, 2013. Follow the instructions for submitting comments. deemed to be references to Enforcement Paul Piquado, and Compliance. Any actions Assistant Secretary of Commerce, for * Mail: Federal Docket Management undertaken in the name of or on behalf Enforcement and Compliance. System Office, 4800 Mark Center Drive; of Import Administration, whether [FR Doc. 2013–27722 Filed 11–18–13; 8:45 am] East Tower, 2nd Floor, Suite 02G09, taken before, on, or after the effective Alexandria, VA 22350–3100. date of this rule, shall be deemed to BILLING CODE 3510–DS–P have been taken in the name of or on Instructions: All submissions received behalf of Enforcement and Compliance. must include the agency name and DEPARTMENT OF DEFENSE docket number for this Federal Register Rulemaking Requirements document. The general policy for 1. This final rule has been determined Office of the Secretary comments and other submissions from to be exempt from review under members of the public is to make these Executive Order 12866. 32 CFR Part 320 submissions available for public 2. This rule does not impose [Docket ID: DoD–2013–OS–0215] viewing on the Internet at http:// information collection and www.regulations.gov as they are recordkeeping requirements. Privacy Act; Implementation received without change, including any Consequently, it need not be reviewed personal identifiers or contact AGENCY: National Geospatial- by the Office of Management and information. Budget under the provisions of the Intelligence Agency, DoD. Paperwork Reduction Act of 1995. ACTION: Direct final rule with request for FOR FURTHER INFORMATION CONTACT: 3. This rule does not contain policies comments. National Geospatial-Intelligence Agency with Federalism implications as this (NGA), ATTN: Security Specialist, term is defined in Executive Order SUMMARY: National Geospatial- Mission Support, MSRS P–12, 7500 13132. Intelligence Agency (NGA) is updating GEOINT Drive, Springfield, VA 22150. 4. The provisions of the the NGA Privacy Act Program by adding Administrative Procedure Act (5 U.S.C. the (k)(2) exemption to accurately SUPPLEMENTARY INFORMATION: 553) requiring notice of proposed describe the basis for exempting the Direct Final Rule and Significant rulemaking, the opportunity for public records in the system of records notice participation, and a delay in effective NGA–008, National Geospatial- Adverse Comments date, are inapplicable because this rule Intelligence Agency Polygraph Records DoD has determined this rulemaking involves a rule of agency organization, System. In this rulemaking, the NGA meets the criteria for a direct final rule procedure, or practice. 5 U.S.C. proposes to exempt portions of this because it involves non-substantive 553(b)(B). Further, no other law requires system of records from one or more changes dealing with DoD’s that a notice of proposed rulemaking provisions of the Privacy Act because of management of its Privacy Programs. and an opportunity for public comment criminal, civil and administrative DoD expects no opposition to the be given for this final rule. Because a enforcement requirements. This direct changes and no significant adverse notice of proposed rulemaking and an final rule makes non-substantive comments. However, if DoD receives a opportunity for public comment are not changes to the NGA Program rules. significant adverse comment, the required to be given for this rule under These changes will allow the 5 U.S.C. or by any other law, the Department to add exemption rules to Department will withdraw this direct analytical requirements of the the NGA Privacy Program rules that will final rule by publishing a notice in the Regulatory Flexibility Act (5 U.S.C. 601, exempt applicable Department records Federal Register. A significant adverse et seq.) are not applicable. Accordingly, and/or material from certain portions of comment is one that explains: (1) Why this rule is issued in final form. the Privacy Act. This will improve the the direct final rule is inappropriate, efficiency and effectiveness of DoD’s including challenges to the rule’s List of Subjects in 15 CFR Part 400 program by ensuring the integrity of the underlying premise or approach; or (2) Administrative practice and security and counterintelligence records why the direct final rule will be procedure, Customs duties and by the NGA and the Department of ineffective or unacceptable without a inspection, Foreign trade zones, Defense. change. In determining whether a Harbors, Imports, Reporting and This rule is being published as a comment necessitates withdrawal of recordkeeping requirements. direct final rule as the Department of this direct final rule, DoD will consider For the reasons set forth in the Defense does not expect to receive any whether it warrants a substantive preamble, 15 CFR part 400 is amended adverse comments, and so a proposed response in a notice and comment as set forth below: rule is unnecessary. process.

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Executive Order 12866, ‘‘Regulatory PART 320—NATIONAL GEOSPATIAL- (ii) From subsection (d) (Access to Planning and Review’’ and Executive INTELLIGENCE AGENCY (NGA) Records) because access to the records Order 13563, ‘‘Improving Regulation PRIVACY contained in this system of records and Regulatory Review’’ could inform the subject of an ■ 1. The authority citation for 32 CFR investigation of an actual or potential It has been determined that this rule part 320 continues to read as follows: criminal, civil, or regulatory violation to is not a significant rule. This rule does the existence of that investigation and not (1) Have an annual effect on the Authority: Pub. L. 93–579, 88 Stat. 1986 (5 reveal investigative interest on the part economy of $100 million or more or U.S.C. 552a). of NGA or another agency. Access to the adversely affect in a material way the ■ 2. Section 320.12 is amended by records could permit the individual economy; a sector of the economy; adding paragraph (e) to read as follows: who is the subject of a record to impede productivity; competition; jobs; the § 320.12 Exemptions. the investigation, to tamper with environment; public health or safety; or witnesses or evidence, and to avoid State, local, or tribal governments or * * * * * (e) System identifier and name: NGA– detection or apprehension. Amendment communities; (2) Create a serious 008, National Geospatial-Intelligence of the records could interfere with inconsistency or otherwise interfere Agency Polygraph Records System. ongoing investigations and law with an action taken or planned by (1) Exemptions: Investigatory material enforcement activities and would another Agency; (3) Materially alter the compiled for law enforcement purposes, impose an unreasonable administrative budgetary impact of entitlements, other than material within the scope of burden by requiring investigations to be grants, user fees, or loan programs, or subsection 5 U.S.C. 552a(j)(2), may be continually reinvestigated. In addition, the rights and obligations of recipients exempt pursuant to 5 U.S.C. 552a(k)(2). permitting access and amendment to thereof; or (4) Raise novel legal or policy However, if an individual is denied any such information could disclose issues arising out of legal mandates, the right, privilege, or benefit for which he security-sensitive information that President’s priorities, or the principles would otherwise be entitled by Federal could be detrimental to homeland set forth in these Executive orders. law or for which he would otherwise be security. Public Law 96–354, ‘‘Regulatory eligible, as a result of the maintenance (iii) From subsection (e)(1) (Relevancy Flexibility Act’’ (5 U.S.C. Chapter 6) of the information, the individual will and Necessity of Information) because be provided access to the information in the course of investigations into This rule will not have significant exempt to the extent that disclosure potential violations of Federal law, the economic impact on a substantial would reveal the identity of a accuracy of information obtained or number of small entities because it is confidential source. introduced occasionally may be unclear, concerned only with the administration or the information may not be strictly of Privacy Act systems of records within Note to paragraph (e)(1): When claimed, relevant or necessary to a specific this exemption allows limited protection of the Department of Defense. A investigation. In the interests of effective Regulatory Flexibility Analysis is not investigative reports maintained in a system of records used in personnel or law enforcement, it is appropriate to required. administrative actions. retain all information that may aid in Public Law 96–511, ‘‘Paperwork (2) Authority: 5 U.S.C. 552a (k)(2). establishing patterns of unlawful Reduction Act’’ (44 U.S.C. Chapter 35) activity. (3) Reasons: Pursuant to 5 U.S.C. 552a (iv) From subsection (e)(2) (Collection This rule does not contain any (k)(2), the Director of NGA has of Information from Individuals) information collection requirements exempted this system from the because requiring that information be subject to the Paperwork Reduction Act following provisions of the Privacy Act, collected from the subject of an of 1995 (44 U.S.C. 3501 et seq.). subject to the limitation set forth in 5 investigation would alert the subject to U.S.C. 552a(c)(3); (d); (e)(1), (e)(4)(G), Section 202, Public Law 104–4, the nature or existence of the (e)(4)(H), (e)(4)(I); and (f). Exemptions ‘‘Unfunded Mandates Reform Act’’ investigation, thereby interfering with from these particular subsections are that investigation and related law These amendments do not involve a justified, on a case-by-case basis to be enforcement activities. Federal mandate that may result in the determined at the time a request is (v) From subsection (e)(3) (Notice to expenditure by State, local and tribal made, for the following reasons: Subjects) because providing such governments, in the aggregate, or by the (i) From subsection (c)(3) and (c)(4) detailed information could impede law private sector, of $100 million or more (Accounting for Disclosures) because enforcement by compromising the and that such rulemaking will not release of the accounting of disclosures existence of a confidential investigation significantly or uniquely affect small could alert the subject of an or reveal the identity of witnesses or governments. investigation of an actual or potential confidential informants. criminal, civil, or regulatory violation to (vi) From subsections (e)(4)(G), Executive Order 13132, ‘‘Federalism’’ the existence of that investigation and (e)(4)(H), and (e)(4)(I) (Agency These amendments do not have reveal investigative interest on the part Requirements) and (f) (Agency Rules), substantial direct effects on the States, of NGA as well as the recipient agency. because portions of this system are on the relationship between the Disclosure of the accounting would exempt from the individual access National Government and the States, or therefore present a serious impediment provisions of subsection (d) for the on the distribution of power and to law enforcement efforts and/or efforts reasons noted above, and therefore NGA responsibilities among the various to preserve national security. Disclosure is not required to establish levels of government. Therefore, no of the accounting would also permit the requirements, rules, or procedures with Federalism assessment is required. individual who is the subject of a record respect to such access. Providing notice List of Subjects in 32 CFR Part 320 to impede the investigation, to tamper to individuals with respect to existence with witnesses or evidence, and to of records pertaining to them in the Privacy. avoid detection or apprehension, which system of records or otherwise setting Accordingly, 32 CFR part 320 is would undermine the entire up procedures pursuant to which amended as follows: investigative process. individuals may access and view

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records pertaining to themselves in the These changes will allow the the direct final rule is inappropriate, system would undermine investigative Department to add exemption rules to including challenges to the rule’s efforts and reveal the identities of the NGA Privacy Program rules that will underlying premise or approach; or (2) witnesses, and potential witnesses, and exempt applicable Department records why the direct final rule will be confidential informants. and/or material from certain portions of ineffective or unacceptable without a (vii) From subsection (e)(5) the Privacy Act. This will improve the change. In determining whether a (Collection of Information) because with efficiency and effectiveness of DoD’s comment necessitates withdrawal of the collection of information for law program by ensuring the integrity of the this direct final rule, DoD will consider enforcement purposes, it is impossible security and counterintelligence records whether it warrants a substantive to determine in advance what by the NGA and the Department of response in a notice and comment information is accurate, relevant, timely, Defense. process. and complete. Compliance with This rule is being published as a subsection (e)(5) would preclude NGA direct final rule as the Department of Executive Order 12866, ‘‘Regulatory personnel from using their investigative Defense does not expect to receive any Planning and Review’’ and Executive training and exercise of good judgment adverse comments, and so a proposed Order 13563, ‘‘Improving Regulation to both conduct and report on rule is unnecessary. and Regulatory Review’’ investigations. DATES: The rule will be effective on It has been determined that this rule (viii) From subsection (e)(8) (Notice January 28, 2014 unless adverse is not a significant rule. This rule does on Individuals) because compliance comment is received by January 21, not (1) Have an annual effect on the would interfere with NGA’s ability to 2014. If adverse comment is received, economy of $100 million or more or cooperate with law enforcement who the Department of Defense will publish adversely affect in a material way the would obtain, serve, and issue a timely withdrawal of the rule in the economy; a sector of the economy; subpoenas, warrants, and other law Federal Register. productivity; competition; jobs; the enforcement mechanisms that may be ADDRESSES: You may submit comments, environment; public health or safety; or filed under seal and could result in identified by docket number and title, State, local, or tribal governments or disclosure of investigative techniques, by any of the following methods: communities; (2) Create a serious procedures, and evidence. * Federal Rulemaking Portal: http:// inconsistency or otherwise interfere (ix) From subsection (g)(1) (Civil www.regulations.gov. with an action taken or planned by Remedies) to the extent that the system Follow the instructions for submitting another Agency; (3) Materially alter the is exempt from other specific comments. budgetary impact of entitlements, subsections of the Privacy Act. * Mail: Federal Docket Management grants, user fees, or loan programs, or Dated: November 6, 2013. System Office, 4800 Mark Center Drive; the rights and obligations of recipients Aaron Siegel, East Tower, 2nd Floor, Suite 02G09, thereof; or (4) Raise novel legal or policy Alternate OSD Federal Register Liaison Alexandria, VA 22350–3100. issues arising out of legal mandates, the Officer, Department of Defense. Instructions: All submissions received President’s priorities, or the principles [FR Doc. 2013–27462 Filed 11–18–13; 8:45 am] must include the agency name and set forth in these Executive orders. BILLING CODE 5001–06–P docket number for this Federal Register Public Law 96–354, ‘‘Regulatory document. The general policy for Flexibility Act’’ (5 U.S.C. Chapter 6) comments and other submissions from DEPARTMENT OF DEFENSE members of the public is to make these This rule will not have significant submissions available for public economic impact on a substantial Office of the Secretary viewing on the Internet at http:// number of small entities because it is www.regulations.gov as they are concerned only with the administration 32 CFR Part 320 received without change, including any of Privacy Act systems of records within the Department of Defense. A [Docket ID: DoD–2013–OS–0214] personal identifiers or contact information. Regulatory Flexibility Analysis is not required. Privacy Act; Implementation FOR FURTHER INFORMATION CONTACT: AGENCY: National Geospatial- National Geospatial-Intelligence Agency Public Law 96–511, ‘‘Paperwork Intelligence Agency, DoD. (NGA), Human Development Reduction Act’’ (44 U.S.C. Chapter 35) ACTION: Direct final rule with request for Directorate, 7500 GEOINT Drive, This rule does not contain any comments. Springfield, VA 22150. information collection requirements SUPPLEMENTARY INFORMATION: subject to the Paperwork Reduction Act SUMMARY: National Geospatial- of 1995 (44 U.S.C. 3501 et seq.). Intelligence Agency (NGA) is updating Direct Final Rule and Significant the NGA Privacy Act Program by adding Adverse Comments Section 202, Public Law 104–4, the (k)(2) exemption to accurately DoD has determined this rulemaking ‘‘Unfunded Mandates Reform Act’’ describe the basis for exempting the meets the criteria for a direct final rule These amendments do not involve a records in the system of records notice because it involves non-substantive Federal mandate that may result in the NGA–003, National Geospatial- changes dealing with DoD’s expenditure by State, local and tribal Intelligence Agency Enterprise management of its Privacy Programs. governments, in the aggregate, or by the Workforce System. In this rulemaking, DoD expects no opposition to the private sector, of $100 million or more the NGA proposes to exempt portions of changes and no significant adverse and that such rulemaking will not this system of records from one or more comments. However, if DoD receives a significantly or uniquely affect small provisions of the Privacy Act because of significant adverse comment, the governments. criminal, civil and administrative Department will withdraw this direct enforcement requirements. This direct final rule by publishing a notice in the Executive Order 13132, ‘‘Federalism’’ final rule makes non-substantive Federal Register. A significant adverse These amendments do not have changes to the NGA Program rules. comment is one that explains: (1) Why substantial direct effects on the States,

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on the relationship between the of NGA as well as the recipient agency. because portions of this system are National Government and the States, or Disclosure of the accounting would exempt from the individual access on the distribution of power and therefore present a serious impediment provisions of subsection (d) for the responsibilities among the various to law enforcement efforts and/or efforts reasons noted above, and therefore NGA levels of government. Therefore, no to preserve national security. Disclosure is not required to establish Federalism assessment is required. of the accounting would also permit the requirements, rules, or procedures with individual who is the subject of a record respect to such access. Providing notice List of Subjects in 32 CFR Part 320 to impede the investigation, to tamper to individuals with respect to existence Privacy. with witnesses or evidence, and to of records pertaining to them in the Accordingly, 32 CFR part 320 is avoid detection or apprehension, which system of records or otherwise setting amended as follows: would undermine the entire up procedures pursuant to which investigative process. individuals may access and view PART 320—NATIONAL GEOSPATIAL- (ii) From subsection (d) (Access to records pertaining to themselves in the INTELLIGENCE AGENCY (NGA) Records) because access to the records system would undermine investigative PRIVACY contained in this system of records efforts and reveal the identities of could inform the subject of an witnesses, and potential witnesses, and ■ 1. The authority citation for part 320 investigation of an actual or potential confidential informants. continues to read as follows: criminal, civil, or regulatory violation to (vii) From subsection (e)(5) Authority: Pub. L. 93–579, 88 Stat. 1986 (5 the existence of that investigation and (Collection of Information) because with U.S.C. 552a). reveal investigative interest on the part the collection of information for law ■ 2. Section 320.12 is amended by of NGA or another agency. Access to the enforcement purposes, it is impossible adding paragraph (d) to read as follows: records could permit the individual to determine in advance what who is the subject of a record to impede information is accurate, relevant, timely, § 320.12 Exemptions. the investigation, to tamper with and complete. Compliance with * * * * * witnesses or evidence, and to avoid subsection (e)(5) would preclude NGA (d) System identifier and name: NGA– detection or apprehension. Amendment personnel from using their investigative 003, National Geospatial-Intelligence of the records could interfere with training and exercise of good judgment Agency Enterprise Workforce System. ongoing investigations and law to both conduct and report on (1) Exemptions: Investigatory material enforcement activities and would investigations. compiled for law enforcement purposes, impose an unreasonable administrative (viii) From subsection (e)(8) (Notice other than material within the scope of burden by requiring investigations to be on Individuals) because compliance subsection 5 U.S.C. 552a(j)(2), may be continually reinvestigated. In addition, would interfere with NGA’s ability to exempt pursuant to 5 U.S.C. 552a(k)(2). permitting access and amendment to cooperate with law enforcement who However, if an individual is denied any such information could disclose would obtain, serve, and issue right, privilege, or benefit for which he security-sensitive information that subpoenas, warrants, and other law would otherwise be entitled by Federal could be detrimental to homeland enforcement mechanisms that may be law or for which he would otherwise be security. filed under seal and could result in eligible, as a result of the maintenance (iii) From subsection (e)(1) (Relevancy disclosure of investigative techniques, of the information, the individual will and Necessity of Information) because procedures, and evidence. be provided access to the information in the course of investigations into (ix) From subsection (g)(1) (Civil exempt to the extent that disclosure potential violations of Federal law, the Remedies) to the extent that the system would reveal the identity of a accuracy of information obtained or is exempt from other specific confidential source. introduced occasionally may be unclear, subsections of the Privacy Act. or the information may not be strictly Note to paragraph (d)(1): When claimed, relevant or necessary to a specific Dated: November 6, 2013. this exemption allows limited protection of Aaron Siegel, investigative reports maintained in a system investigation. In the interests of effective Alternate OSD Federal Register Liaison of records used in personnel or law enforcement, it is appropriate to Officer, Department of Defense. administrative actions. retain all information that may aid in establishing patterns of unlawful [FR Doc. 2013–27464 Filed 11–18–13; 8:45 am] (2) Authority: 5 U.S.C. 552a (k)(2). activity. BILLING CODE 5001–06–P (3) Reasons: Pursuant to 5 U.S.C. 552a (iv) From subsection (e)(2) (Collection (k)(2), the Director of NGA has of Information from Individuals) exempted this system from the because requiring that information be DEPARTMENT OF HOMELAND following provisions of the Privacy Act, collected from the subject of an SECURITY subject to the limitation set forth in 5 investigation would alert the subject to U.S.C. 552a(c)(3); (d); (e)(1), (e)(4)(G), the nature or existence of the Coast Guard (e)(4)(H), (e)(4)(I); and (f). Exemptions investigation, thereby interfering with from these particular subsections are that investigation and related law 33 CFR Part 141 justified, on a case-by-case basis to be enforcement activities. [Docket No. USCG–2013–0916] determined at the time a request is (v) From subsection (e)(3) (Notice to made, for the following reasons: Subjects) because providing such RIN 1625–AC09 (i) From subsection (c)(3) and (c)(4) detailed information could impede law (Accounting for Disclosures) because enforcement by compromising the TWIC Not Evidence of Resident Alien release of the accounting of disclosures existence of a confidential investigation Status could alert the subject of an or reveal the identity of witnesses or AGENCY: Coast Guard, DHS. investigation of an actual or potential confidential informants. ACTION: Final rule. criminal, civil, or regulatory violation to (vi) From subsections (e)(4)(G), the existence of that investigation and (e)(4)(H), and (e)(4)(I) (Agency SUMMARY: The Coast Guard issues this reveal investigative interest on the part Requirements) and (f) (Agency Rules), final rule to remove from its regulations

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on Outer Continental Shelf (OCS) FR Federal Register required by law. Therefore, for purposes activities a reference to the I–9 Form I–9, Employment Eligibility of 33 CFR part 141, a TWIC alone Transportation Worker Identification Verification cannot be accepted by an employer as Credential (TWIC) and a related TWIC INA Immigration and Nationality Act of sufficient evidence of the holder’s status definition and recordkeeping reference 1952 NPRM Notice of proposed rulemaking as a U.S. resident alien. because they are inconsistent with a OCS Outer Continental Shelf Since OCSLA mandates that requirement in the Outer Continental OCSLA Outer Continental Shelf Lands Act employers must employ only U.S. Shelf Lands Act. These regulations deal TWIC Transportation Worker Identification citizens or resident aliens on units with the employment of personnel on Credential engaged in OCS activities, any employer the OCS to U.S. citizens or resident U.S.C. United States Code who hires a non-resident alien who has aliens. The TWIC reference incorrectly II. Basis and Purpose presented only a TWIC as proof of status provides that a TWIC alone may be as a U.S. resident alien, would not be in accepted by an employer as sufficient The Coast Guard is amending its compliance with the OCSLA evidence of the TWIC holder’s status as regulations in 33 CFR part 141, which requirement. Additionally, authorizing a a U.S. resident alien, as that term is govern the restrictions on the TWIC to be used in this manner is defined. This rule clarifies the employment of personnel on units contrary to, and inconsistent with the regulations. engaged in Outer Continental Shelf definition for a U.S. ‘‘resident alien’’ (OCS) activities, by removing an DATES: This final rule is effective found in § 141.10 where the term is incorrect reference to the Transportation November 19, 2013. defined as ‘‘an alien lawfully admitted Worker Identification Credential ADDRESSES: Documents mentioned in to the United States for permanent (TWIC). The reference in 33 CFR residence in accordance with section this preamble as being available in the 141.30(d) incorrectly provides that, for docket are part of docket USCG–2013– 101(a)(20) of the Immigration and purposes of 33 CFR part 141, a TWIC Nationality Act (INA) of 1952, as 0916 and are available for inspection or alone may be accepted by an employer copying at the Docket Management amended, 8 U.S.C. 1101(a)(20).’’ as sufficient evidence of the TWIC To correct this inconsistency, the Facility (M–30), U.S. Department of holder’s status a U.S. resident alien,1 as Transportation, West Building Ground Coast Guard is removing 33 CFR that term is defined in 33 CFR 141.10. 141.30(d) from its regulations and Floor, Room W12–140, 1200 New Jersey The regulations in 33 CFR part 141 clarifies that only the provisions in 33 Avenue SE., Washington, DC 20590, are authorized by the Outer Continental CFR 141.30(a) through (c) are acceptable between 9 a.m. and 5 p.m., Monday Shelf Lands Act (OCSLA) (43 U.S.C. for showing evidence of a person’s through Friday, except Federal holidays. 1301, et. al.), which mandates that the status as a U.S. resident alien. You may also find this docket on the Secretary of the Department in which Internet by going to http:// the Coast Guard operates shall issue The Coast Guard is also removing a www.regulations.gov, inserting USCG– regulations which, in part, require the related TWIC definition in § 141.10 and 2013–0916 in the ‘‘Search’’ box, and employment of U.S. citizens or resident a related TWIC recordkeeping reference then clicking ‘‘Search.’’ aliens on any vessel, rig, platform, or in § 141.35(d). FOR FURTHER INFORMATION CONTACT: If other vehicle or structure engaged in III. Regulatory History you have questions on this rule, email OCS activities, unless certain exceptions or call Mr. Quentin Kent, Office of apply. 43 U.S.C. 1356. The Administrative Procedure Act Commercial Vessel Compliance, Foreign Subsequent to the implementation of (APA) requires the Coast Guard to and Offshore Vessel Division (CG–CVC– the regulations in 33 CFR part 141, the provide public notice and seek public 2), Coast Guard; email Quentin.C.Kent@ Coast Guard published a final rule comment on substantive regulations. 5 uscg.mil, telephone 202–372–2292. If entitled, ‘‘Consolidation of Merchant U.S.C. 553. The APA, however, you have questions on viewing the Mariner Qualification Credentials’’ on excludes certain types of regulations docket, call Ms. Barbara Hairston, March 16, 2009, that went into effect on and permits exceptions for other types Program Manager, Docket Operations, April 15, 2009. 74 FR 11196. In that of regulations from this public notice telephone 202–366–9826. rulemaking several provisions of 33 CFR and comment requirement. Under the SUPPLEMENTARY INFORMATION: part 141 were amended. In particular, APA ‘‘good cause’’ exception, an agency the Coast Guard added paragraph (d) to may dispense with the requirement for Table of Contents for Preamble 33 CFR 141.30, authorizing an employer notice and comment if the agency finds I. Abbreviations to accept a TWIC alone as sufficient that following APA requirements would II. Basis and Purpose evidence of the TWIC holder’s status as be ‘‘impracticable, unnecessary, or III. Regulatory History a U.S. resident alien. However, the contrary to the public interest.’’ 5 U.S.C. IV. Discussion of the Final Rule 553(b)(B). The Coast Guard finds that V. Regulatory Analyses preamble to this rulemaking did not provide a reason for adding paragraph notice and comment for this rulemaking A. Regulatory Planning and Review is unnecessary because we are merely B. Small Entities (d) to 33 CFR 141.30. Paragraph (d) is C. Assistance for Small Entities incorrect because a TWIC may be issued removing a provision that we D. Collection of Information to both U.S. resident aliens and non- mistakenly inserted into 33 CFR part E. Federalism resident aliens 2 and thus, it cannot 141 in a 2009 rulemaking and that is F. Unfunded Mandates Reform Act serve as sufficient evidence that the inconsistent with the governing statute G. Taking of Private Property person is a U.S. resident alien, as (see discussion in section II. Basis and H. Civil Justice Reform Purpose). Public notice of this change is I. Protection of Children unnecessary because such comments J. Indian Tribal Governments 1 U.S. resident alien is defined in 33 CFR 141.10 K. Energy Effects as an alien lawfully admitted for permanent cannot affect, influence, or inform any L. Technical Standards residence, as defined in 8 U.S.C. 1101(a)(20). See Coast Guard action in implementing the 49 CFR 1570.3. The term in synonymous with removal of this provision because the M. Environment ‘‘legal permanent resident’’ as it appears in TSA Coast Guard cannot maintain a I. Abbreviations regulations. 2 See Transportation Security Administration regulation that is inconsistent with its APA Administrative Procedure Act regulations, 49 CFR 1572.105. statutory authority.

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Moreover, the Coast Guard finds that alternatives and, if regulation is CFR 274a.2) The TWIC card alone good cause exists to implement this rule necessary, to select regulatory would be insufficient evidence to prove immediately upon publication in the approaches that maximize net benefits one’s identity and employment Federal Register. See 5 U.S.C. 553(d)(3). (including potential economic, authorization under the I–9 process. The Coast Guard finds it necessary to environmental, public health and safety Because part 141 does not exempt implement this rule immediately effects, distributive impacts, and employers from completing the Form I– because the Coast Guard cannot keep a equity). Executive Order 13563 9, the population directly affected by regulation in place even if the public emphasizes the importance of the final rule (i.e., employers and showed support for it since it is quantifying both costs and benefits, of potential employees) will not incur any inconsistent with its statutory authority. reducing costs, of harmonizing rules, additional costs as a result of the final We also find it in the public interest to and of promoting flexibility. rule. implement this rule immediately to This final rule is not a significant ensure that employers know as soon as regulatory action under section 3(f) of The benefits of this final rule include possible that they must verify a Executive Order 12866, Regulatory harmonization with the INA and potential employees’ immigration status Planning and Review, as supplemented clarification of the requirements to by means other than a TWIC. by Executive Order 13563, Improving demonstrate U.S. resident alien status Regulation and Regulatory Review, and for the purpose of employment on units IV. Discussion of the Final Rule does not require an assessment of engaged in activities on the OCS. The Section 141.10 contains the potential costs and benefits under inclusion of the TWIC to the list of definitions that apply to part 141. A section 6(a)(3) of that Order. The Office documents acceptable to prove U.S. TWIC is defined as ‘‘an identification of Management and Budget (OMB) has resident alien status in § 141.30 credential issued by the Transportation not reviewed it under that Order. contradicts the intent of OCSLA. Security Administration according to 49 Nonetheless, we developed an analysis Removal of the reference to TWIC from CFR part 1572.’’ We are removing this of the costs and benefits of this final the list will ensure employers and definition for the reasons explained in rule to ascertain its probable impacts on employees understand which Part III. industry. documents can be accepted as proof of Section 141.30 contains the regulation Currently, part 141 permits an U.S. resident alien status. which lists the documents an employer individual to present a valid TWIC as can accept as evidence of a person’s evidence of U.S. resident alien status for B. Small Entities status as a U.S. resident alien. We are the purposes of employment on units Under the Regulatory Flexibility Act removing Section 141.30(d) for the engaged in OCS activities. The TWIC is (5 U.S.C. 601–612), we have considered reasons explained in Part III. unsuitable as evidence of U.S. resident whether this rule will have a significant Section 141.35 states which records alien status because the TWIC may be economic impact on a substantial must be kept by employers as proof of obtained by non-resident aliens. number of small entities. The term eligibility for employment on the OCS. Employers, therefore, cannot accept ‘‘small entities’’ comprises small Section 141.35(a)(1) requires that an the TWIC as sufficient evidence that the businesses, not-for-profit organizations employer maintain a copy of a TWIC if potential employee is a U.S. resident that are independently owned and that is the method of identification used alien. This final rule will remove the operated and are not dominant in their by the employee to assert eligibility to TWIC as proof of U.S. resident alien fields, and governmental jurisdictions work on the OCS. Since a TWIC is not status for employment on units engaged with populations of less than 50,000. a valid form of identification for in OCS activities, creating consistency The revisions in this rule do not require purposes of part 141 as explained in with other requirements in part 141 that publication of an NPRM and, therefore, Part III, we are removing state that each employer engaged in is exempt from the requirements of the ‘‘Transportation Worker Identification OCS activities must employ only U.S. Regulatory Flexibility Act. Although Credential’’ from § 141.35(a)(1). All citizens or resident aliens, with limited this rule is exempt, we have reviewed other recordkeeping requirements will exceptions. it for its potential economic impact on remain unchanged. The Coast Guard does not expect this In addition, we will make a non- final rule to burden industry with new small entities. There is no cost to substantive change to § 141.30(c). The costs. In addition to having no evidence businesses, not-for-profit organizations, word ‘‘the’’ preceding the word that any employers have attempted to or government jurisdictions as a result ‘‘Naturalization’’ is removed as it is accept the TWIC alone to determine the of this rule, since other federal grammatically incorrect since only the immigration status of employees since requirements would preclude the use of word ‘‘a’’ should precede the word the TWIC was added to the list in 2009, the TWIC as sole evidence of U.S. ‘‘Naturalization.’’ employers in the United States are resident alien status. Therefore, the required by the INA to use the Form I– Coast Guard certifies under 5 U.S.C. V. Regulatory Analyses 605(b) that this rule will not have a 9,3 Employment Eligibility Verification significant economic impact on a We developed this final rule after (I–9) process. The I–9 process includes substantial number of small entities. If considering numerous statutes and an attestation from the new hire on you think that your business, executive orders related to rulemaking. whether he or she is a U.S. citizen or organization, or governmental Below we summarize our analyses national, lawful permanent resident, or jurisdiction qualifies as a small entity based on 14 of these statutes or alien authorized to work in the United and that this rule will have a significant executive orders. States. Employers must verify the economic impact on it, please submit a identity and employment authorization A. Regulatory Planning and Review comment to the Docket Management of every individual hired for Executive Orders 12866 (‘‘Regulatory Facility at the address under ADDRESSES employment in the United States. (8 . Planning and Review’’) and 13563 In your comment, explain why you (‘‘Improving Regulation and Regulatory 3 Form I–9, Employment Eligibility Verification, think it qualifies and how and to what Review’’) direct agencies to assess the OMB No. 1615–0047, http://www.uscis.gov/files/ degree this rule would economically costs and benefits of available regulatory form/i-9.pdf affect it.

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C. Assistance for Small Entities F. Unfunded Mandates Reform Act L. Technical Standards Under section 213(a) of the Small The Unfunded Mandates Reform Act The National Technology Transfer Business Regulatory Enforcement of 1995 (2 U.S.C. 1531–1538) requires and Advancement Act (NTTAA) (15 Fairness Act of 1996 (Pub. L. 104–121), Federal agencies to assess the effects of U.S.C. 272 note) directs agencies to use we want to assist small entities in their discretionary regulatory actions. In voluntary consensus standards in their understanding this rule so that they can particular, the Act addresses actions regulatory activities unless the agency better evaluate its effects on them and that may result in the expenditure by a provides Congress, through the Office of participate in the rulemaking. If the rule State, local, or tribal government, in the Management and Budget, with an will affect your small business, aggregate, or by the private sector of explanation of why using these organization, or governmental $100,000,000 (adjusted for inflation) or standards would be inconsistent with jurisdiction and you have questions more in any one year. Though this rule applicable law or otherwise impractical. concerning its provisions or options for will not result in such an expenditure, Voluntary consensus standards are compliance, please consult Mr. Quentin we do discuss the effects of this rule technical standards (e.g., specifications Kent, at [email protected]. The elsewhere in this preamble. of materials, performance, design, or operation; test methods; sampling Coast Guard will not retaliate against G. Taking of Private Property small entities that question or complain procedures; and related management systems practices) that are developed or about this rule or any policy or action This rule will not cause a taking of adopted by voluntary consensus of the Coast Guard. private property or otherwise have standards bodies. Small businesses may send comments taking implications under Executive Order 12630, Governmental Actions and This rule does not use technical on the actions of Federal employees standards. Therefore, we did not who enforce, or otherwise determine Interference with Constitutionally Protected Property Rights. consider the use of voluntary consensus compliance with, Federal regulations to standards. the Small Business and Agriculture H. Civil Justice Reform Regulatory Enforcement Ombudsman M. Environment and the Regional Small Business This rule meets applicable standards We have analyzed this rule under Regulatory Fairness Boards. The in sections 3(a) and 3(b)(2) of Executive Department of Homeland Security Ombudsman evaluates these actions Order 12988, Civil Justice Reform, to Management Directive 023–01 and annually and rates each agency’s minimize litigation, eliminate Commandant Instruction M16475.lD, responsiveness to small business. If you ambiguity, and reduce burden. which guide the Coast Guard in wish to comment on actions by I. Protection of Children complying with the National employees of the Coast Guard, call 1– Environmental Policy Act of 1969 888–REG–FAIR (1–888–734–3247). We have analyzed this rule under (NEPA) (42 U.S.C. 4321–4370f), and D. Collection of Information Executive Order 13045, Protection of have concluded that this action is one Children from Environmental Health of a category of actions that do not This rule calls for no new collection Risks and Safety Risks. This rule is not individually or cumulatively have a of information under the Paperwork an economically significant rule and significant effect on the human Reduction Act of 1995 (44 U.S.C. 3501– does not create an environmental risk to environment. This rule is categorically 3520). health or risk to safety that may excluded under section 2.B.2, figure 2– disproportionately affect children. 1, paragraph 34(a), (c) and (d) of the E. Federalism Instruction. This rule involves J. Indian Tribal Governments A rule has implications for federalism regulations that are editorial or under Executive Order 13132, This rule does not have tribal procedural, regulations concerning the Federalism, if it has a substantial direct implications under Executive Order licensing of maritime personnel and effect on the States, on the relationship 13175, Consultation and Coordination regulations concerning manning and between the national government and with Indian Tribal Governments, documentation of vessels. An the States, or on the distribution of because it does not have a substantial environmental analysis checklist and a power and responsibilities among the direct effect on one or more Indian categorical exclusion determination are various levels of government. tribes, on the relationship between the available in the docket where indicated under ADDRESSES. It is well settled that States may not Federal Government and Indian tribes, regulate in categories reserved for or on the distribution of power and List of Subjects in 33 CFR Part 141 regulation by the Coast Guard. In 43 responsibilities between the Federal Citizenship and naturalization, U.S.C. 1356, Congress specifically Government and Indian tribes. Continental shelf, Employment, granted to the Secretary of the K. Energy Effects Reporting and recordkeeping Department in which the Coast Guard is requirements. operating, the authority to issue We have analyzed this rule under regulations, which, in part, require the Executive Order 13211, Actions For the reasons discussed in the employment of U.S. citizens or resident Concerning Regulations That preamble, the Coast Guard amends 33 aliens on any vessel, rig, platform, or Significantly Affect Energy Supply, CFR part 141 as follows: other vehicle or structure engaged in Distribution, or Use. We have OCS activities, unless certain exceptions determined that it is not a ‘‘significant PART 141—PERSONNEL apply. As this rule updates existing OCS energy action’’ under that order because ■ 1. The authority citation for part 141 personnel regulations, it falls within the it is not a ‘‘significant regulatory action’’ continues to read as follows: scope of authority Congress granted under Executive Order 12866 and is not exclusively to the Secretary of likely to have a significant adverse effect Authority: 43 U.S.C. 1356; 46 U.S.C. Homeland Security and States may not on the supply, distribution, or use of 70105; 49 CFR 1.46(z). regulate within this category. energy. Subpart A—Restrictions on Employment

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§ 141.10 [Amended] Certain other material, such as (SIP) and rules submitted to EPA on ■ 2. In § 141.10, remove the definition copyrighted material, will be publicly September 23, 2011. This submission for ‘‘Transportation Worker available only in hard copy. Publicly contained revisions to ARM 17.8.744, Identification Credential or TWIC’’. available docket materials are available and new rules I–VI, codified as ARM either electronically in 17.8.1601, 17.8.1602, 17.8.1603, § 141.30 [Amended] www.regulations.gov or in hard copy at 17.8.1604, 17.8.1605, and 17.8.1606, ■ 3. In § 141.30: the Air Program, Environmental pertaining to the regulation of oil and ■ a. In paragraph (c), after the words Protection Agency (EPA), Region 8, gas well facilities. The Montana Board ‘‘issued by’’, remove the word ‘‘the’’; 1595 Wynkoop Street, Denver, Colorado of Environmental Review (Board) and 80202–1129. EPA requests you contact adopted these revisions to existing SIP ■ b. Remove paragraph (d). the individual listed in the FOR FURTHER revisions and new rules on December 2, INFORMATION CONTACT section to view 2005 and they became effective on § 141.35 [Amended] the hard copy of the docket. You may January 1, 2006. This submission also ■ 4. In § 141.35(a)(1), after the words view the hard copy of the docket contains new rules I–IX, codified as ‘‘mariner’s document’’, remove the Monday through Friday, 8:00 a.m. to ARM 17.8.1701, 17.8.1702, 17.8.1703, punctuation and words ‘‘, 4:00 p.m., excluding Federal holidays. 17.8.1704, 17.8.1705, 17.8.1710, Transportation Worker Identification FOR FURTHER INFORMATION CONTACT: 17.8.1711, 17.8.1712 and 17.8.1713 Credential,’’. Kevin Leone, Air Program, Mailcode pertaining to the regulation of oil and 8P–AR, Environmental Protection gas well facilities. The Board adopted Dated: November 8, 2013. Agency, Region 8, 1595 Wynkoop these revisions to existing SIP revisions J.C. Burton, Street, Denver, Colorado 80202–1129, and new rules on March 23, 2006 and Captain, U.S. Coast Guard, Director of (303) 312–6227, or [email protected]. they became effective on April 7, 2006. Inspections & Compliance. SUPPLEMENTARY INFORMATION: The new rules and revisions meet the [FR Doc. 2013–27569 Filed 11–18–13; 8:45 am] requirements of the Act and EPA’s Table of Contents BILLING CODE 9110–04–P minor NSR regulations. I. What action is EPA taking? EPA proposed action for the above A. Summary of Final Action SIP revision submittals on November ENVIRONMENTAL PROTECTION II. What is the background? 13, 2012 (77 FR 67596). We accepted AGENCY A. Brief Discussion of Statutory and comments from the public on this Regulatory Requirements proposal from November 14, 2012, until 40 CFR Part 52 B. Summary of the Submittal Addressed in This Final Action December 13, 2012. A summary of the [EPA–R08–OAR–2012–0846; FRL–9817–4] III. Response to Comments comments received and our evaluation IV. What are the grounds for this approval thereof is discussed in section III below. Approval and Promulgation of Air action? In the proposed rule, we described our Quality Implementation Plans; V. Final Action basis for the actions identified above. Montana; Revisions to the VI. Statutory and Executive Order Reviews The reader should refer to the proposed Administrative Rules of Montana—Air Definitions rule, and sections IV and V of this preamble, for additional information Quality, Subchapter 7, Subchapter 16 For the purpose of this document, we regarding this final action. and Subchapter 17 are giving meaning to certain words or EPA reviews a SIP revision initials as follows: AGENCY: Environmental Protection submission for its compliance with the (i) The words or initials Act or CAA Agency (EPA). Act and EPA regulations. CAA mean or refer to the Clean Air Act, ACTION: 110(k)(3). We evaluated the submitted Final rule. unless the context indicates otherwise. (ii) The words EPA, we, us or our new and revised rules based upon the SUMMARY: EPA is taking final action to regulations and associated record that approve new rules as submitted by the mean or refer to the United States Environmental Protection Agency. have been submitted and are currently State of Montana on September 23, before EPA. In order for EPA to ensure 2011. Montana adopted these rules on (iii) The words Minor NSR mean NSR established under section 110 of the Act that Montana has a program that meets December 2, 2005 and March 23, 2006. the requirements of the CAA, the State These new rules meet the requirements and 40 CFR 51.160. (iv) The initials NSR mean new must demonstrate the program is as of the Clean Air Act (CAA) and EPA’s source review, a phrase intended to stringent as the Act and the minor new source review (NSR) encompass the stationary source implementing regulations discussed in regulations. In this action, EPA is regulatory programs that regulate the this notice. For example, EPA must have approving these rules as they are construction and modification of sufficient information to make a finding consistent with the CAA. This action is stationary sources as provided under that the new program will ensure being taken under section 110 of the CAA section 110(a)(2)(C), CAA Title I, protection of the NAAQS, and CAA. parts C and D, and 40 CFR 51.160 noninterference with the Montana SIP DATES: This final rule is effective through 51.166. control strategies, as required by section December 19, 2013. (v) The initials SIP mean or refer to 110(l) of the Act. The provisions in ADDRESSES: EPA has established a State Implementation Plan. these submittals were not submitted to docket for this action under Docket ID (iv) The words State or Montana meet a mandatory requirement of the No. EPA–R08–OAR–2012–0846. All mean the State of Montana, unless the Act. documents in the docket are listed in context indicates otherwise. II. What is the background? the www.regulations.gov Web site. I. What action is EPA taking? Although listed in the index, some A. Brief Discussion of Statutory and information is not publicly available, A. Summary of Final Action Regulatory Requirements e.g., CBI or other information whose EPA is taking final action to approve The CAA (section 110(a)(2)(C)) and 40 disclosure is restricted by statute. the Montana State Implementation Plan CFR 51.160 require states to have legally

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enforceable procedures to prevent specific exemptions, the administrative contained in EPA–R08–OAR–2007–0662 construction or modification of a source rules adopted under the Clean Air Act into their comments for this rulemaking. if it would violate any SIP control of Montana and approved by the EPA Response: We acknowledge receipt of strategies or interfere with attainment or into the SIP, require the owner or these comments and the support for our maintenance of the National Ambient operator of sources of air pollution to proposal for approval. We also Air Quality Standards (NAAQS). Such obtain a permit prior to construction or acknowledge receipt of the comments minor NSR programs are for pollutants modification. submitted by MPA which are contained from stationary sources that do not Montana originally submitted these require Prevention of Significant rules on October 16, 2006, and in EPA–R08–OAR–2007–0662 and Deterioration (PSD) or nonattainment November 1, 2006 to EPA for inclusion hereby incorporate those comments by NSR permits. States may customize the into the SIP. EPA proposed action on reference into MPA’s comments for this requirements of the minor NSR program these submittals on January 6, 2011 (76 rulemaking. as long as their program meets FR 758). EPA had several concerns with B. True Oil, LLC minimum requirements. the Program, as was explained in 76 FR Section 110(l) of the CAA states: 758. Montana withdrew the October 16, Comment: Commenter states that they ‘‘[e]ach revision to an implementation 2006, and November 1, 2006, submittals support EPA’s proposed rule found in plan submitted by a State under this Act in March of 2011 and resubmitted the 77 FR 67596 to approve the inclusion of shall be adopted by such State after Program on September 23, 2011. The Montana’s Subchapters 16 and 17 into reasonable notice and public hearing. September 23, 2011, submittal the Montana SIP. The commenter states The Administrator shall not approve a contained a 110(l) demonstration, as they fully concur with EPA’s review of revision to a plan if the revision would well as other supplemental data, which those rules and that they meet all interfere with any applicable addressed EPA’s concerns that were obligations under the Federal Clean Air requirement concerning attainment and raised in 76 FR 758. Act for incorporation into a state SIP. reasonable further progress (as defined III. Response to Comments in section 171), or any other applicable Response: We acknowledge receipt of requirement of this chapter.’’ In response to our November 13, 2012 these comments and the support for our The States’ obligation to comply with proposal, we received comments from proposal for approval. each of the NAAQS is considered as the following: Montana Petroleum C. MDEQ ‘‘any applicable requirement(s) Association, Inc. (MPA); True Oil LLC; concerning attainment.’’ A and the Montana Department of Comment: Commenter states that they demonstration is necessary to show that Environmental Quality (MDEQ). support EPA’s proposed rule found in this SIP revision will not interfere with A. MPA 77 FR 67596 to approve the inclusion of attainment or maintenance of the Montana’s Subchapters 16 and 17 into NAAQS, including those for ozone, Comment: Commenter states MPA has reviewed the proposed approval found the Montana SIP. The commenter states particulate matter, carbon monoxide that Montana’s Oil and Gas Registration (CO), sulfur dioxide (SO ), lead, at 77 FR 67596 and agrees with EPA’s 2 program represents advanced regulatory nitrogen oxides (NO ) or any other proposal to approve the program as X ideas for stewardship and sustainability requirement of the Act. Montana’s submitted on September 23, 2011. MPA demonstration of noninterference (see encourages EPA to promptly incorporate and that the program is an innovative, docket), as submitted to EPA on the new and revised rules, as outlined efficient method for ensuring sources September 23, 2011, provides sufficient in 77 FR 67596, into the Montana SIP. install and operate emission control basis that the inclusion of the new rules MPA notes that the new and revised equipment that protects and improves and revisions, as described in section I rules provide a workable alternative to air quality. The commenter also states of this preamble, will not interfere with the Montana air quality permitting they appreciate the time EPA invested attainment, reasonable further progress program and that the program meets the in reviewing and studying the issues (RFP), or any other applicable requirements of CAA section 110(l) of around Montana’s Oil and Gas requirement of the CAA. Further details the Federal Clean Air Act and other Registration program. are provided in sections IV and V of this applicable requirements. MPA outlined Response: We acknowledge receipt of action. specific federal requirements and these comments and the support for our demonstrations from 77 FR 67596 in proposal for approval. EPA recognizes B. Summary of the Submittal Addressed which they agree with EPA’s proposed in This Final Action that approval of an oil and gas conclusions. For those reasons, MPA registration program is a priority for the The final action to approve the new concurs with EPA’s proposed action. State; EPA also indicates its support for and revised rules as described in section MPA further notes they had I of this preamble, hereafter referred to previously submitted comments to EPA registration/permit-by-rule programs as as ‘‘the program’’, would establish a in regard to the incorporation of they provide efficiencies and registration system for certain facilities Subchapters 16 and 17 into the environmental benefits. EPA commends that presently require a minor NSR air Montana SIP. Those comments and MDEQ for periodically revising their SIP quality permit under the SIP analysis are contained in the Docket ID: in order to adapt to environmental, regulations. The new and revised rules EPA–R08–OAR–2007–0662, which were economic and social changes, and would establish a general registration in response to our January 6, 2011, recognizing the need for a more system for oil and gas well facilities and proposed action. MPA notes that their collaborative, flexible, and performance would allow the owner or operator of an analysis is similar to that submitted by based regulatory strategy to meet the oil or gas well facility to register with MDEQ; MPA’s analysis also reviewed regulatory challenge posed by the Montana Department of ambient air quality data around the Montana’s oil and gas industry. EPA Environmental Quality (MDEQ) in lieu state and compared this data to data also commends Montana’s work in of submitting a permit application and collected near oil and gas sites. MPA developing an approvable program that obtaining a permit to construct or wishes to incorporate by reference their is consistent with CAA and regulatory modify the source. Currently, with previous comments and analysis as requirements.

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IV. What are the grounds for this addition, the State’s September 23, • Does not have Federalism approval action? 2011, demonstration of noninterference implications as specified in Executive EPA evaluated the new rules and indicates that incorporating the new Order 13132 (64 FR 43255, August 10, rules and revisions, as described in 1999); revisions, as described in section I of • this preamble, using the following: section I of this preamble, will not Is not an economically significant (1) The statutory requirements under interfere with attainment of the NAAQS, regulatory action based on health or CAA section 110(a)(2)(c), which RFP, or any other applicable safety risks subject to Executive Order requires states to include a minor NSR requirement of the CAA. 13045 (62 FR 19885, April 23, 1997); • program in their SIP to regulate V. Final Action Is not a significant regulatory action modifications and new construction of subject to Executive Order 13211 (66 FR stationary sources within the area as EPA is taking final action to approve 28355, May 22, 2001); • necessary to assure the NAAQS are the new and revised rules as submitted Is not subject to requirements of achieved; by Montana on September 23, 2011, Section 12(d) of the National (2) The regulatory requirements under based upon three criteria. First, the State Technology Transfer and Advancement 40 CFR 51.160, including section provided sufficient information to Act of 1995 (15 U.S.C. 272 note) because 51.160(a), which require that the SIP determine that the requested revision to application of those requirements would include legally enforceable procedures add the new oil and gas registration be inconsistent with the Clean Air Act; that enable a state or local agency to program to the Montana Minor NSR SIP and determine whether construction or will not interfere with any applicable • Does not provide EPA with the modification of a facility, building, requirement concerning attainment and discretionary authority to address, as structure or installation, or combination RFP as required by CAA section 110(l), appropriate, disproportionate human of these will result in a violation of or any other requirement of the Act; health or environmental effects, using applicable portions of the control Second, the new rules comply with practicable and legally permissible strategy; or interference with attainment CAA section 110(a)(2)(C), which methods, under Executive Order 12898 or maintenance of a national standard in requires states to include a minor NSR (59 FR 7629, February 16, 1994). the state in which the proposed source program in their SIP to regulate In addition, this rule does not have (or modification) is located or in a modifications and new construction of tribal implications as specified by neighboring state; section 51.160(b), stationary sources within the area as Executive Order 13175 (65 FR 67249, which requires states to have legally necessary to assure the NAAQS are November 9, 2000), because the SIP is enforceable procedures to prevent achieved; Third, the new rules comply not approved to apply in Indian country construction or modification of a source with 40 CFR 51.160. located in the state, and EPA notes that if it would violate any SIP control VI. Statutory and Executive Order it will not impose substantial direct strategies or interfere with attainment or Reviews costs on tribal governments or preempt maintenance of the NAAQS; and tribal law. (3) The statutory requirements under Under the Clean Air Act, the The Congressional Review Act, 5 CAA section 110(l), which provides that Administrator is required to approve a U.S.C. 801 et seq., as added by the Small EPA cannot approve a SIP revision if the SIP submission that complies with the Business Regulatory Enforcement revision would interfere with any provisions of the Act and applicable Fairness Act of 1996, generally provides applicable requirement concerning Federal regulations 42 U.S.C. 7410(k); that before a rule may take effect, the attainment and RFP, or any other 40 CFR 52.02(a). Thus, in reviewing SIP agency promulgating the rule must applicable requirement of the CAA. submissions, EPA’s role is to approve submit a rule report, which includes a Therefore, EPA will approve a SIP state choices, provided that they meet copy of the rule, to each House of the revision only after a state has the criteria of the Clean Air Act. Congress and to the Comptroller General demonstrated that such a revision will Accordingly, this final action merely of the United States. EPA will submit a not interfere (‘‘noninterference’’) with approves state law as meeting Federal report containing this action and other attainment of the NAAQS, RFP or any requirements and does not impose required information to the U.S. Senate, other applicable requirement of the additional requirements beyond those the U.S. House of Representatives, and CAA. In this instance, EPA asked the imposed by state law. For that reason, the Comptroller General of the United State to submit an analysis showing that this action: States prior to publication of the rule in • the new rules and revisions, as Is not a ‘‘significant regulatory the Federal Register. A major rule described in section I of this preamble, action’’ subject to review by the Office cannot take effect until 60 days after it would not violate section 110(l) of the of Management and Budget under is published in the Federal Register. CAA (see docket); this is also referred to Executive Order 12866 (58 FR 51735, This action is not a ‘‘major rule’’ as as a ‘‘demonstration of noninterference’’ October 4, 1993); defined by 5 U.S.C. 804(2). with attainment and maintenance under • Does not impose an information Under section 307(b)(1) of the Clean CAA section 110(l). The scope and rigor collection burden under the provisions Air Act, petitions for judicial review of of the demonstration of noninterference of the Paperwork Reduction Act (44 this action must be filed in the United conducted in support of this notice is U.S.C. 3501 et seq.); States Court of Appeals for the appropriate given the air quality status • Is certified as not having a appropriate circuit by January 21, 2014. of the State, and the potential impact of significant economic impact on a Filing a petition for reconsideration by the revision on air quality and the substantial number of small entities the Administrator of this final rule does pollutants affected. under the Regulatory Flexibility Act (5 not affect the finality of this action for As EPA described in this preamble U.S.C. 601 et seq.); the purposes of judicial review nor does and in the proposed notice (77 FR • Does not contain any unfunded it extend the time within which a 67596), the new rules and revisions we mandate or significantly or uniquely petition for judicial review may be filed, are taking final action to approve meet affect small governments, as described and shall not postpone the effectiveness the requirements of CAA section in the Unfunded Mandates Reform Act of such rule or action. This action may 110(a)(2)(c) and 40 CFR 51.160. In of 1995 (Pub. L. 104–4); not be challenged later in proceedings to

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enforce its requirements. (See section Reporting Requirements; effective April Such deliveries are only accepted 307(b)(2).) 7, 2006. during the Regional Office normal hours of operation, and special arrangements List of Subjects in 40 CFR Part 52 [FR Doc. 2013–27555 Filed 11–18–13; 8:45 am] BILLING CODE 6560–50–P should be made for deliveries of boxed Environmental protection, Air information. The Regional Office official pollution control, Carbon monoxide, hours of business are Monday through Incorporation by reference, ENVIRONMENTAL PROTECTION Friday, 8:30 a.m. to 4:30 p.m., excluding Intergovernmental relations, Lead, AGENCY Federal holidays. Nitrogen dioxide, Ozone, Particulate Instructions: Direct your comments to matter, Reporting and recordkeeping 40 CFR Part 52 Docket ID No. EPA–R05–OAR–2011– requirements, Sulfur oxides, Volatile [EPA–R05–OAR–2011–0672; FRL–9902–03– 0672. EPA’s policy is that all comments organic compounds. Region 5] received will be included in the public Authority: 42 U.S.C. 7401 et seq docket without change and may be Approval and Promulgation of Air made available online at Dated: April 26, 2013. Quality Implementation Plans; Ohio; www.regulations.gov, including any Howard M. Cantor, Ohio SO2 Air Quality Rule Revisions personal information provided, unless Acting Regional Administrator, Region 8. the comment includes information AGENCY: Environmental Protection claimed to be Confidential Business 40 CFR part 52 is amended as follows: Agency (EPA). Information (CBI) or other information ACTION: PART 52—APPROVAL AND Direct final rule. whose disclosure is restricted by statute. PROMULGATION OF SUMMARY: On June 24, 2011, Ohio Do not submit information that you IMPLEMENTATION PLANS Environmental Protection Agency (Ohio consider to be CBI or otherwise EPA) submitted for Clean Air Act (CAA) protected through www.regulations.gov ■ 1. The authority citation for Part 52 State Implementation Plan (SIP) or email. The www.regulations.gov Web continues to read as follows: approval, revisions to Ohio site is an ‘‘anonymous access’’ system, Authority: 42 U.S.C. 7401 et seq. Administrative Code (OAC) rules: 3745– which means EPA will not know your 18–01, 3745–18–03 to 3745–18–52, identity or contact information unless Subpart BB—Montana 3745–18–54 to 3745–18–77, 3745–18– you provide it in the body of your 79, 3745–18–81 to 3745–18–89, and comment. If you send an email ■ 2. Section 52.1370 is amended by 3745–18–91 to 3745–18–94. The rule comment directly to EPA without going adding paragraph (c)(73) to read as revisions primarily update facility through www.regulations.gov your email follows: information and remove SO2 address will be automatically captured § 52.1370 Identification of plan. requirements for shutdown facilities and included as part of the comment throughout the SIP. EPA believes that that is placed in the public docket and * * * * * made available on the Internet. If you (c) * * * the revisions improve the clarity of the rule without affecting the stringency submit an electronic comment, EPA (73) On September 23, 2011, the State and therefore is approving all of the recommends that you include your of Montana submitted new rules to the submitted revisions except for specific name and other contact information in Administrative Rules of Montana paragraphs in OAC 3745–18–04. the body of your comment and with any (ARM). The submittal included new DATES: This rule is effective January 21, disk or CD–ROM you submit. If EPA rules to ARM Chapter 17. The cannot read your comment due to incorporation by reference in 2014, unless EPA receives adverse comments by December 19, 2013. If technical difficulties and cannot contact paragraphs (i)(A) and (i)(B) reflect the you for clarification, EPA may not be new rules. adverse comments are received, EPA will publish a timely withdrawal of the able to consider your comment. (i) Incorporation by reference. direct final rule in the Federal Register Electronic files should avoid the use of (A) Administrative Rules of Montana: informing the public that the rule will special characters, any form of 17.8.1601, Definitions; 17.8.1602, not take effect. encryption, and be free of any defects or Applicability and Coordination with viruses. ADDRESSES: Submit your comments, Montana Air Quality Permit Rules; identified by Docket ID No. EPA–R05– Docket: All documents in the docket 17.8.1603, Emission Control OAR–2011–0672, by one of the are listed in the www.regulations.gov Requirements; 17.8.1604, Inspection following methods: index. Although listed in the index, and Repair Requirements; 17.8.1605, 1. www.regulations.gov: Follow the some information is not publicly Recordkeeping Requirements; on-line instructions for submitting available, e.g., CBI or other information 17.8.1606, Delayed Effective Date; comments. whose disclosure is restricted by statute. effective January 1, 2006. 2. Email: [email protected]. Certain other material, such as (B) Administrative Rules of Montana: 3. Fax: (312) 408–2279. copyrighted material, will be publicly 17.8.1701, Definitions; 17.8.1702, 4. Mail: Douglas Aburano, Chief, available only in hard copy. Publicly Applicability; 17.8.1703, Registration Attainment Planning and Maintenance available docket materials are available Process and Information; 17.8.1704, Section, Air Programs Branch (AR–18J), either electronically in Registration Fee; 17.8.1705, Operating U.S. Environmental Protection Agency, www.regulations.gov or in hard copy at Requirements: Facility-wide; 17.8.1710, 77 West Jackson Boulevard, Chicago, the Environmental Protection Agency, Oil or Gas Well Facilities General Illinois 60604. Region 5, Air and Radiation Division, 77 Requirements; 17.8.1711, Oil or Gas 5. Hand Delivery: Douglas Aburano, West Jackson Boulevard, Chicago, Well Facilities Emission Control Chief, Attainment Planning and Illinois 60604. This facility is open from Requirements; 17.8.1712, Oil or Gas Maintenance Section, Air Programs 8:30 a.m. to 4:30 p.m., Monday through Well Facilities Inspection and Repair Branch (AR–18J), U.S. Environmental Friday, excluding Federal holidays. We Requirements; 17.8.1713, Oil or Gas Protection Agency, 77 West Jackson recommend that you telephone Sarah Well Facilities Recordkeeping and Boulevard, Chicago, Illinois 60604. Arra, Environmental Scientist, at (312)

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886–9401 before visiting the Region 5 permanently and enforceablely shut 52, 3745–18–54 to 3745–18–77, 3745– office. down. When confirming a shutdown 18–79, 3745–18–81 to 3745–18–89, FOR FURTHER INFORMATION CONTACT: facility, EPA relies on the State’s 3745–18–91 to 3745–18–94, and parts of Sarah Arra, Environmental Scientist, database. EPA confirmed that all of the 3745–18–04. The revisions mainly Attainment Planning and Maintenance shutdown facilities are in Ohio EPA’s remove the SO2 requirements for Section, Air Programs Branch (AR–18J), database. Table 1 in EPA’s September permanently shutdown facilities from Environmental Protection Agency, 2013 Technical Support Document the SIP. EPA believes the revisions Region 5, 77 West Jackson Boulevard, (TSD), available in the docket for this improve the clarity of the rule without Chicago, Illinois 60604, (312) 886–9401, rulemaking, shows the facilities that affecting the stringency of the SIP. EPA have been shut down with their [email protected]. is not taking action on OAC 3745–18– shutdown dates. For the last third of 04(D)(2)to(3), (D)(5)to(6), (D)(9), and SUPPLEMENTARY INFORMATION: Table 1, EPA was not able to confirm a (E)(2)to(4). Throughout this document whenever shutdown date for the facilities. Ohio ‘‘we,’’ ‘‘us,’’ or ‘‘our’’ is used, we mean We are publishing this action without EPA confirmed that these facilities were prior proposal because we view this as EPA. This supplementary information shut down before the existence of the section is arranged as follows: a noncontroversial amendment and database and supplied information on anticipate no adverse comments. I. Background the shutdown of these facilities in the However, in the proposed rules section II. Review of Ohio’s Submittal last column of Table 1. of this Federal Register publication, we III. What action is EPA taking? The last eight facilities in Table 1 of IV. Statutory and Executive Order Reviews are publishing a separate document that the TSD are still operating. However, will serve as the proposal to approve the I. Background Ohio EPA and EPA agree that it is state plan if relevant adverse written appropriate to remove the SO2 comments are filed. This rule will be Ohio law requires a five year review requirements from the SIP because all of all regulations. Ohio conducted a effective January 21, 2014 without SO2 applicable emissions units are shut further notice unless we receive relevant review on OAC 3745–18 and made down and would require a new permit revisions throughout the rules. The rule adverse written comments by December for restart. 19, 2013. If we receive such comments, revisions are primarily updating facility Table 2 in the TSD is a list of facilities we will withdraw this action before the information and removing requirements that are still operating emission units effective date by publishing a that apply to shutdown facilities. Ohio applicable to the SIP, but have units that subsequent document that will EPA submitted the rule revisions to EPA have shut down. Therefore, for clarity of withdraw the final action. All public on June 24, 2011. EPA’s most recent the rule, it is appropriate to remove the comments received will then be approval for revisions to OAC 3745–18 SO requirements for the shutdown 2 addressed in a subsequent final rule was published in the Federal Register units from the SIP. on March 21, 2008 at 73 FR 15083. For For the few cases where the facility based on the proposed action. EPA will a full history of the federally approved still operates, but the emissions units not institute a second comment period. revisions to OAC 3745–18, see the are shut down, the permits have been Any parties interested in commenting Background section of rulemaking revoked and new permits would need to on this action should do so at this time. published in the Federal Register on be issued if the units ever restarted. EPA Please note that if EPA receives adverse comment on an amendment, paragraph, May 1, 2007 at 72 FR 23783. is confident that all facilities where SO2 or section of this rule and if that II. Review of Ohio’s Submittal requirements have been removed from the SIP are permanently and provision may be severed from the During Ohio’s five year review, Ohio enforceablely shutdown. Therefore, remainder of the rule, EPA may adopt as final those provisions of the rule that made revisions to rules: 3745–18–01, removing SO2 requirements for these 3745–18–03 to 3745–18–52, 3745–18–54 facilities from OAC 3745–18 does not are not the subject of an adverse to 3745–18–77, 3745–18–79, 3745–18– have any negative impact on the comment. If we do not receive any 81 to 3745–18–89, and 3745–18–91 to environment, but instead, improves the comments, this action will be effective 3745–18–94. clarity of the rules. January 21, 2014. Numerous revisions to OAC 3745–18 EPA is not taking action on selected IV. Statutory and Executive Order were updates of existing facility paragraphs in OAC 3745–18–04. Reviews information. Several facilities had Paragraph OAC 37–18–04(D)(9), changes in premise numbers. Several contains a typographical error that Under the CAA, the Administrator is other facilities were updated with name changes the testing method required in required to approve a SIP submission changes. An emissions limit was the paragraph. EPA is not taking action that complies with the provisions of the updated for the Sunoco, Inc., Toledo on this paragraph, so the version that CCAA and applicable Federal Refinery. This limit is consistent with was state effective on March 21, 2000 regulations. 42 U.S.C. 7410(k); 40 CFR EPA’s consent order 05CV2866. The will remain in effect for the Federally 52.02(a). Thus, in reviewing SIP updates to these facilities allow for approved SIP. Ohio sent an email on submissions, EPA’s role is to approve consistent recordkeeping and easier September 20, 2013 acknowledging this state choices, provided that they meet compliance tracking. error. EPA is also not taking action on the criteria of the CAA. Accordingly, Most of the substantial rule revisions paragraphs OAC 37–18–04(D)(2), (D)(3), this action merely approves state law as were the removal of requirements for (D)(5), (D)(6), (E)(2), (E)(3), and (E)(4). meeting Federal requirements and does shutdown facilities from the SIP. Ohio’s These paragraphs have not been not impose additional requirements criteria for removing requirements for a previously approved by EPA and are beyond those imposed by state law. For facility from the SIP is that the facility outside the cleanup intent of these SIP that reason, this action: has been permanently and enforceablely revisions. • Is not a ‘‘significant regulatory shutdown for at least five years. EPA action’’ subject to review by the Office and Ohio EPA are confident that all the III. What action is EPA taking? of Management and Budget under facilities for which requirements are EPA is approving OAC 3745–18–01, Executive Order 12866 (58 FR 51735, being removed from the SIP are 3745–18–03, 3745–18–05 to 3745–18– October 4, 1993);

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• Does not impose an information action must be filed in the United States emission limit provisions.’’, 3745–18–07 collection burden under the provisions Court of Appeals for the appropriate ‘‘Adams County emission limits.’’, of the Paperwork Reduction Act (44 circuit by January 21, 2014. Filing a 3745–18–08 ‘‘Allen County emissions U.S.C. 3501 et seq.); petition for reconsideration by the limits.’’, 3745–18–09 ‘‘Ashland County • Is certified as not having a Administrator of this final rule does not emission limits.’’, 3745–18–10 significant economic impact on a affect the finality of this action for the ‘‘Ashtabula County emissions limits.’’, substantial number of small entities purposes of judicial review nor does it 3745–18–11 ‘‘Athens County emission under the Regulatory Flexibility Act extend the time within which a petition limits.’’, 3745–18–12 ‘‘Auglaize County (5 U.S.C. 601 et seq.); for judicial review may be filed, and emission limits.’’, 3745–18–13 • Does not contain any unfunded shall not postpone the effectiveness of ‘‘Belmont County emission limits.’’, mandate or significantly or uniquely such rule or action. Parties with 3745–18–14 ‘‘Brown County emission affect small governments, as described objections to this direct final rule are limits.’’, 3745–18–15 ‘‘Butler County in the Unfunded Mandates Reform Act encouraged to file a comment in emission limits.’’, 3745–18–16 ‘‘Carroll of 1995 (Pub. L. 104–4); response to the parallel notice of • County emission limits.’’, 3745–18–17 Does not have Federalism proposed rulemaking for this action ‘‘Champaign County emission limits.’’, implications as specified in Executive published in the proposed rules section 3745–18–18 ‘‘Clark County emission Order 13132 (64 FR 43255, August 10, of today’s Federal Register, rather than limits.’’, 3745–18–19 ‘‘Clermont County 1999); file an immediate petition for judicial emission limits.’’, 3745–18–20 ‘‘Clinton • Is not an economically significant review of this direct final rule, so that County emission limits.’’, 3745–18–21 regulatory action based on health or EPA can withdraw this direct final rule ‘‘Columbiana County emission limits.’’, safety risks subject to Executive Order and address the comment in the 3745–18–22 ‘‘Coshocton County 13045 (62 FR 19885, April 23, 1997); • proposed rulemaking. This action may emission limits.’’, 3745–18–23 Is not a significant regulatory action not be challenged later in proceedings to subject to Executive Order 13211 (66 FR ‘‘Crawford County emission limits.’’, enforce its requirements. (See section 3745–18–24 ‘‘Cuyahoga County 28355, May 22, 2001); 307(b)(2).) • Is not subject to requirements of emission limits.’’, 3745–18–25 ‘‘Darke Section 12(d) of the National List of Subjects in 40 CFR Part 52 County emission limits.’’, 3745–18–26 ‘‘Defiance County emission limits.’’, Technology Transfer and Advancement Environmental protection, Air Act of 1995 (15 U.S.C. 272 note) because 3745–18–27 ‘‘Delaware County emission pollution control, Incorporation by limits.’’, 3745–18–28 ‘‘Erie County application of those requirements would reference, Intergovernmental relations, be inconsistent with the CAA; and emission limits.’’, 3745–18–29 • Reporting and recordkeeping ‘‘Fairfield County emission limits.’’, Does not provide EPA with the requirements, Sulfur oxides. discretionary authority to address, as 3745–18–30 ‘‘Fayette County emission appropriate, disproportionate human Dated: September 26, 2013. limits.’’, 3745–18–31 ‘‘Franklin County health or environmental effects, using Susan Hedman, emission limits.’’, 3745–18–32 ‘‘Fulton practicable and legally permissible Regional Administrator, Region 5. County emission limits.’’, 3745–18–33 ‘‘Gallia County emission limits.’’, 3745– methods, under Executive Order 12898 40 CFR part 52 is amended as follows: (59 FR 7629, February 16, 1994). 18–34 ‘‘Geauga County emission In addition, this rule does not have PART 52—APPROVAL AND limits.’’, 3745–18–35 ‘‘Greene County tribal implications as specified by PROMULGATION OF emission limits.’’, 3745–18–36 Executive Order 13175 (65 FR 67249, IMPLEMENTATION PLANS ‘‘Guernsey County emission limits.’’, November 9, 2000), because the SIP is 3745–18–37 ‘‘Hamilton County not approved to apply in Indian country ■ 1. The authority citation for part 52 emission limits.’’, 3745–18–38 located in the state, and EPA notes that continues to read as follows: ‘‘Hancock County emission limits.’’, it will not impose substantial direct Authority: 42 U.S.C. 7401 et seq. 3745–18–39 ‘‘Hardin County emission costs on tribal governments or preempt ■ limits.’’, 3745–18–40 ‘‘Harrison County 2. Section 52.1870 is amended by emission limits.’’, 3745–18–41 ‘‘Henry tribal law. adding paragraph (c)(160) to read as The Congressional Review Act, 5 County emission limits.’’, 3745–18–42 follows: U.S.C. 801 et seq., as added by the Small ‘‘Highland County emission limits.’’, Business Regulatory Enforcement § 52.1870 Identification of plan. 3745–18–43 ‘‘Hocking County emission Fairness Act of 1996, generally provides * * * * * limits.’’, 3745–18–44 ‘‘Holmes County that before a rule may take effect, the (c) * * * emission limits.’’, 3745–18–45 ‘‘Huron agency promulgating the rule must (160) On June 24, 2011, Ohio County emission limits.’’, 3745–18–46 submit a rule report, which includes a submitted numerous revisions to their ‘‘Jackson County emission limits.’’, copy of the rule, to each House of the SO2 rules in Ohio Administrative Code 3745–18–47 ‘‘Jefferson County emission Congress and to the Comptroller General Chapter 3745–18. These revisions limits.’’, 3745–18–48 ‘‘Knox County of the United States. EPA will submit a mainly update facility information and emission limits.’’, 3745–18–49 ‘‘Lake report containing this action and other remove shutdown facilities from the County emission limits.’’, 3745–18–50 required information to the U.S. Senate, rule. ‘‘Lawrence County emission limits.’’, the U.S. House of Representatives, and (i) Incorporation by reference. 3745–18–51 ‘‘Licking County emission the Comptroller General of the United (A) Ohio Administrative Code Rules limits.’’, 3745–18–52 ‘‘Logan County States prior to publication of the rule in 3745–18–03 ‘‘Attainment dates and emission limits.’’, 3745–18–55 the Federal Register. A major rule compliance time schedules.’’, 3745–18– ‘‘Madison County emission limits.’’, cannot take effect until 60 days after it 04 ‘‘Measurement methods and 3745–18–56 ‘‘Mahoning County is published in the Federal Register. procedures.’’ except (D)(2), (D)(3), emission limits.’’, 3745–18–57 ‘‘Marion This action is not a ‘‘major rule’’ as (D)(5), (D)(6), (D)(9), (E)(2), (E)(3), and County emission limits.’’, 3745–18–58 defined by 5 U.S.C. 804(2). (E)(4), 3745–18–05 ‘‘Ambient and ‘‘Medina County emission limits.’’, Under section 307(b)(1) of the CAA, meteorological monitoring 3745–18–59 ‘‘Meigs County emission petitions for judicial review of this requirements.’’, 3745–18–06 ‘‘General limits.’’, 3745–18–60 ‘‘Mercer County

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emission limits.’’, 3745–18–61 ‘‘Miami disapproved or taken no action on, EPA direct final partial deletion in the County emission limits.’’, 3745–18–62 has approved a complete plan Federal Register informing the public ‘‘Monroe County emission limits.’’, addressing all counties in the State of that the partial deletion will not take 3745–18–63 ‘‘Montgomery County Ohio. In addition, specific approved effect. emission limits.’’, 3745–18–64 ‘‘Morgan rules are listed in § 52.1870. ADDRESSES: Submit your comments, County emission limits.’’, 3745–18–65 * * * * * identified by Docket ID no. EPA–HQ– ‘‘Morrow County emission limits.’’, [FR Doc. 2013–27561 Filed 11–18–13; 8:45 am] SFUND–1910–0010, by one of the 3745–18–66 ‘‘Muskingum County BILLING CODE 6560–50–P following methods: emission limits.’’, 3745–18–67 ‘‘Noble • http://www.regulations.gov. Follow County emission limits.’’, 3745–18–68 on-line instructions for submitting ENVIRONMENTAL PROTECTION ‘‘Ottawa County emission limits.’’, comments. 3745–18–69 ‘‘Paulding County emission AGENCY • Email: [email protected]. limits.’’, 3745–18–70 ‘‘Perry County • 40 CFR Part 300 Fax: (415) 947–3528. emission limits.’’, 3745–18–71 • Mail: Mary Aycock, U.S. EPA ‘‘Pickaway County emission limits.’’, [EPA–HQ–SFUND–1910–0010; FRL 9902– Remedial Project Manager, U.S. 3745–18–72 ‘‘Pike County emission 79–Region 9] Environmental Protection Agency, limits.’’, 3745–18–73 ‘‘Portage County Region IX, Mail Code SFD–8–1, 75 National Oil and Hazardous emission limits.’’, 3745–18–74 ‘‘Preble Hawthorne Street, San Francisco, CA Substances Pollution Contingency County emission limits.’’, 3745–18–75 94105. Plan; National Priorities List: Partial ‘‘Putnam County emission limits.’’, • Hand delivery: Mary Aycock, U.S. Deletion of the El Toro Marine Corps 3745–18–76 ‘‘Richland County emission EPA Remedial Project Manager, U.S. Air Station Superfund Site limits.’’, 3745–18–77 ‘‘Ross County Environmental Protection Agency, emission limits.’’, 3745–18–79 ‘‘Scioto AGENCY: Environmental Protection Region IX, Mail Code SFD81, 75 County emission limits.’’, 3745–18–81 Agency. Hawthorne Street, San Francisco, CA ‘‘Shelby County emission limits.’’, ACTION: Direct final rule. 94105. Such deliveries are only 3745–18–83 ‘‘Summit County emission accepted during the Docket’s normal limits.’’, 3745–18–84 ‘‘Trumbull County SUMMARY: The Environmental Protection hours of operation, and special emission limits.’’, 3745–18–85 Agency (EPA) Region IX is publishing a arrangements should be made for ‘‘Tuscarawas County emission limits.’’, direct final Notice of Deletion of deliveries of boxed information. 3745–18–86 ‘‘Union County emission portions of the El Toro Marine Corp Air Instructions: Direct your comments to limits.’’, 3745–18–87 ‘‘Van Wert County Station Superfund Site (Site), located in Docket ID no. EPA–HQ–SFUND–1910– emission limits.’’, 3745–18–88 ‘‘Vinton Irvine, California, from the National 0010. EPA’s policy is that all comments County emission limits.’’, 3745–18–89 Priorities List (NPL). The NPL, received will be included in the public ‘‘Warren County emission limits.’’, promulgated pursuant to section 105 of docket without change and may be 3745–18–91 ‘‘Wayne County emission the Comprehensive Environmental made available online at http:// limits.’’, 3745–18–92 ‘‘Williams County Response, Compensation, and Liability www.regulations.gov, including any emission limits.’’, 3745–18–93 ‘‘Wood Act (CERCLA) of 1980, as amended, is personal information provided, unless County emission limits.’’, 3745–18–94 an appendix of the National Oil and the comment includes information ‘‘Wyandot County emission limits.’’, Hazardous Substances Pollution claimed to be Confidential Business adopted on February 7, 2011, effective Contingency Plan (NCP). This direct Information (CBI) or other information February 17, 2011. final partial deletion is being published whose disclosure is restricted by statute. (B) February 7, 2011, ‘‘Director’s Final by EPA with the concurrence of the Do not submit information that you Findings and Orders’’, signed by Scott J. State of California through the consider to be CBI or otherwise Nally, Director, Ohio Environmental Department of Toxic Substances Control protected through http:// Protection Agency, adopting the rules (DTSC), because EPA has determined www.regulations.gov or email. The identified in paragraph (160)(i)(A) of that all appropriate response actions at http://www.regulations.gov Web site is this section. these identified parcels under CERCLA (C) Ohio Administrative Code Rules an ‘‘anonymous access’’ system, which have been completed. However, this means EPA will not know your identity 3745–18–01 ‘‘Definitions and partial deletion does not preclude future incorporation by reference.’’, 3745–18– or contact information unless you actions under Superfund. provide it in the body of your comment. 54 ‘‘Lucas County emission limits.’’, This partial deletion pertains to all 3745–18–82 ‘‘Stark County emission If you send an email comment directly Site media, including soil and to EPA without going through http:// limits.’’, adopted on March 24, 2011, groundwater, of parcels I–A, II–A, III–A, effective April 3, 2011. www.regulations.gov, your email II–J, II–Q, II–S, II–T, III–C, I–C, II–U, I– address will be automatically captured (D) March 24, 2011, ‘‘Director’s Final B, I–E, I–G, I–H, I–I, I–J, I–L, I–M, I–P, Findings and Orders’’, signed by Scott J. and included as part of the comment II–G, II–I, II–P, III–D, I–K, I–N, I–O, I– that is placed in the public docket and Nally, Director, Ohio Environmental S, II–E, II–L, II–M, II–R, I–Q, I–R, II–B, Protection Agency, adopting the rules made available on the Internet. If you II–K, and II–O of the Site. The current submit an electronic comment, EPA identified in paragraph (160)(i)(C) of remaining areas of the Site will remain this section. recommends that you include your on the NPL and are not being name and other contact information in ■ 3. Section 52.1881 is amended by considered for deletion as part of this the body of your comment and with any revising paragraph (a)(4) to read as action. disk or CD–ROM you submit. If EPA follows: DATES: This direct final partial deletion cannot read your comment due to § 52.1881 Control strategy: Sulfur oxides is effective January 21, 2014 unless EPA technical difficulties and cannot contact (sulfur dioxide). receives adverse comments by you for clarification, EPA may not be (a) * * * December 19, 2013. If adverse able to consider your comment. (4) Notwithstanding the portions of comments are received, EPA will Electronic files should avoid the use of this section that EPA has either publish a timely withdrawal of the special characters, any form of

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encryption, and be free of any defects or EPA maintains the NPL as the list of ii. all appropriate Fund-financed viruses. sites that appear to present a significant response under CERCLA has been Docket: All documents in the docket risk to public health, welfare, or the implemented, and no further response are listed in the http:// environment. Sites on the NPL may be action by responsible parties is www.regulations.gov index. Although the subject of remedial actions financed appropriate; or listed in the index, some information is by the Hazardous Substance Superfund iii. the remedial investigation has not publicly available, e.g., CBI or other (Fund). This partial deletion of the El shown that the release poses no information whose disclosure is Toro Marine Corp Air Station is significant threat to public health or the restricted by statue. Certain other proposed in accordance with 40 CFR environment and, therefore, the taking material, such as copyrighted material, 300.425(e) and is consistent with the of remedial measures is not appropriate. will be publicly available only in hard Notice of Policy Change: Partial Pursuant to CERCLA section 121(c) copy. Publicly available docket Deletion of Sites Listed on the National and the NCP, EPA conducts five-year materials are available either Priorities List. 60 FR 55466 (Nov. 1, reviews to ensure the continued electronically in http:// 1995). As described in 300.425(e)(3) of protectiveness of remedial actions www.regulations.gov or in hard copy at: the NCP, a portion of a site deleted from where hazardous substances, pollutants, Superfund Records Center, Mail Stop the NPL remains eligible for Fund- or contaminants remain at a site above SFD–7C, 95 Hawthorne Street, Room financed remedial action if future levels that allow for unlimited use and 403, San Francisco, CA 94105. Phone: conditions warrant such actions. unrestricted exposure. EPA conducts (415) 820–4700. Hours: Mon. thru Because EPA considers this action to such five-year reviews even if a site is Fri.—8 a.m. to 5 p.m. be noncontroversial and routine, this deleted from the NPL. EPA may initiate Heritage Park Regional Library, action will be effective January 21, 2014 further action to ensure continued Reference Section, 14361 Yale Street, unless EPA receives adverse comments protectiveness at a deleted site if new Irvine, CA 92714. Phone: (949) 936– by December 19, 2013. Along with this information becomes available that 4040. Hours: Mon. thru Thu.—10 a.m. direct final Notice of Partial Deletion, indicates it is appropriate. Whenever to 9 p.m.; Sat.—10 a.m. to 5 p.m.; EPA is co-publishing a Notice of Intent there is a significant release from a site Sun.—12 p.m. to 5 p.m. for Partial Deletion in the ‘‘Proposed deleted from the NPL, the deleted site may be restored to the NPL without FOR FURTHER INFORMATION CONTACT: Rules’’ section of the Federal Register. application of the hazard ranking Mary Aycock, Remedial Project If adverse comments are received within system. Manager, U.S. Environmental Protection the 30-day public comment period on Agency, Region IX, Mail Code SFD81 75 this partial deletion action, EPA will III. Partial Deletion Procedures publish a timely withdrawal of this Hawthorne Street, San Francisco, CA The following procedures apply to the direct final Notice of Partial Deletion 94105, (415) 972–2389, email: properties proposed for deletion: [email protected]. before the effective date of the partial (1) EPA has consulted with the state SUPPLEMENTARY INFORMATION: deletion and the partial deletion will of California prior to developing this not take effect. EPA will, as appropriate, Table of Contents direct final Notice of Partial Deletion prepare a response to comments and and the Notice of Intent for Partial I. Introduction continue with the deletion process on Deletion co-published in the ‘‘Proposed II. NPL Deletion Criteria the basis of the Notice of Intent for Rules’’ section of the Federal Register. III. Partial Deletion Procedures Partial Deletion and the comments (2) EPA has provided the state 30 IV. Basis for Site Partial Deletion already received. There will be no working days for review of this notice V. Partial Deletion Action additional opportunity to comment. and the parallel Notice of Intent for Section II of this document explains I. Introduction Partial Deletion prior to their the criteria for deleting sites from the publication today, and the state, through EPA Region IX is publishing this NPL. Section III discusses procedures the Department of Toxic Substances direct final Notice of Partial Deletion for that EPA is using for this action. Section Control, has concurred on the partial the El Toro Marine Corp Air Station IV discusses the properties proposed for deletion of the Site from the NPL. (Site), from the National Priorities List deletion of El Toro Marine Corp Air (3) Concurrently with the publication (NPL). This partial deletion pertains to Station and demonstrates how they of this direct final Notice of Partial all Site media, including soil and meet the deletion criteria. Section V Deletion, a notice of the availability of groundwater, of parcels I–A, II–A, III–A, discusses EPA’s action to partially the parallel Notice of Intent for Partial II–J, II–Q, II–S, II–T, III–C, I–C, II–U, delete the Site parcels from the NPL Deletion is being published in a major I–B, I–E, I–G, I–H, I–I, I–J, I–L, I–M, I– unless adverse comments are received local newspaper, the Orange County P, II–G, II–I, II–P, III–D, I–K, I–N, I–O, during the public comment period. Register. The newspaper notice I–S, II–E, II–L, II–M, II–R, I–Q, I–R, II– II. NPL Deletion Criteria announces the 30-day public comment B, II–K, and II–O of the Site. The period concerning the Notice of Intent properties proposed for deletion are The NCP establishes the criteria that for Partial Deletion of the Site from the shown in the map available in the EPA uses to delete sites from the NPL. NPL. partial deletion docket and will be In accordance with 40 CFR 300.425(e), (4) The EPA placed copies of referred to hereafter as ‘‘the properties sites may be deleted from the NPL documents supporting the partial proposed for deletion.’’ The NPL where no further response is deletion in the deletion docket and constitutes Appendix B of 40 CFR part appropriate. In making such a made these items available for public 300 which is the Oil and Hazardous determination pursuant to 40 CFR inspection and copying at the Site Substances Pollution Contingency Plan 300.425(e), EPA will consider, in information repositories identified (NCP), which EPA promulgated consultation with the State, whether any above. pursuant to Section 105 of the of the following criteria have been met: (5) If adverse comments are received Comprehensive Environmental i. Responsible parties or other persons within the 30-day public comment Response, Compensation and Liability have implemented all appropriate period on this partial deletion action, Act (CERCLA) of 1980, as amended. response actions required; EPA will publish a timely notice of

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withdrawal of this direct final Notice of destructive inspection, and fuel transportation center. Redevelopment Partial Deletion before its effective date analysis. Wastes generated by the efforts are on-going. and will prepare a response to maintenance operations included spent The Site was proposed to be placed comments and continue with the solvents and waste oils (including TCE, on the NPL on June 24, 1988 (53 FR deletion process on the basis of the TCA, MEK, toluene, and PD–680), fuels, 23988); and was placed on the NPL on Notice of Intent for Partial Deletion and greases removed from the spent February 21, 1990 (55 FR 6154). In the comments already received. solvents, and spent strippers. Aircraft October 1990, the U.S. EPA (EPA), Deletion of a portion of a site from the washrack activities resulted in discharge California Department of Health NPL does not itself create, alter, or of alkaline soaps, detergents, and small Services (CDPH) (the CDPH was the revoke any individual’s rights or amounts of PD–680. Vehicle and aircraft predecessor program to the California obligations. Deletion of a portion of a waste discharge produced the greatest Department of Health Toxic Substances site from the NPL does not in any way volume of industrial waste of any of the Control (DTSC)), California Regional alter EPA’s right to take enforcement base activities. Water Quality Control Board (RWQCB) actions, as appropriate. The NPL is A number of potentially contaminated and the DON signed a Federal Facility designed primarily for informational areas were identified on the Site, Agreement (FFA) which formalized the purposes and to assist EPA including four landfills suspected of process for environmental response management. Section 300.425(e)(3) of containing both hazardous and solid actions and the relative roles of the EPA, the NCP states that the deletion of a site waste, and other areas where state agencies, and the DON under from the NPL does not preclude polychlorinated biphenyls (PCBs), CERCLA and the Installation eligibility for further response actions, battery acids, leaded fuels, and other Restoration Program (IRP). The FFA was should future conditions warrant such hazardous substances were suspected of signed by the EPA, the State of actions. being dumped or spilled. A Remedial California, and the DON in October IV. Basis for Site Partial Deletion Investigation (RI) conducted by El Toro 1990. MCAS identified volatile organic The following information provides Environmental Baseline Surveys compounds (VOCs), primarily EPA’s rationale for deleting the (EBSs), which identify parcels of land trichloroethene (TCE), in groundwater properties proposed for deletion from for sale, lease, or needing further that migrated more than three miles off the NPL: investigation, were completed in 1995 base. The primary source of the and 2003. The EBSs identified Site Background and History groundwater contamination was two environmental factors and locations of The former El Toro Marine Corps Air large aircraft hangars. Land irrigated by concern (LOCs) where further Station (EPA ID: CA6170023208), (El wells is located within three miles of evaluation and/or actions were ongoing Toro MCAS) covering approximately the site; however, none of these wells or required. Once identified, these LOCs 4,712 acres in the City of Irvine, County are drinking water sources. Surface were reviewed by the DON, state of Orange, California is located at 33 water flows into the Upper Newport Bay regulatory agencies and EPA. Based degrees (°) 38 minutes (′) to 33°41′ north Ecological Reserve, located upon this review, sites were either latitude,117°41′ to 117°45′ west approximately eight miles from the recommended for no further action longitude, Township 6 South, Range 6 base. (NFA) or for further sampling. Based West (T6S/R6W) (Sections 2–5, 7–11, In recent years, portions of the Site upon the subsequent sampling, those 16–17, 20–21) and T5S/R8W (Sections were transferred to different sites either became NFA sites or 32–33, 35). governmental agencies. In 1998, the proceeded to the more extensive Development of former El Toro MCAS Bake Parkway/Interstate 5 public Comprehensive Environmental began in July 1942, when construction highway expansion project was Response, Compensation, and Liability of a United States Marine Corps pilot’s completed resulting in the transfer of Act (CERCLA) cleanup process. fleet operational training facility began approximately 23 acres to the California The portions of the Site to be deleted on approximately 2,319 acres of land in Department of Transportation. In 2001, from the NPL include 1,900.4 acres of Orange County, California. The Site was 896.7 acres in the northeast portion of contiguous property. All of these parcels commissioned as El Toro Marine Corps the station were transferred to the have been transferred from the DON to Air Station on March 17, 1943. In 1950, Federal Aviation Administration. Heritage Fields. Prior to transferring the Station was selected for The Site was decommissioned as an property at El Toro MCAS, the DON was development as a master jet air station active base in July 1999. The parcels to required, pursuant to Section 102(h) of and permanent center for marine be deleted from the NPL have all been CERCLA, to document that all aviation of the west coast to support the transferred from the Department of the environmental impacts associated with operations and combat readiness of Navy (DON) to Heritage Fields LLC the DON’s activities on the Site had Fleet Marine Forces, Pacific. Between (Heritage Fields) under the Base been thoroughly investigated and 1944 and 1986, additional land was Realignment and Closure Act of 1995. appropriate remedial actions have been acquired to bring the size of the on- Heritage Fields plans to build a taken to protect the public health, station portion of the installation to combination of residential, commercial, welfare, and the environment. DON 4,712 acres. retail and educational facilities on Site. presented this documentation in a series Major activities at the Site In addition, Heritage Fields has of successive Finding of Suitability to contributing to the generation of transferred 1,387 acres to the City of Transfer (FOST) documents. In each hazardous wastes included vehicle Irvine to create the Orange County Great case, the FOST described the LOCs on maintenance, ground support Park. The Orange County Great Park the property to be transferred and the maintenance, aircraft maintenance, and will be home to a world-class Olympic- investigation and remedial actions taken aircraft corrosion control. Other waste style sports village and entertainment at those properties to obtain generating activities included munitions center, a new high school and concurrence from the EPA, CDPH/DTSC disposal, pest control, fire protection neighborhood elementary schools, and and RWQCB. A total of 7 FOSTs were training, and laboratory operations infrastructure and support for a finalized for all parcels to be deleted including photo development, non- substantially expanded Irvine between July 2005 and September 2012.

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LOC site narratives where release, military personnel to service and repair Operation and Maintenance disposal, and/or migration of hazardous privately owned vehicles. Kerosene was No operation and maintenance is substances occurred, but at reportedly used to wash down the required for this site. concentrations that did not require a paved area at the site until removal or remedial action because site approximately 1976. The wash runoff 1.1.2 IRP Site 25—Major Drainages conditions were found to be protective drained into a catch basin situated in IRP Site 25 encompassed of both human health and the the entry driveway and finally drained approximately 22 acres and comprised environment may be found in a tables into an oil/water separator (OWS). From the four major washes that flowed appendix in the Deletion Docket. This 1976 until closure of the Hobby Shop in through former El Toro MCAS. These appendix does not include LOCs that 1999, a biodegradable soap was used in included Agua Chinon Wash, Bee were only contaminated with place of kerosene. Canyon Wash, Borrego Canyon Wash, petroleum, as these sites are not subject Site 20 originally consisted of four and Marshburn Channel. Three of these to CERCLA based on the petroleum units: drainages (Agua Chinon Wash, Bee exemption. In total, 112 such LOCs were • Unit 1—Shallow Drainage Swale Canyon Wash, and Borrego Canyon thoroughly evaluated and recommended (1–2 feet below grade), adjacent to the Wash) were continuations of natural for no further action. east side of Building 626. washes that originated in the Santa Ana This partial deletion covers the • Unit 2—South Drainage Ditch, ran Mountains. Surface drainage from the following Site parcels: I–A, II–A, III–A, along North 9th Street hills and upgradient irrigated farmland II–J, II–Q, II–S, II–T, III–C, I–C, II–U, • Unit 3—Stained Area, small area combined with runoff generated from I–B, I–E, I–G, I–H, I–I, I–J, I–L, I–M, I– adjacent to the northwest side of extensive paved surfaces at former El P, II–G, II–I, II–P, III–D, I–K, I–N, I–O, Building 626 Toro MCAS. The on-station storm sewer • I–S, II–E, II–L, II–M, II–R, I–Q, I–R, II– Unit 4—Inner Courtyard of Building system discharged to the drainage B, II–K, and II–O. A map identifying the 626, an entry driveway, and a front- channels, which then flowed into San areas to be deleted, as well as the areas sloping area adjacent to the drainage Diego Creek. San Diego Creek to remain on the NPL, is available in the ditch along North 9th Street. The inner discharged into upper Newport Bay, partial deletion docket. portion was paved with asphalt. The about 7 miles downstream from its entry driveway was concrete and 1. Property Covered by FOST #1 intersection with Marshburn Channel. crossed over the drainage ditch. The These washes traversed Transfer Parcels Approximately 2,798 acres of the Site front area was covered with grass with I–A, II–A, and III–A, and also traversed were covered by FOST #1, including some bare spots and various trees. property that was not part of FOST #1. 1,070.2 acres that EPA determined had not been impacted by hazardous waste Remedial Investigations Remedial Investigations and that therefore were not part of the Investigations at the IRP Site 20 IRP Site 25 was constituted before the NPL. These two areas of the Site were included a RCRA Facility Assessment source of the regional VOC groundwater removed from the NPL through two (RFA), a Phase I RI, aerial photograph contamination had been identified as clarification letters issued by EPA. surveys in 1993, and a Phase II RI in IRP Site 24 (which is not part of this Clarification Areas A, B, C, and D, 1996. In 1997, Units 2 and 3 were deletion). IRP Site 25 was identified for consisting of 978.6 acres, were removed excluded from the site based on the a Phase II RI, but the drainages were from the NPL through an EPA CERCLA petroleum exemption, 42 investigated as part of the Phase I RI for clarification letter dated October 27, U.S.C. 9601(14)(F). Sites containing IRP Sites 18 and 24 to evaluate the 2005. Clarification Area E, consisting of only petroleum contamination were, source of the off-site VOC groundwater 91.6 acres, was removed from the NPL and continue to be remediated under plume. Potential contamination within through an EPA clarification letter dated the oversight of the RWQCB). the major drainages and San Diego March 21, 2006. Soil sampling identified VOCs, semi- Creek was assessed by analyzing surface The unclarified portions of the FOST volatile organic compounds (SVOCs), water, sediment, soil, and soil gas #1 area consisted of three Transfer PCBs, and pesticides at the site, all samples. Except for the Borrego Canyon Parcels: Transfer Parcels I–A, II–A, and below residential PRGs. Arsenic was Wash, metals and pesticides were III–A. detected at concentrations above the detected above former El Toro MCAS 1.1 Transfer Parcel I–A former El Toro MCAS background background concentrations in all value. The RI of the site indicated that drainages. Significant petroleum Transfer Parcel I–A was the site-related contamination was hydrocarbon contamination was approximately 809.5 acres. This parcel limited to the shallow soil interval. detected at depths of 15 to 20 feet below contained 225 non-demolished ground surface (bgs) at the southern end buildings/structures/facilities including Selected Remedy of Agua Chinon Wash, near the former the units located in the Saddleback The human health and ecological risk El Toro MCAS boundary. Terrace housing area. In addition, Parcel assessments showed that the Within the Agua Chinon Wash, total I–A contained IRP Site 20—Hobby Shop contaminants present in the soil did not petroleum hydrocarbons (TPH) were and a portion of IRP Site 25—Major present an unacceptable risk to human detected at depths up to 57 feet bgs. The Drainages. health or the environment. Therefore, RI of the site indicated that the site- 1.1.1 IRP Site 20—Hobby Shop no remedial action was required. A related contamination was limited to Record of Decision (ROD) for NFA was sediment and surface water. Site Location and History signed on September 30, 1997. No risks Selected Remedy IRP Site 20—Hobby Shop are present at IRP Site 20 and no encompassed approximately 0.5 acre institutional controls are present. The human health and ecological risk immediately northwest of the assessments showed that the intersection of North 9th Street and Response Actions and Cleanup contaminants present in these media West Marine Way and included Standards did not present an unacceptable risk to Building 626. Beginning in 1967, the No response actions have been taken human health or the environment. site was used as an auto shop for and no cleanup standards have been set. Therefore, no remedial action was

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required. The Draft Final RI Report was approximately 300 gallons of waste oil after a bladder rupture. Petroleum completed in 1997, and a ROD for NFA leaked from these storage drums at the hydrocarbons were detected in the soil was signed on September 30, 1997. No site. beneath the ruptured bladder. risks are present at IRP Site 25 and no Remedial Investigations The fuel bladders were removed in institutional controls are present. 1986, and the soil was excavated to a Investigations conducted at IRP Site 6 maximum depth of 15 feet bgs in a 30- Response Actions and Cleanup included a Phase I remedial Standards foot-square area beneath the location of investigation (RI) and aerial photograph the bladder rupture (Unit 2). The No response actions have been taken surveys in 1993, employee interviews in excavation was partially backfilled to a and no cleanup standards have been set. 1994, and a Phase II RI in 1996. During depth of approximately 11 feet in 1994. Operation and Maintenance the investigations, VOCs, SVOCs, and Prior to backfill, soil samples were polynuclear aromatic hydrocarbons collected within the excavated area, i.e., No operation and maintenance is were detected at concentrations below IRP Site 19. No chemicals of potential required for this site. residential PRGs. The maximum arsenic concern were detected at concentrations 1.2 Transfer Parcel II–A concentration was detected at a depth of greater than EPA industrial PRGs. In Property of 8–10 feet bgs and was above 1996, the remaining excavation was Transfer Parcel II–A was the former El Toro MCAS background approximately 1,439.6 acres. This parcel backfilled to grade the surrounding area concentration for arsenic. The RI of the with clean fill material. An additional contained a golf course and 1,078 non- site indicated that the site-related demolished buildings/structures/ 19,000-square-foot area beneath the contamination was limited to the locations of the other bladders was also facilities which included the units shallow soil interval. located in San Joaquin, Vista Terrace, excavated in 1986 to a depth of Navy/Marine (NAMAR), and Wherry Selected Remedy approximately 2.5 feet. All of the housing areas. Transfer Parcel II–A buildings/structures/facilities at the site The human health and ecological risk were removed following site closure and included IRP Sites 6 and 19, and a assessments indicated that the portion of IRP Site 25 (described above). were replaced by a pump station and contaminants present in the soil did not UST complex situated adjacent to the 1.2.1 IRP Site 6—Drop Tank Drainage present an unacceptable risk to human east side of the site. Area No. 1 health or the environment. Therefore, no remedial action was required. A ROD Remedial Investigations Site Location and History for NFA was signed on September 30, Investigations conducted at the site IRP Site 6 encompassed 1997. included a Phase I RI and aerial approximately 3 acres bounded by photograph surveys in 1993, employee taxiways to the north and west, a Response Actions and Cleanup interviews in 1994, and a Phase II RI in concrete aircraft parking apron to the Standards 1996. The investigations indicated east, and East Marine Way to the south. No response actions have been taken SVOCs at concentrations below The site consisted of three units: and no cleanup standards have been set. • Unit 1 was an area along the edge residential PRGs, with the exception of Operation and Maintenance of a concrete parking apron where benzo(a)pyrene, which was above the aircraft drop tanks were formerly No operation and maintenance is industrial PRG value. VOCs were drained of residual jet fuel and then required for this site. detected at concentrations below cleaned prior to reuse. residential PRGs. Arsenic was detected • 1.2.2 IRP Site 19—Aircraft at concentrations above the industrial Unit 2 was a shallow drainage Expeditionary Refueling Site swale that extends from the north side PRG value, and the maximum arsenic of Building 727, west to a catch basin Site Location and History value was above the former El Toro that eventually discharged into the Agua IRP Site 19 was within Transfer Parcel MCAS background concentration. Chinon Wash. The catch basin received II–A and encompassed approximately 4 Selected Remedy surface runoff and sediment from the acres southwest of Buildings 404 and site. 414. Between 1964 and 1986, the site The human health and ecological risk • Unit 3 was a flat, grass-covered area operated as a fuel-storage and fuel- assessments showed that the south of the drainage swale where drop dispensing area. The site consisted of contaminants present in the soil did not tanks were stored. six 20,000-gallon JP 5 fuel bladders in present an unacceptable risk to human From 1969 to 1983, aircraft drop tanks 4-foot-high earthen revetments and health or the environment. A ROD for were transported to the site where the associated piping and fuel-dispensing NFA for Units 2 and 3 was signed on fuel remaining in the tanks was drained. equipment. The site originally consisted September 30, 1997. Unit 1 was Residual jet propulsion fuel, grade 5 of four units: excluded from the IRP under the (JP 5) in the tanks was drained to the • Unit 1, Northeast Stained Area CERCLA petroleum exclusion in 1995 concrete apron, and the combined fuel/ • Unit 2, Excavated Areas; (closed by RWQCB in a letter dated May rinse water ran onto the adjacent grassy • Unit 3, Stained Area Around 14, 1997), and Unit 4 was excluded from area. In addition to fuel, waste lubricant Excavations; and the IRP under the CERCLA petroleum oils from maintenance operations were • Unit 4, Pump Station (this area was exclusion in 1997 (Unit 4 was being also reportedly stored in drums and added for the Phase II RI and then was addressed with a number of USTs and staged in the area. removed under the CERCLA petroleum the associated area was therefore Approximately 1,400 gallons of JP 5 exclusion). unsuitable for transfer and was not part fuel were reportedly drained from the of FOST #1). drop tanks onto the concrete apron and Initial Response Response Actions and Cleanup washed onto the adjacent area. Portions Various spills and leaks reportedly Standards of the unpaved areas at the site were occurred during operation of the site. In also reportedly used for storing oil one instance, an estimated 20,000 No further response actions have been drums. It was estimated that gallons of JP 5 were reportedly released taken.

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Operation and Maintenance hydrocarbons, and pesticides were III–C was approximately 1 acre in size No operation and maintenance is detected at concentrations below and contained one building/structure/ required for this site. residential PRGs. Arsenic was detected facility (Building 240). NFA at concentrations above the industrial determinations were made for all LOCs 1.2.3 PCB T56, concrete pad of PRG from the surface to a depth of 80 within Transfer Parcels II–T and III–C. transformer 56 feet bgs. The maximum arsenic 2.1 Transfer Parcel II–S Site Location and History concentration was below the former El Toro MCAS background concentration. Transfer Parcel II–S was A minor release of transformer oil Total recoverable petroleum approximately 1.3 acres in size and containing PCBs hydrocarbons (TRPH) were detected at included six buildings/structures/ Selected Remedy the soil surface and at a depth of 5 feet facilities (Buildings 374, 377, 447, 448, bgs. Based on the results of the Phase I 566, and 726) and former Building 603 No risks are present at PCB T56 and RI investigation, a Phase II RI was not (demolished). no institutional controls are present. recommended. The RI of the site 2.1.1 RFA 131 Response Actions and Cleanup indicated that the site-related Standards contamination was limited to the Site Location and History The transformer was replaced and the shallow soil interval. RFA 131, an engine test cell, was concrete pad was removed. No further Selected Remedy located within Transfer Parcel II–S near action was required. Building 447. The human health and ecological risk Operation and Maintenance assessments showed that the Initial Response No operation and maintenance is contaminants present in the soil did not Near surface soils were removed in required for this site. present an unacceptable risk to human 1997. health or the environment. A ROD for 1.3 Transfer Parcel III–A NFA was signed on September 30, 1997. Selected Remedy Transfer Parcel III–A was Response Actions and Cleanup DTSC concurred with NFA in a letter approximately 329.0 acres. This parcel Standards from July 1999. RWQCB concurred with contained 10 non-demolished NFA in June 2000. No response actions have been taken buildings/structures/facilities, as well as and no cleanup standards have been set. Response Actions and Cleanup a portion of IRP Site 13. Standards Operation and Maintenance 1.3.1 IRP Site 13—Oil Change Area No further response actions have been No operation and maintenance is taken. Site Location and History required for this site. No deed IRP Site 13 encompassed restrictions were recommended for Site Operation and Maintenance approximately 34,000 square feet and 13 due to chemicals present in the soil. No operation and maintenance is was bounded on the north by Former However since the groundwater beneath required for this site. Tank Farm No. 2 and on the south by Site 13 was contaminated by the storage yard for Building 242. The trichloroethylene (TCE) and 3. Property Covered by FOST #3 site was situated within Transfer Parcel tetrachloroethylene (PCE; also Approximately 3.9 acres of El Toro III–A and Carve-Out (CO) III–B. The site perchloroethylene) due to Site 24—VOC MCAS were covered by FOST #3. was relatively flat, unpaved, and source area, when the NFA ROD was generally unvegetated. Site 13 consisted signed on September 30, 1997, the use Site Location and History of two units: Unit 1 comprised the area restrictions prohibiting drilling of wells This area consisted of two Transfer southeast of Tank Farm No. 2 and Unit and/or extraction of groundwater and Parcels referred to in FOST #3 as 2 comprised the area southwest of Tank allowing access for groundwater ‘‘Carve-Outs’’ (COs): Farm No. 2. Trucks were driven to the monitoring and maintenance of • CO I–C consisted of approximately area southeast of the tank farm (Unit 1) equipment associated with groundwater 0.1 acre in the northeastern portion of for oil changes, and crank case oil was remediation were to be addressed in the the former base. This CO was created frequently drained onto the ground. ROD for Site 18 and Site 24. When the during preparation of the 2004 Finding From 1977 to 1983, approximately 7,000 Final ROD for Site 18 and Site 24 was of Suitability to Lease when a portion of gallons of waste oil were drained onto completed in 2002, the updated VOC an underground pipeline (Norwalk-El the ground. The oily soil was plume and 500 foot buffer zone were no Toro Pipeline) was believed to exist subsequently removed, and no visible longer located beneath Site 13. within this area. However, based on a evidence of the oily soil remained. A Consequently, groundwater restrictions detailed review of the pipeline physical review of aerial photographs indicated due to the Site 24 VOC plume were no alignment, it was determined that no heavy staining throughout the area longer applicable for Site 13. portion of the pipeline was within between the tank farm and Building 242 Transfer Parcel I–C. No buildings or 2. Property Covered by FOST #2 (Unit 2), which persisted over the years utilities were located on the Transfer of photographic record. It is likely that Approximately 8 acres of El Toro Parcel. oil changes were also conducted in that MCAS were covered by FOST #2. This • CO II–U consisted of approximately area. area consisted of four Transfer Parcels 3.8 acres in the northeastern portion of (II–J, II–S, II–T, and III–C), and a portion the former base. No buildings or utilities Remedial Investigations of one Transfer Parcel (II–Q). Transfer were located on the CO. Investigations conducted at the site parcels II–J and II–Q did not contain any included an RFA, a Phase I RI and aerial CERCLA LOCs. Transfer Parcel II–T was Initial Response photographic surveys in 1993, and approximately 0.5 acres in size and A portion of the Norwalk-El Toro employee interviews in 1994. VOCs, contained one building/structure/ Pipeline was removed from CO II–U in SVOCs, polynuclear aromatic facility (Building 761). Transfer Parcel the fall of 2006, with the exception of

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approximately 100 feet of pipeline that of this partial deletion request and will 1998. No evidence of a release was remains under Agua Chinon Wash. also remain on the NPL. COs I–K, I–N, observed during the visual site I–O, I–S contained only petroleum LOCs inspections conducted for the 2003 EBS. Remedial Investigations or no release, disposal, and/or migration Building 457 was subsequently The COs were evaluated during the of hazardous substances occurred there. demolished to its foundation. initial phase of environmental assessment and the results were Remedial Investigations Operation and Maintenance documented in the Final 2003 EBS. The As these COs did not contain CERCLA No operation and maintenance is EBS concluded that no hazardous LOCs, no remedial investigations were required for this site. substances were stored or released on conducted. 6. Property Covered by FOST #6 the COs. Selected Remedy Approximately 356.81 acres of El Selected Remedy No Further Action determinations Toro MCAS were covered by FOST #6. No further action was necessary in were issued for all LOCs within CO II– Site Location and History these areas. E and II–M. CO II–L contained a portion of IRP Site 25. All other LOCs in CO II– This area included eleven COs: COs Response Actions and Cleanup L received NFA determinations and no I–D, I–Q, I–R, II–B, II–K, II–N, II–O, III– Standards cleanup was required. B–1, III–B–2, III–E, and III–F. COs I–Q No response actions have been taken and I–R contained only petroleum LOCs and no cleanup standards have been set. Response Actions and Cleanup and were therefore subject to the Standards Operation and Maintenance CERCLA petroleum exclusion, or no No response actions have been taken release, disposal, and/or migration of No operation and maintenance is and no cleanup standards have been set. hazardous substances occurred there. As required for this site. Operation and Maintenance a result, these COs are not discussed in 4. Property Covered by FOST #4 this document. Additionally, COs I–D, No operation and maintenance is II–N, III–B–1, III–B–2, III–E, and III–F Approximately 42.9 acres of El Toro required for these sites. are not part of this partial deletion MCAS were covered by FOST #4. 5.1 CO II–R request and will remain on the NPL. Site Location and History CO II–R consisted of approximately Remedial Investigations This area consisted of thirteen COs: 1.2 acres and was located in the As these COs did not contain CERCLA COs I–B, I–E, I–G, I–H, I–I, I–J, I–L, I– southeast portion of the former base. LOCs, no remedial investigations were M, I–P, II–G, II–I, II–P, III–D. COs I–L, conducted. I–M, I–P, II–G, II–I, and II–P did not 5.1.1 Resource Conservation and contain CERCLA LOCs. Recovery Act (RCRA) Facility Selected Remedy Assessment (RFA) Site 244/PCB T74 Remedial Investigations COs II–K contained a portion of IRP Site Location and History Site 25. All other LOCs in CO II–K As these COs did not contain CERCLA There was one pad-mounted received NFA determinations and no LOCs, no remedial investigations were cleanup was required. All LOCs in CO conducted. transformer (PCB T74) at Building 457. Historically, disposal activities were II–O received NFA determinations and Selected Remedy conducted at this site, though the dates no cleanup was required. No Further Action determinations of these operations are unknown. A Response Actions and Cleanup were issued for all LOCs within COs I– response action was required for Standards B, I–E, I–G, I–H, I–I, I–J, and II–G. CO releases of transformer oil containing No response actions have been taken III–D contained a portion of IRP Site 13. PCBs at Building 457 (RCRA Facility and no cleanup standards have been set. All other LOCs in CO III–D received Assessment (RFA) Site 244). NFA determinations and no cleanup Remedial Investigations Operation and Maintenance was required. While no remedial investigations No operation and maintenance is Response Actions and Cleanup were conducted under CERCLA, RFA required for these sites. Standards Site 244/PCB T74 was evaluated under 6.1 CO II–B a RCRA Facility Assessment. No response actions have been taken CO II–B consisted of approximately and no cleanup standards have been set. Selected Remedy 6.73 acres located in the northeast Operation and Maintenance DTSC concurred with NFA for RFA portion of the former base. No operation and maintenance is 244 in a letter dated December 1998. 6.1.1 Temporary Accumulation Area required for these sites. EPA and DTSC concurred with NFA for (TAA) Site 130C PCB T74 in September 2003. 5. Property Covered by FOST #5 Site Location and History Response Actions and Cleanup Approximately 119.3 acres of El Toro TAA 130C was located northing of Standards MCAS were covered by FOST #5. Building 130. Shallow soil samples that were Site Location and History collected in the area affected by the PCB Remedial Investigations This area included nine COs: COs I– release identified PCBs in one of the While no remedial investigations F, I–K, I–N, I–O, I–S, II–E, II–L, II–M, II– seven samples collected. The were conducted under CERCLA, TAA R, and CO Building 746. CO I–F is not transformer was replaced and removal 130C was evaluated under a RCRA part of this deletion request and will of impacted soils was completed in Facility Assessment. Sampling remain on the NPL. CO Building 746 is 1997. The response action was indicated low levels of arsenic and located within CO II–D and is not part completed and closed in December chlorinated pesticides.

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Selected Remedy 9th Street. The spilled liquid reportedly occurred by soliciting public comment TAA 130C received site closure contained approximately 5 gallons of on various documents depending on the concurrence from DTSC in March 2009. ferrocene and a hydrocarbon carrier site’s investigation and cleanup (if No further action was required. solution. needed) process. All NFA decision documents were issued for 30-day Response Actions and Cleanup Remedial Investigations public comment periods with Standards Investigations conducted at IRP Site 4 comments, if any, addressed in the Contaminated soil was excavated and included a Phase I RI and aerial Responsiveness Summary of the Record confirmation soil samples were photograph surveys in 1993. VOCs and of Decision. In addition, sites where collected at TAA 130C in 2008. SVOCs were below residential PRGs in non-time critical removal actions both units. occurred provided public involvement Operation and Maintenance with the issuance of the engineering Selected Remedy No operation and maintenance is evaluation/cost analysis for public required for this site. The human health and ecological risk comment. assessments showed that the Since there are a number of ongoing 7. Property Covered by FOST #7 contaminants present in the soil did not investigations and cleanup at El Toro Approximately 151.06 acres of El present an unacceptable risk to human MCAS, community involvement Toro MCAS were covered by FOST #7. health or the environment. Therefore, activities such as the biannual RAB This area included three COs: COs no remedial action was required. The meetings will continue to occur. NFA ROD was signed on September 30, II–F–1, II–Q, and II–V–1. There were no Determination That the Criteria for 1997. CERCLA LOCs within CO II–F–1 or CO Deletion Have Been Met II–V–1. As a result, COs II–F–1 and II– Response Actions and Cleanup The NCP (40 CFR 300.425(e)) states V–1 are not discussed in this document. Standards that a site may be deleted from the NPL Any contamination on these COs was, when no further response action is and continues to be remediated under No response actions have been taken necessary. EPA, in consultation with the the oversight of the RWQCB. and no cleanup standards have been set. State of California, has determined that 7.1 CO II–Q Operation and Maintenance all appropriate response actions under CO II–Q consisted of approximately No operation and maintenance is CERCLA have been completed on the 84.49 acres located in the central required for this site. properties proposed for deletion. Therefore, these portions of the former portion of the former base and Five Year Reviews contained buildings 114, 124, 125, 126, El Toro Marine Corps Air Station meet Cleanup activities at El Toro MCAS the criteria of 40 CFR 300.425(e) and 127, 230, 231, 363, 372, 642, 658, 677, have resulted in the remediation of all 698, 716, 747, 752, 763, 779, 903, 923, may be deleted from the NPL. The State Site-related contamination such that of California, through the DTSC, 938, 952, and 1804. CO II–Q also restrictions on use and/or institutional contained structures 396, 558, 559, 560, concurred on this proposed deletion by controls were unnecessary. Accordingly, letter dated February 1, 2013. 561, 659, 904, 905, 906, 907, 908, 909, no Five-Year Reviews were required 910, and 911. The DON leased this CO under CERCLA. V. Partial Deletion Action to Heritage Fields, LLC, who The EPA, with concurrence of the subsequently assigned the lease for the Community Involvement State of California through the majority of this CO to the City of Irvine. Public participation activities have Department of Toxic Substances CO II–Q includes portions of IRP 4 and been satisfied as required in CERCLA Control, has determined that all 25. Section 113(k), 42 U.S.C. 9613(k) and appropriate response actions under 7.1.1 IRP Site 4 CERCLA Section 117, 42 U.S.C. 9617. CERCLA have been completed. Community input has been sought by Therefore, EPA is deleting parcels I–A, Site Location and History the DON throughout the cleanup II–A, III–A, II–J, II–Q, II–S, II–T, III–C, IRP Site 4 is located immediately process. The El Toro MCAS Restoration I–C, II–U, I–B, I–E, I–G, I–H, I–I, I–J, southeast of Building 658, a former jet- Advisory Board (RAB) serves as a focal I–L, I–M, I–P, II–G, II–I, II–P, III–D, engine testing facility. The site is point for the exchange of information I–K, I–N, I–O, I–S, II–E, II–L, II–M, II– bounded by 9th Street to the south, about environmental restoration R, I–R, II–B, II–K, and II–O of the El Building 658 to the north and west, and activities between the DON, regulatory Toro Marine Corp Air Station Site from Tank Farm No. 5 to the east. The IRP agencies, and the local community. RAB the NPL. Site 4 consists of two units: Unit 1 is an members review technical reports and Because EPA considers this action to oil-stained area southeast of Building plans pertaining to the El Toro MCAS be noncontroversial and routine, EPA is 658 which overlaps a concrete cleanup and provide input to the DON taking it without prior publication. This transformer pad, and Unit 2 is a and the regulatory agencies. RAB action will be effective January 21, 2014 drainage ditch which received runoff members serve as volunteers and act as unless EPA receives adverse comments from a ferrocene spill. a liaison to the specific community they by December 19, 2013. If adverse The staining at Unit 1 was the result represent including various cities and comments are received within the 30- of oily discharges from Building 658, homeowner associations in the vicinity day public comment period, EPA will which were observed over an of El Toro MCAS. All RAB meetings are publish a timely withdrawal of this approximate 2-year period. The open to the public and anyone direct final notice of partial deletion contamination at Unit 2 originated from interested may attend. They are held before the effective date of the partial an August 1983 spill, when the contents semi-annually on a Wednesday evening deletion and it will not take effect. EPA of a 500-gallon tank (wash water and in April and November at the Irvine City will prepare a response to comments residual jet fuel) reportedly overflowed Hall, One Civic Center Plaza. and continue with the deletion process during washing and spilled onto the Community involvement for the areas on the basis of the notice of intent to ground, draining into a ditch adjacent to that are the subject of this document has partially delete and the comments

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already received. There will be no Dated: October 22, 2013. 1991 Comp., p. 351; E.O. 12580, 52 FR 2923, additional opportunity to comment. Jared Blumenfeld, 3 CFR 1987 Comp., p. 193. Regional Administrator Region IX. List of Subjects in 40 CFR Part 300 Appendix B—[Amended] For the reasons set out in this Environmental protection, Air document, 40 CFR part 300 is amended ■ 2. Table 2 of Appendix B to part 300 pollution control, Chemicals, Hazardous as follows: is amended by revising the entry under waste, Hazardous substances, ‘‘El Toro Marine Corps Air Station’’, Intergovernmental relations, Penalties, PART 300—[AMENDED] California to read as follows: Reporting and recordkeeping ■ 1. The authority citation for part 300 Appendix B to Part 300—National requirements, Superfund, Water continues to read as follows: Priorities List pollution control, Water supply. Authority: 33 U.S.C. 1321(c)(2); 42 U.S.C. * * * * * 9601–9657; E.O. 12777, 56 FR 54757, 3 CFR

TABLE 2—FEDERAL FACILITIES SECTION

State Site name City/county Notes (a)

******* CA ...... El Toro Marine Corps Air Station ...... El Toro ...... P

******* (a) *** *P = Sites with partial deletion(s).

[FR Doc. 2013–27724 Filed 11–18–13; 8:45 am] DEPARTMENT OF COMMERCE necessary and advisable for the BILLING CODE 6560–50–P conservation of this species. Given that National Oceanic and Atmospheric the changes made to this rule are based Administration on the new information that was not submitted as public comment on the DEPARTMENT OF TRANSPORTATION 50 CFR Part 223 proposed rule, we are publishing this RIN 0648–AY96 rule as an interim final rule and are Pipeline and Hazardous Materials soliciting additional public comment. Safety Administration [Docket No. 100813359–3908–02] This document also announces the availability of a final Environmental Endangered and Threatened Species; Assessment that analyzes the 49 CFR Part 172 Protective Regulations for the Gulf of environmental impacts of promulgating Maine Distinct Population Segment of Hazardous Materials Table, Special this interim final regulation. Atlantic Sturgeon Provisions, Hazardous Materials DATES: This interim final rule is Communications, Emergency AGENCY: National Marine Fisheries effective on December 19, 2013. Response Information, Training Service (NMFS), National Oceanic and Comments on this interim final rule Requirements, and Security Plans Atmospheric Administration (NOAA), must be received by December 19, 2013. Commerce. ADDRESSES: You may submit comments, CFR Correction ACTION: Interim final rule. identified by RIN No. 0648–AY96, by In Title 49 of the Code of Federal any of the following methods: SUMMARY: We, NMFS, are issuing an • Regulations, Parts 100 to 177, revised as Federal eRulemaking Portal: http// interim final regulation to conserve the www.regulations.gov. Follow the of October 1, 2012, on page 242, in Gulf of Maine Distinct Population instructions for submitting comments. § 172.101, in the Hazardous Materials Segment (DPS) of Atlantic sturgeon • Fax: To the attention of Lynn Table, in the entry for ‘‘Oxygen, (Acipenser oxyrinchus oxyrinchus). On Lankshear at (978) 281–9394. compressed’’, in column 10A, the letter February 6, 2012, we listed the Gulf of • Mail or hand-delivery: Submit ‘‘A’’ is added. Maine DPS of Atlantic sturgeon as written comments to the Assistant [FR Doc. 2013–27733 Filed 11–18–13; 8:45 am] threatened under the Endangered Regional Administrator, Protected BILLING CODE 1505–01–D Species Act (ESA). When a species is Resources Division, NMFS, Northeast listed as threatened under the ESA, we Region, 55 Great Republic Drive, are required to issue protective Gloucester, MA 01930. regulations under section 4(d) of the Instructions: All comments received ESA. Such protective regulations are are a part of the public record and will ones deemed ‘‘necessary and advisable generally be posted to http:// for the conservation of the species’’ and www.regulations.gov without change. may include any act prohibited for All Personal Identifying Information (for endangered species under section example, name, address, etc.) 9(a)(1) of the ESA. This regulation voluntarily submitted by the commenter extends the prohibitions listed in may be publicly accessible. Do not section 9 of the ESA to Gulf of Maine submit Confidential Business DPS Atlantic sturgeon. The prohibitions Information or otherwise sensitive or set forth in this rule are considered protected information.

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We will accept anonymous comments which kills or injures fish or wildlife. Summary of Comments Received on the (enter ‘‘n/a’’ in the required fields if you Such an act may include significant Proposed Rule wish to remain anonymous). habitat modification or degradation that We solicited comments on the Attachments to electronic comments results in death or injury of wildlife by proposed rule from all interested parties will be accepted in Microsoft Word, significantly impairing essential including the public and other Excel, WordPerfect, or Adobe PDF file behavioral patterns, including breeding, governmental agencies. Three comments formats only. spawning, rearing, migrating, feeding, or were submitted on the action during the The interim final rule and other sheltering (50 CFR 222.102). The term 60-day comment period from interested reference materials regarding this ‘‘harm’’ is used in this rule as defined parties, including environmental and determination are available in the regulations. industry groups. In keeping with the electronically at http:// The prohibitions listed under section intent of the Administration and www.nero.noaa.gov/prot_res/ 9(a)(1) of the ESA automatically apply Congress to provide continuing and atlsturgeon/ under the section titled when a species is listed as endangered meaningful dialogue on issues of mutual ‘‘What’s New’’ or by submitting a but not when listed as threatened. When state and Federal interest, we contacted request to the Assistant Regional a species is listed as threatened, section and invited comment from the relevant Administrator, Protected Resources 4(d) of the ESA requires the Secretary of state agencies for Maine, New Division, NMFS, Northeast Region, 55 Commerce (Secretary) to issue Hampshire, and Massachusetts as well Great Republic Dive, Gloucester, MA regulations, as deemed necessary and as the from the Atlantic States Marine 01930. advisable, to provide for the Fisheries Commission (ASMFC). All FOR FURTHER INFORMATION CONTACT: conservation of the species. The comments received on the proposed Kimberly Damon-Randall, (978) 282– Secretary may, with respect to any rule are summarized and addressed 8485; Lynn Lankshear, (978) 282–8473, threatened species, issue regulations below. or Lisa Manning, (301) 427–8466. that prohibit any act covered under Comment 1: The ASMFC opposed the SUPPLEMENTARY INFORMATION: section 9(a)(1). Whether section 9(a)(1) proposed ESA 4(d) rule on the grounds that extending the section 9 prohibitions Background prohibitions are necessary and advisable for a threatened species is largely to Gulf of Maine DPS Atlantic sturgeon As described in the two Federal dependent on the biological status of the is not warranted at this time and Register notices published February 6, species and the potential impacts of implementing such measures could 2012 (77 FR 5880 and 77 FR 5914), we various activities on the species. diminish Gulf of Maine DPS restoration determined that there are five Atlantic efforts currently being conducted by sturgeon DPSs within the United States. The Atlantic Sturgeon Status Review states and local jurisdictions. Along with the Gulf of Maine DPS, there Report (ASSRT, 2007), the Final Listing Response: Having determined that the are also the New York Bight, Determinations for Three Distinct Gulf of Maine DPS of Atlantic sturgeon Chesapeake Bay, Carolina, and South Population Segments of Atlantic warranted listing as a threatened species Atlantic DPSs. We determined that Sturgeon in the Northeast Region (77 FR (77 FR 5880; February 6, 2012), we are listing the Gulf of Maine DPS as 5880; February 6, 2012), and the required to issue such regulations as threatened and all of the other DPSs as Proposed Protective Regulations for the deemed necessary and advisable to endangered was warranted (77 FR 5880 Gulf of Maine Distinct Population provide for the conservation of the and 77 FR 5914; February 6, 2012). Segment of Atlantic Sturgeon (76 FR species. We disagree with the Section 9(a)(1) of the ESA prohibits 34023; June 10, 2011) contain a commenter that the implementation of any person subject to the jurisdiction of thorough account of the status of the ESA section 9 measures for the Gulf of the United States from: (A) Importing Gulf of Maine DPS and impacts to Maine DPS of Atlantic sturgeon will any endangered species into, or Atlantic sturgeon belonging to the Gulf diminish conservation efforts currently exporting any endangered species from of Maine DPS. In addition, new underway. We have taken steps to the U.S.; (B) taking any endangered information has become available since reduce applicant waiting time for species within the United States or the publication of the proposed protective issuance of section 10 scientific research U.S. territorial sea; (C) taking any regulations for the Gulf of Maine DPS, permits for ongoing or anticipated endangered species upon the high seas; as detailed below. directed scientific research efforts for (D) possessing, selling, delivering, New tagging and tracking data, Atlantic sturgeon, thereby alleviating carrying, transporting, or shipping, by provided to us as a result of ongoing the primary rationale for this concern. A any means whatsoever, any endangered studies, indicates that Atlantic sturgeon batch of 10(a)(1)(A) permits authorizing species that was illegally taken; (E) tagged in the United States range in the directed research on Atlantic sturgeon delivering, receiving, carrying, marine environment from as far north as was issued on April 4, 2012. transporting, or shipping in interstate or the St. Lawrence River, Canada (D. Fox, Comment 2: One commenter foreign commerce, by any means DSU, pers. comm.) to as far south as requested clarification of language on whatsoever and in the course of Cape Canaveral, FL (T. Savoy, CTDEP, the salvage of dead fish and the rescue commercial activity, any endangered pers. comm.). The description of the of stranded fish, which were exempted species; (F) selling or offering for sale in northern and southern extent of the in certain portions of the riverine range interstate or foreign commerce any marine range for the Gulf of Maine DPS of the Gulf of Maine DPS in the endangered species; or (G) violating any was extended to include these areas, proposed rule. The commenter regulation pertaining to endangered and it is described in detail in the final specifically requested that the word species or to any threatened species of listing rule for the Northeast Region. ‘‘agent’’ be expanded to include the staff fish or wildlife. The ESA defines ‘‘take’’ Recent acoustic tracking data recovered biologists, consulting biologists, or other as ‘‘to harass, harm, pursue, hunt, shoot, from a receiver in the Back River, qualified personnel who work for the wound, kill, trap, capture, or collect, or Maine, which is associated with the owners of the hydroelectric projects attempt to engage in any such conduct’’ Kennebec River Estuary, also indicated affected by the rule. The commenter felt (16 U.S.C. 1532(19)). The term ‘‘harm’’ the occurrence of Atlantic sturgeon in that this would allow a more prompt is defined by regulation as any act this river (G. Zydlewski, pers. comm.). response to rescue or salvage events,

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which would aid the recovery of the habitat use. We will consider this represented three other DPSs: 2 sturgeon species. The commenter added that information when making future from each of the Chesapeake Bay, South some of these personnel already have decisions about Atlantic sturgeon Atlantic, and Gulf of Maine DPSs. Of the the ability to work with federally research priorities and when 70 sampled and tagged Atlantic endangered species such as shortnose designating critical habitat. sturgeon that were not detected in tidal sturgeon and Atlantic salmon. Atlantic sturgeon are known to make freshwater areas of the Delaware or Response: Salvage of dead endangered extensive marine migrations and to Hudson rivers, 29 were New York Bight shortnose sturgeon is permitted make use of rivers other than their natal DPS sturgeon, 17 were Chesapeake Bay pursuant to section 10(a)(1)(A) of the river (i.e., river of origin) (ASSRT, DPS sturgeon, 14 were South Atlantic ESA under permit number 1614. We 2007). Atlantic sturgeon using the DPS sturgeon, 9 were Gulf of Maine DPS have modified the permit to include Presumpscot River and the Scarborough sturgeon, and 1 was a Carolina DPS Atlantic sturgeon. Individuals who are Marsh Complex are likely to be either sturgeon. Thus, 50 percent of the New interested in participating in Atlantic migrants from the Kennebec Complex, York Bight DPS sturgeon (29 of 58 sturgeon salvage activities and who are sturgeon from one of the four captured) occurred in low-salinity not already identified in the shortnose endangered DPSs, sturgeons that waters of either the Delaware or Hudson sturgeon permit should contact the originate from Canadian rivers (e.g., the rivers. In comparison, less than 20 Northeast Region, Protected Resources St. John or St. Lawrence rivers), or a percent of the non-New York Bight DPS Division (see ADDRESSES) for further combination of all of these. We will sturgeon (2 of 19 Chesapeake Bay DPS, information about Atlantic sturgeon consider this information provided by 2 of 16 South Atlantic DPS, and 2 of 11 salvage activities conducted under these comments when monitoring the Gulf of Maine DPS) occurred in low- permit number 1614. status of Atlantic sturgeon in Maine and salinity waters of the Delaware or Comment 3: Two comments were when completing 5-year status reviews Hudson rivers. received regarding sightings of Atlantic of the listed DPSs. At this time, Individual-based assignment and sturgeon in areas not previously however, we do not have sufficient mixed stock analyses of Atlantic described. One commenter felt that information to revise the current listing sturgeon tissue samples have shown NMFS should investigate the Atlantic of particular DPSs. that Atlantic sturgeon tend to aggregate and shortnose sturgeon within the within the geographic region closest to Other Information Received During the Scarborough Marsh complex and their spawning river (Wirgin et al., in Public Comment Period consider listing them as DPSs, because review). For example, individual-based both species are commonly seen in the Although not submitted as official assignment and mixed stock analysis of Libby River, the Nonesuch River, and comments to the proposed rule, NMFS samples collected from sturgeon the Scarborough River by waterfront became aware of new information on incidentally captured in Canadian residents and resource users (including the Atlantic sturgeon’s use of non-natal fisheries in the Bay of Fundy indicated the commenter). The commenter felt rivers during the public comment that 35% were from the Gulf of Maine that efforts should be made to period. Researchers from Delaware State DPS while only about 1 to 2 percent understand the sturgeon population in University (DSU) provided NMFS with were from the New York Bight DPS. The this area. Similarly, information for an new information on the occurrence of same tests conducted on samples from Atlantic sturgeon occurrence in the 105 acoustically tracked Atlantic Atlantic sturgeon captured in the U.S. Presumpscot River, immediately below sturgeon within tidal freshwaters of the Mid-Atlantic Bight Region revealed that Presumpscot Falls, was provided by Delaware and Hudson rivers (D. Fox, greater than 40 percent of the sturgeon another commenter. The commenter felt DSU, pers. comm.). These sturgeon were were from the New York Bight DPS, that additional investigation into the captured in marine waters near the approximately 20 percent were from the occurrence and status of Atlantic mouth of the Delaware Bay where Chesapeake Bay DPS, and only 8 sturgeon using the Presumpscot River Atlantic sturgeon from different DPSs percent were Gulf of Maine DPS may be warranted and provided a are known to mix. Genetic analysis of a sturgeon (Wirgin and King, 2011). reference for the information on the tissue sample from each sturgeon We considered all of the information documented catch of the sturgeon identified the origin (by DPS) of the 105 received during the public comment (Yoder et al., 2009). sturgeon as: 58 New York Bight DPS period, including the new information Response: We appreciate the sturgeon, 19 Chesapeake Bay DPS that became available but was not information indicating that both sturgeon, 16 South Atlantic DPS submitted as a public comment. We shortnose and Atlantic sturgeon are sturgeon, 11 Gulf of Maine DPS recognize that the information present in these coastal rivers. sturgeon, and 1 Carolina DPS sturgeon. submitted for the 105 acoustically Shortnose sturgeons are currently listed In addition to genetic analyses, each fish tracked Atlantic sturgeon (D. Fox, DSU, as a single species and are not part of was fitted with a tracking tag. Receivers pers. comm.) has not been peer the recent listing determinations for placed in areas of the Delaware and reviewed or published. We also Atlantic sturgeon. The recent listing Hudson rivers, including low-salinity considered that the information for determinations provide information on waters (salinity values as low as 0.5 individual-based assignment and mixed the status and listing of Atlantic ppt), recorded the presence of the tagged stock analyses of Atlantic sturgeon sturgeon as five DPSs (77 FR 5880 and fish within a certain distance of the tissue samples (Wirgin et al., in review) 77 FR 5914; February 6, 2012). Our receiver. Based on the data collected by have not yet been published. We current understanding of Atlantic the receivers for three field seasons concluded, however, that the methods sturgeon in the Gulf of Maine DPS is (2009–2011), 35 of the 105 Atlantic to collect the biological samples from that spawning for the DPS occurs in the sturgeon appeared one or more times the 105 Atlantic sturgeon for analysis, Kennebec Complex (77 FR 5880; within low-salinity waters (less than 0.5 and the methods for analyzing the February 6, 2012). Information on ppt) of the Delaware or Hudson rivers. biological samples for genetics Atlantic sturgeon in the Scarborough Comparing the tracking results and (mitochondrial DNA and microsatellite Marsh complex and in the Presumpscot genetic results, 29 of the 35 Atlantic DNA) and for determining the river and River contributes to our knowledge of sturgeon belonged to the New York DPS of origin for sampled sturgeon of Atlantic sturgeon distribution and Bight DPS. The remaining six fish each study have been used previously

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and reported in published and peer- preclude the likelihood that Atlantic scientific research and the salvage of reviewed publications (Atlantic sturgeon will occur in the vicinity of dead, and the aiding of live, injured Sturgeon Status Review 2007; Damon- non-natal rivers. Therefore, we Gulf of Maine DPS Atlantic sturgeon. Randall et al., 2010; King et al., 2001; concluded that sturgeon belonging to We are publishing this decision as an Wirgin et al., 2002). The same methods the New York Bight, Chesapeake Bay, interim final rule and are allowing 30 were also used for the sturgeon genetics Carolina or South Atlantic DPSs may days of public comment given that the data that support the delineations of occur in waters of less than 20 ppt changes made are based on the new Atlantic sturgeon into five DPSs, and within rivers of the Gulf of Maine DPS. information that was not submitted or the determination to list each DPS Since there is no way of visually posted as public comment on the under the ESA (77 FR 5880 and 77 FR identifying a sturgeon to its DPS, the proposed rule. 5904; February 6, 2012). Therefore, we proposed exemptions could result in the Summary of Status and Threats to the concluded that the information illegal take of Atlantic sturgeon listed as Gulf of Maine DPS provided by D. Fox (pers.comm.) and endangered. Consequently, this interim Wirgin et al. (in review) do provide the final rule applies all of the section 9 Genetic data and tagging information best available information. prohibitions to the Gulf of Maine DPS support the conclusion that the Gulf of We had proposed to apply all of the with no exceptions. Maine DPS includes all Atlantic section 9 prohibitions to the Gulf of Removing the exemptions for certain sturgeon spawned in the watersheds Maine DPS with two exemptions: (1) scientific research and rescue/salvage extending from the Maine/Canadian Scientific research conducted on Gulf of activities will not change as a practical border southward to include all Maine DPS Atlantic sturgeon within the matter the ability to conduct these watersheds draining into the Gulf of riverine portion of its range and in activities, nor will it change the Maine as far south as Chatham, MA. The accordance with accepted NMFS conservation benefit of these regulations marine range, including coastal bays protocol(s); and, (2) salvage of dead and for the Gulf of Maine DPS of Atlantic and estuaries, of Atlantic sturgeon recovery of live stranded or injured Gulf sturgeon. All researchers currently belonging to the Gulf of Maine DPS of Maine DPS Atlantic sturgeon found conducting scientific research for extends from Hamilton Inlet, Labrador, within the riverine range of the Gulf of Atlantic sturgeon within Maine rivers Canada to Cape Canaveral, FL and Maine DPS (76 FR 34023; June 10, and in the Merrimack River, MA have overlaps with the marine range of 2011). All Atlantic sturgeon have the received authorization under section Atlantic sturgeon that originate from the same marine range and appearance 10(a)(1)(A) of the ESA to continue their other four Atlantic sturgeon DPSs. regardless of the DPS of origin (Stein et work. Therefore, removing the Because Atlantic sturgeon use both al., 2004; USFWS, 2004). Therefore, to exemption for scientific research will riverine waters and the marine ensure that only Atlantic sturgeon listed not deter or prevent these ongoing environment, they are affected by a as threatened (i.e., Gulf of Maine DPS scientific studies. Similarly, the multitude of activities. Coast-wide Atlantic sturgeon) would be taken in the authority to conduct salvage for Atlantic commercial over-harvesting throughout course of the exempted activities, we sturgeon from all five of the DPSs is the 19th century and most of the 20th considered in what areas would we currently authorized under a permit. century caused a precipitous decline in expect to find only Atlantic sturgeon Personnel that were already included on Atlantic sturgeon abundance for all of from the Gulf of Maine DPS. Based on the permit when it pertained only to the U.S. Atlantic sturgeon DPSs. A Atlantic sturgeon life history shortnose sturgeon (e.g., State of Maine coast-wide moratorium on harvesting information available at the time of the personnel) were automatically Atlantic sturgeon was implemented in proposed rule, we concluded that using authorized to also conduct salvage 1998 pursuant to Amendment 1 of the a threshold salinity of less than 20 ppt activities for Atlantic sturgeon when the ASMFC Interstate Fishery Management for rivers draining into the Gulf of permit was modified. Other qualifying Plan for Atlantic sturgeon (ASMFC, Maine would ensure that only Gulf of individuals (e.g., hydropower 1998). Retention of Atlantic sturgeon Maine DPS Atlantic sturgeon would personnel) can also be added to the from the U.S. Exclusive Economic Zone occur in those riverine waters and, thus, salvage permit as authorized co- (EEZ) was prohibited by NMFS in 1999 only threatened Gulf of Maine DPS investigators. The salvage permit (64 FR 9449; February 26, 1999). Atlantic sturgeon would be taken as a provides for broader participation in However, despite these prohibitions on result of the exempted activities. Atlantic sturgeon salvage activities than directed fishing for and retention of However, the new information from what would have been provided incidentally caught Atlantic sturgeon, tracked Atlantic sturgeon in the through the salvage exemption in the other anthropogenic activities continue Delaware and Hudson rivers, conflicts 4(d) rule. Lastly, the biological opinions to take Atlantic sturgeon. These include with our previous conclusion. to be completed under section 7 of the incidental bycatch in commercial The available information suggests ESA for federally-managed fisheries and fisheries, vessel strikes, activities that Atlantic sturgeon in Gulf of Maine other activities subject to section 7 will affecting water quality, and habitat marine waters are predominantly Gulf include a provision for resuscitating disturbances such as dredging. of Maine DPS Atlantic sturgeon, and sturgeon. Therefore, while the final 4(d) Spawning has been confirmed only in that the Atlantic sturgeon found in low- rule omits the exemption for the Kennebec Complex (i.e., the salinity waters of the Gulf of Maine DPS resuscitation, the authority to conduct Kennebec and Androscoggin rivers). are more likely to be Gulf of Maine DPS the activity will be provided elsewhere. Spawning may be occurring in the Atlantic sturgeon than Atlantic sturgeon Penobscot River, but this has not been from another DPS. Nevertheless, the Summary of Changes From the confirmed. Atlantic sturgeon are data collected for sturgeon in low- Proposed Rule captured in directed research projects in salinity waters of the Delaware and Based on the new information the Penobscot River and are observed in Hudson rivers indicates that Atlantic collected from sturgeon tracked in low- many other Maine rivers (e.g., the Saco sturgeon will enter low-salinity waters salinity waters of the Delaware and River, including the Scarborough Marsh of rivers that are not part of their DPS Hudson rivers and the individual-based complex, the Presumpscot River, the and the individual-based assignment assignment and mixed stock analysis, Back River). These observations suggest and mixed stock analysis do not we removed the exemptions for that abundance of the Gulf of Maine

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DPS of Atlantic sturgeon is sufficient predominantly in the Gulf of Maine, and committing us to identify, to the such that recolonization to rivers the positive signs regarding distribution maximum extent practicable at the time historically suitable for spawning may and abundance within the DPS, we a species is listed, those activities that be occurring. Additional genetic concluded that the Gulf of Maine DPS would or would not constitute a analyses of collected tissue samples are is not currently endangered. However, violation of section 9 of the ESA. The needed to confirm the origin of Atlantic studies have shown that Atlantic intent of this policy is to increase public sturgeon observed in Maine rivers sturgeon can only sustain low levels of awareness of the effect of a listing on historically used by the Gulf of Maine bycatch and other anthropogenic proposed and ongoing activities within DPS. mortality (e.g., vessel strikes) (Boreman, the species range. Despite the past impacts of 1997; ASMFC, 2007; Kahnle et al., 2007; Based upon available information, we exploitation, industrialization and Brown and Murphy, 2010). We believe that the activities that may take population expansion, the DPS has anticipate that sink gillnet fishing effort Gulf of Maine DPS Atlantic sturgeon persisted and is now showing signs of will increase in the Gulf of Maine as fish include, but are not limited to: (1) potential recovery (e.g., increased stocks are rebuilt. In addition, Commercial and recreational fisheries; abundance and/or expansion into its individual-based assignment and mixed (2) scientific research and monitoring of historical range). In addition, some of stock analysis of samples collected from Atlantic sturgeon, (3) emergency rescue/ the impact from the threats which sturgeon captured in Canadian fisheries salvage of Atlantic sturgeon; (4) facilitated its decline have been in the Bay of Fundy indicated that scientific research and monitoring removed (e.g., directed fishing) or approximately 35% of the Atlantic directed at other species; (5) habitat reduced as a result of improvements in sturgeon were from the Gulf of Maine altering activities affecting passage of water quality since passage of the Clean DPS (Wirgin et al., in review). There are adult sturgeon to and from spawning Water Act (CWA); removal of dams (e.g., no current regulatory measures to areas and availability of habitat for egg, the Edwards Dam on the Kennebec address the bycatch threat to Gulf of larval or juvenile stages (6) entrainment River in 1999); reductions in fishing Maine DPS Atlantic sturgeon posed by and impingement of all life stages of effort in state and federal water, which U.S. Federal fisheries or fisheries that Gulf of Maine DPS sturgeon during the may have resulted in a reduction in occur in Canadian waters. Potential operation of water diversions, dredging overall bycatch mortality; and the changes in water quality as a result of projects, and power plants; (7) activities implementation of strict regulations on global climate change (temperature, impacting water quality for all life the use of fishing gear in Maine state salinity, dissolved oxygen, stages of Gulf of Maine DPS sturgeons waters that incidentally catch sturgeon. contaminants, etc.) in rivers and coastal such as discharge, dumping, or As indicated by the mixed stock waters inhabited by Atlantic sturgeon applications of toxic chemicals, analysis results, fish from the Gulf of will likely affect riverine populations. pollutants, or pesticides into waters or Maine DPS are not commonly taken as Therefore, despite some management areas that contain Gulf of Maine DPS bycatch in areas south of Chatham, MA efforts and improvements, we sturgeons; (8) vessel strikes; and, (9) (Wirgin and King, 2011). Of the 84 concluded that the Gulf of Maine DPS introduction or release of non-native observed Atlantic sturgeon interactions is at risk of becoming endangered in the species that are likely to alter the with fishing gear in the Mid Atlantic/ foreseeable future throughout all of its habitats of, or to compete for space or Carolina region, only 8 percent (e.g., 7 range (i.e., is a threatened species) as a food, with Gulf of Maine DPS Atlantic of the 84 fish) were assigned to the Gulf result of the persistent threats from sturgeons. of Maine DPS (Wirgin and King, 2011). bycatch, habitat impacts from continued This list is not exhaustive. It is Tagging results also indicate that Gulf of degraded water quality and dredging in intended to provide examples of the Maine DPS fish tend to remain within some areas, and the lack of measures to types of activities that are most likely to the waters of the Gulf of Maine and only address these threats. result in take of Gulf of Maine DPS occasionally venture to points south Atlantic sturgeons and a violation of (Eyler, 2006; Eyler, 2011). Protective Regulations for the Gulf of this rule. Whether a take results from a Water quality within the Gulf of Maine DPS of Atlantic Sturgeon particular activity is dependent upon Maine has improved significantly since Protecting the Gulf of Maine DPS of the facts and circumstances of each the mid-1970’s in part due to mandates Atlantic sturgeon from direct forms of incident. The fact that an activity may following implementation of the Clean take, such as physical injury or killing, fall within one of these categories does Water Act and bans on certain pesticide whether incidental or intentional, will not mean that the specific activity will use in the early 1970’s (Davies and help preserve and recover the DPS. cause a take. Due to such factors as Tsomides, 1999; EPA, 2004; Lichter et Likewise, protecting Gulf of Maine DPS location, timing, and scope, specific al., 2006; EPA, 2008; Courtemanch et Atlantic sturgeon from indirect forms of actions may not result in direct or al., 2009) and unlike in areas farther take, such as harm that results from indirect adverse effects on the species. south (e.g., portions of the Taunton habitat degradation, will help to reduce Further, an activity not listed here may River and Chesapeake Bay; Taunton synergistic, negative effects from other in fact result in a take. Questions River Journal, 2006; ASSRT, 2007; EPA, stressors impeding recovery of the DPS. regarding whether specific activities 2008), it is very rare to have issues with Therefore, we are extending the ESA would constitute a take prohibited by low dissolved oxygen concentrations section 9(a)(1)(A) through 9(a)(1)(G) this rule, and general inquiries (that negatively affect Atlantic sturgeon) prohibitions to all activities impacting regarding prohibitions and permits, in the Gulf of Maine. the Gulf of Maine DPS throughout its should be directed to the NMFS A significant amount of fishing in the range. Northeast Regional Office (see Gulf of Maine is conducted using trawl ADDRESSES). gear, which has been documented to Identification of Activities That Would have a lower mortality rate for Atlantic Constitute a Violation of Section 9 of Activities Affecting the Gulf of Maine sturgeon than sink gillnet gear. Given the ESA DPS That Do Not Violate ESA the reduced level of threat to the Gulf On July 1, 1994 (59 FR 34272), NMFS Section 9 of Maine DPS, the anticipated and the FWS (collectively, the Section 9(a)(1)(A), 10(a)(1)(A), and distribution of Gulf of Maine DPS fish ‘‘Services’’) published a policy 10(a)(1)(B) of the ESA provide the

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authority to grant exemptions to the Regulatory Flexibility Act affect any land or water use or natural section 9 prohibitions. Section The Chief Counsel for Regulation of resource of the coastal zone be 10(a)(1)(A) scientific research and the Department of Commerce certified consistent with approved state coastal enhancement permits may authorize to the Chief Counsel for Advocacy of the zone management programs to the exemptions to any of the section 9 Small Business Administration that the maximum extent practicable. NMFS has prohibitions and may be issued to proposed rule, if adopted, would not determined that this action is consistent Federal and non-Federal entities have a significant economic impact on to the maximum extent practicable with conducting research or conservation a substantial number of small entities. the enforceable policies of approved activities that involve directed (i.e., None of the public comments submitted Coastal Zone Management Programs of intentional) take of listed species. to NMFS addressed this certification, each of the states within the riverine Section 10(a)(1)(B) take permits may be and no new information has become range of the Gulf of Maine DPS. Letters issued to non-Federal entities available that would change this documenting NMFS’s determination, performing activities that may determination. As a result, no final along with the proposed rule, were sent incidentally take listed species in the regulatory flexibility analysis is required to the coastal zone management course of an otherwise legal activity. and none has been prepared. program offices in each affected state. A Impacts on the Gulf of Maine DPS from list of the specific state contacts and a actions in compliance with such Paperwork Reduction Act (PRA) copy of the letters are available upon permits would not constitute violations This interim final rule does not request. of this rule. Likewise, federally funded contain a collection-of-information List of Subjects in 50 CFR Part 223 or approved activities that incidentally requirement for the purposes of the take Gulf of Maine DPS Atlantic Paperwork Reduction Act. Endangered and threatened species, sturgeon would not constitute violations Exports, Imports, Transportation. E.O. 13132—Federalism of this rule when the activities are Dated: November 13, 2013. conducted in accordance with an E.O. 13132 requires agencies to take Alan D. Risenhoover, incidental take statement issued through into account any federalism impacts of Director, Office of Sustainable Fisheries, a biological opinion provided by NMFS regulations under development. It performing the functions and duties of the pursuant to section 7 of the ESA. includes specific consultation directives Deputy Assistant Administrator for for situations where a regulation will References Cited Regulatory Programs, National Marine preempt state law, or impose substantial Fisheries Service. A complete list of the references used direct compliance costs on state and in this final rule is available upon local governments (unless required by For the reasons set out in the request or on our Web site (see statute). Pursuant to the Executive Order preamble, 50 CFR part 223 is amended as follows: ADDRESSES). on Federalism, E.O. 13132, we provided notice of the proposed action and Classification PART 223—THREATENED MARINE requested comments from appropriate AND ANADROMOUS SPECIES National Environmental Policy Act state resource agencies of the states in (NEPA) which riverine range for the Gulf of ■ 1. The authority citation for part 223 Maine DPS occurs. No comments were continues to read as follows: Whenever a species is listed as received from the state agencies. threatened, the ESA requires that we Authority: 16 U.S.C. 1531–1543; subpart B, issue regulations as we deem necessary E.O. 12898—Environmental Justice § 223.201–202 also issued under 16 U.S.C. and advisable to provide for its E.O. 12898 requires that Federal 1361 et seq.; 16 U.S.C. 5503(d) for § 223.206(d)(9). conservation. Accordingly, the actions address environmental justice in promulgation of ESA section 4(d) decision-making process. In particular, ■ 2. In subpart B of part 223, add protective regulations is subject to the the environmental effects of the actions § 223.211 to read as follows: requirements of NEPA, and we have should not have a disproportionate § 223.211 Atlantic sturgeon. prepared a final Environmental effect on minority and low-income Assessment (EA) analyzing the 4(d) communities. We have determined that (a) Prohibitions. The prohibitions of regulations and alternatives. The EA is this interim final rule will not have a sections 9(a)(1)(A) through 9(a)(1)(G) of available upon request, via our Web site disproportionately high effect on the ESA (16 U.S.C. 1538) relating to (see ADDRESSES) or via the Federal minority populations or low-income endangered species apply to the eRulemaking Web site at http:// populations. threatened Gulf of Maine Distinct www.regulations.gov. Population Segment (Gulf of Maine Coastal Zone Management Act (16 DPS) of Atlantic sturgeon listed in Executive Order (E.O.) 12866 U.S.C. 1451 et seq.) § 223.102(c)(29). This interim final rule has been Section 307(c)(1) of the Federal (b) [Reserved] determined to be not significant for the Coastal Zone Management Act of 1972 [FR Doc. 2013–27734 Filed 11–18–13; 8:45 am] purposes of E.O. 12866. requires that all Federal activities that BILLING CODE 3510–22–P

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Proposed Rules Federal Register Vol. 78, No. 223

Tuesday, November 19, 2013

This section of the FEDERAL REGISTER ADDRESSES: You may send comments, your comments. We specifically invite contains notices to the public of the proposed using the procedures found in 14 CFR comments on the overall regulatory, issuance of rules and regulations. The 11.43 and 11.45, by any of the following economic, environmental, and energy purpose of these notices is to give interested methods: aspects of this proposed AD. We will persons an opportunity to participate in the • Federal eRulemaking Portal: Go to consider all comments received by the rule making prior to the adoption of the final rules. http://www.regulations.gov. Follow the closing date and may amend this instructions for submitting comments. proposed AD because of those • Fax: 202–493–2251. comments. • DEPARTMENT OF TRANSPORTATION Mail: U.S. Department of We will post all comments we Transportation, Docket Operations, M– receive, without change, to http:// Federal Aviation Administration 30, West Building Ground Floor, Room www.regulations.gov, including any W12–140, 1200 New Jersey Avenue SE., personal information you provide. We 14 CFR Part 39 Washington, DC 20590. will also post a report summarizing each • Hand Delivery: Deliver to Mail substantive verbal contact we receive [Docket No. FAA–2012–1202; Directorate address above between 9 a.m. and 5 about this proposed AD. Identifier 2012–NE–38–AD] p.m., Monday through Friday, except Federal holidays. Discussion RIN 2120–AA64 For service information identified in On December 27, 2012, we issued Airworthiness Directives; Rolls-Royce this AD, contact Rolls-Royce AD–2012–26–14, Amendment 39–17309 Deutschland Ltd & Co KG (Formerly Deutschland Ltd & Co KG, Eschenweg (78 FR 2195, January 10, 2013) (‘‘AD Rolls-Royce Deutschland GmbH, 11, Dahlewitz, 15827 Blankenfelde- 2012–26–14’’) for RRD BR700–715A1– Formerly BMW Rolls-Royce GmbH) Mahlow, Germany; phone: 49 0 33– 30, BR700–715B1–30, and BR700– Turbofan Engines 7086–1200; fax: 49 0 33–7086–1212. 715C1–30 turbofan engines. AD 2012– You may view this service information 26–14 requires removal from service of AGENCY: Federal Aviation at the FAA, Engine & Propeller the HP compressor stages 1 to 6 rotor Administration (FAA), DOT. Directorate, 12 New England Executive disc assembly before exceeding certain ACTION: Notice of proposed rulemaking Park, Burlington, MA. For information thresholds. AD 2012–26–14 resulted (NPRM). on the availability of this material at the from a report of silver chloride-induced FAA, call 781–238–7125. stress corrosion cracking of the HP SUMMARY: We propose to supersede compressor stages 1 to 6 rotor disc existing airworthiness directive (AD) Examining the AD Docket assembly, identified during overhaul. 2012–26–14 that applies to all Rolls- You may examine the AD docket on We issued AD 2012–26–14 to prevent Royce Deutschland Ltd & Co KG (RRD) the Internet at http:// failure of the HP compressor stages 1 to BR700–715A1–30, BR700–715B1–30, www.regulations.gov; or in person at the 6 rotor disc assembly, which could lead and BR700–715C1–30 turbofan engines. Docket Management Facility between 9 to an uncontained engine failure and AD 2012–26–14 currently requires a.m. and 5 p.m., Monday through damage to the airplane. We set a removal from service of the high- Friday, except Federal holidays. The AD separate compliance standard for pressure (HP) compressor stages 1 to 6 docket contains this proposed AD, the engines operated under the Hawaiian rotor disc assembly before exceeding MCAI, the regulatory evaluation, any Flight Mission. The different cycle certain thresholds. Since we issued AD comments received, and other limits are established because the 2012–26–14, RRD developed a new information. The street address for the Hawaiian Flight Mission profile was silver-free nut that, if installed with a Docket Office (phone: 800–647–5527) is sufficiently different from the normal new HP compressor stages 1 to 6 disc in the ADDRESSES section. Comments flight profile as to affect the cyclic assembly, would correct the unsafe will be available in the AD docket loading on the life limited parts. condition identified in AD 2012–26–14. shortly after receipt. Actions Since Existing AD Was Issued Therefore, we propose to supersede AD FOR FURTHER INFORMATION CONTACT: 2012–26–14 to restrict the applicability Robert Morlath, Aerospace Engineer, Since we issued AD 2012–26–14, RRD to engines exposed to silver plated nuts. Engine Certification Office, FAA, Engine released new part number (P/N) Additionally, we are removing the & Propeller Directorate, 12 New England components as a design fix for the issue terminating action statement from AD Executive Park, Burlington, MA 01803; described above. 2012–26–14 based on a comment phone: 781–238 7154; fax: 781–238 We gave the public the opportunity to received. This proposed AD would 7199; email: [email protected]. comment on AD 2012–26–14. We received two comments. The following require removal from service of certain SUPPLEMENTARY INFORMATION: HP compressor stages 1 to 6 rotor disc presents the comments received, and assemblies before exceeding certain Comments Invited the FAA’s response to each comment. thresholds. We are proposing this AD to We invite you to send any written Comments prevent failure of the HP compressor relevant data, views, or arguments about stages 1 to 6 rotor disc assembly, which this proposed AD. Send your comments Request To Include HP Compressor could lead to an uncontained engine to an address listed under the P/Ns in the AD failure and damage to the airplane. ADDRESSES section. Include ‘‘Docket No. Southwest Airlines (SWA) requested DATES: We must receive comments on FAA–2012–1202; Directorate Identifier that we include the P/Ns of the affected this proposed AD by January 21, 2014. 2012–NE–38–AD’’ at the beginning of HP compressor stages 1 to 6 rotor disc

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assemblies in this AD. The commenter Costs of Compliance List of Subjects in 14 CFR Part 39 provided no justification for this Air transportation, Aircraft, Aviation request. We estimate that this proposed AD would affect about 255 engines installed safety, Incorporation by reference, We partially agree. We agree with Safety. revising the Applicability paragraph of on airplanes of U.S. registry. We also this proposed AD because RRD estimate that it would take about 20 The Proposed Amendment developed new P/N silver-free nuts, hours per engine to comply with this Accordingly, under the authority which, if installed with a new HP proposed AD. The average labor rate is delegated to me by the Administrator, compressor stages 1 to 6 rotor disc $85 per hour. Prorated parts life will the FAA proposes to amend 14 CFR part assembly, would correct the unsafe cost about $13,500 per engine. Based on 39 as follows: condition. these figures, we estimate the cost of this proposed AD on U.S. operators to We disagree with identifying specific PART 39—AIRWORTHINESS be $3,876,000. HP compressor stages 1 to 6 rotor disc DIRECTIVES assemblies because this proposed AD Authority for This Rulemaking ■ 1. The authority citation for part 39 applies to all HP compressor stages 1 to continues to read as follows: 6 rotor disc assemblies that have had Title 49 of the United States Code silver-plated nuts installed. We revised specifies the FAA’s authority to issue Authority: 49 U.S.C. 106(g), 40113, 44701. rules on aviation safety. Subtitle I, the Applicability paragraph to clarify § 39.13 [Amended] that this proposed AD applies to all HP Section 106, describes the authority of ■ 2. The FAA amends § 39.13 by compressor stages 1 to 6 rotor disc the FAA Administrator. Subtitle VII, removing airworthiness directive (AD) assemblies that were installed using Aviation Programs, describes in more 2012–26–14, Amendment 39–17309 (78 nuts, P/N AS44862 or P/N AS64367. detail the scope of the Agency’s authority. FR 2195, January 10, 2013), and adding Request To Clarify Parts Eligible for the following new AD: Installation We are issuing this rulemaking under the authority described in Subtitle VII, Rolls-Royce Deutschland Ltd & Co KG: SWA requested that we clarify Docket No. FAA–2012–1202; Directorate Part A, Subpart III, Section 44701, Identifier 2012–NE–38–AD. paragraph (f) of AD 2012–26–14. The ‘‘General requirements.’’ Under that commenter stated that it is unclear if section, Congress charges the FAA with (a) Comments Due Date reinstalling disc assemblies having promoting safe flight of civil aircraft in The FAA must receive comments on this fewer cycles since new (CSN) than that air commerce by prescribing regulations AD action by January 21, 2014. required by paragraph (e) of AD 2012– for practices, methods, and procedures (b) Affected ADs 26–14, is acceptable. the Administrator finds necessary for This AD supersedes AD 2012–26–14, We agree. The intent of AD 2012–26– safety in air commerce. This proposed Amendment 39–17309 (78 FR 2195, January 14 is to allow operation of the disc regulation is within the scope of that 10, 2013). assembly up to the CSN specified in authority because it addresses an unsafe paragraph (e) of AD 2012–26–14. It is condition that is likely to exist or (c) Applicability acceptable to reinstall disc assemblies develop on products identified in this This AD applies to all Rolls-Royce that have fewer CSN than specified in rulemaking action. Deutschland Ltd & Co KG (RRD) BR700– paragraph (e) of AD 2012–26–14. 715A1–30, BR700–715B1–30, and BR700– Regulatory Findings 715C1–30 turbofan engines with high- Therefore, we removed the terminating pressure (HP) compressor stages 1 to 6 rotor action paragraph from this proposed We have determined that this disc assemblies that were ever installed using AD. proposed AD would not have federalism nuts, part number (P/N) AS44862 or P/N Conclusion implications under Executive Order AS64367. 13132. This proposed AD would not (d) Unsafe Condition We reviewed the relevant data and have a substantial direct effect on the considered the comments received. This AD was prompted by a report of silver States, on the relationship between the chloride-induced stress corrosion cracking of FAA’s Determination national Government and the States, or the HP compressor stages 1 to 6 rotor disc on the distribution of power and assembly. We are issuing this AD to prevent We are proposing this AD because we responsibilities among the various failure of the HP compressor stages 1 to 6 evaluated all the relevant information levels of government. rotor disc assembly, which could lead to an and determined the unsafe condition uncontained engine failure and damage to described previously is likely to exist or For the reasons discussed above, I the airplane. certify that the proposed regulation: develop in other products of the same (e) Compliance type design. (1) Is not a ‘‘significant regulatory Comply with this AD within the action’’ under Executive Order 12866, Proposed AD Requirements compliance times specified, unless already (2) Is not a ‘‘significant rule’’ under done. This proposed AD would retain the DOT Regulatory Policies and (1) For BR700–715A1–30 turbofan engines certain requirements of AD 2012–26–14. Procedures (44 FR 11034, February 26, operated under the Hawaiian Flight Mission This proposed AD would change the 1979), only, remove the HP compressor stages 1 to Applicability paragraph to specify the 6 rotor disc assembly from service before P/N nuts associated with reduced life (3) Will not affect intrastate aviation exceeding 16,000 flight cycles since new and would also change paragraph (f) by in Alaska to the extent that it justifies (CSN) or before further flight after the removing language concerning the making a regulatory distinction, and effective date of this AD, whichever occurs later. terminating action. This AD requires (4) Will not have a significant (2) For BR700–715A1–30, BR700–715B1– removal from service of certain HP economic impact, positive or negative, 30, and BR700–715C1–30 turbofan engines compressor stages 1 to 6 rotor disc on a substantial number of small entities (all flight missions except Hawaiian Flight assemblies before exceeding certain under the criteria of the Regulatory Mission), remove the HP compressor stages 1 thresholds. Flexibility Act. to 6 rotor disc assembly from service before

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exceeding 14,000 flight CSN or before further DEPARTMENT OF TRANSPORTATION Examining the AD Docket flight after the effective date of this AD, You may examine the AD docket on whichever occurs later. Federal Aviation Administration the Internet at http:// (f) Prohibition Statement www.regulations.gov; or in person at the 14 CFR Part 39 After the effective date of this AD, do not Docket Management Facility between 9 install an HP compressor stages 1 to 6 rotor [Docket No. FAA–2013–0966; Directorate a.m. and 5 p.m., Monday through Identifier 2013–CE–040–AD] disk assembly into an engine, or an engine Friday, except Federal holidays. The AD with an HP compressor stage 1 to 6 rotor disk RIN 2120–AA64 docket contains this proposed AD, the assembly onto an aircraft, if the HP regulatory evaluation, any comments compressor stages 1 to 6 rotor disk assembly Airworthiness Directives; Rockwell received, and other information. The has ever been operated with nuts, P/N Collins, Inc. Transponders street address for the Docket Office AS44862 or P/N AS64367, and has more CSN (phone: 800–647–5527) is in the AGENCY: Federal Aviation ADDRESSES section. Comments will be than specified in the applicable portion of Administration (FAA), DOT. the compliance section of this AD. available in the AD docket shortly after ACTION: Notice of proposed rulemaking receipt. (g) Definition (NPRM). FOR FURTHER INFORMATION CONTACT: For the purpose of this AD, flight cycles is SUMMARY: We propose to adopt a new Roger A. Souter, FAA, Wichita Aircraft defined as the total flight CSN on the HP airworthiness directive (AD) for certain Certification Office, 1801 Airport Road, compressor stages 1 to 6 rotor disc assembly, Rockwell Collins TPR–720 and TPR– Room 100, Wichita, Kansas 67209; without any pro-rated calculations applied 900 Mode select (S) transponders that telephone: 316–946–4134; facsimile: for different flight missions. are installed on airplanes. This 316–946–4107; email address: (h) Alternative Methods of Compliance proposed AD was prompted by the [email protected]. (AMOCs) identification that the TPR–720 and SUPPLEMENTARY INFORMATION: TPR–900 Mode S transponders respond The Manager, Engine Certification Office, Comments Invited may approve AMOCs for this AD. Use the intermittently to Mode S interrogations procedures found in 14 CFR 39.19, to make from both ground-based and traffic We invite you to send any written your request. collision avoidance system (TCAS-) relevant data, views, or arguments about equipped airplanes. This proposed AD this proposal. Send your comments to (i) Related Information would require testing and calibration of an address listed under the ADDRESSES (1) For more information about this AD, the alignment of the transponders. We section. Include ‘‘Docket No. FAA– contact Robert Morlath, Aerospace Engineer, are proposing this AD to correct the 2013–0966; Directorate Identifier 2013– Engine Certification Office, FAA, Engine & unsafe condition on these products. CE–040–AD’’ at the beginning of your Propeller Directorate, 12 New England DATES: We must receive comments on comments. We specifically invite Executive Park, Burlington, MA 01803; this proposed AD by January 3, 2014. comments on the overall regulatory, phone: 781–238 7154; fax: 781–238 7199; ADDRESSES: You may send comments, economic, environmental, and energy email: [email protected]. using the procedures found in 14 CFR aspects of this proposed AD. We will (2) Refer to MCAI European Aviation 11.43 and 11.45, by any of the following consider all comments received by the Safety Agency AD 2012–0230, dated October methods: closing date and may amend this 30, 2012. You may examine this MCAI in the • Federal eRulemaking Portal: Go to proposed AD because of those AD docket on the Internet at http:// http://www.regulations.gov. Follow the comments. www.regulations.gov/ instructions for submitting comments. We will post all comments we #!documentDetail;D=FAA-2012-1202-0003. • Fax: 202–493–2251. receive, without change, to http:// (3) For service information identified in • Mail: U.S. Department of www.regulations.gov, including any this AD, contact Rolls-Royce Deutschland Ltd Transportation, Docket Operations, M– personal information you provide. We & Co KG, Eschenweg 11, Dahlewitz, 15827 30, West Building Ground Floor, Room will also post a report summarizing each Blankenfelde-Mahlow, Germany; phone: 49 0 W12–140, 1200 New Jersey Avenue SE., substantive verbal contact we receive 33–7086–1200; fax: 49 0 33–7086–1212. Washington, DC 20590. about this proposed AD. (4) You may view this service information • Hand Delivery: Deliver to Mail at the FAA, Engine & Propeller Directorate, address above between 9 a.m. and 5 Discussion 12 New England Executive Park, Burlington, p.m., Monday through Friday, except FAA surveillance and testing of Mode MA. For information on the availability of Federal holidays. S transponders, associated with an this material at the FAA, call 781–238–7125. For service information identified in upcoming change to the National Issued in Burlington, Massachusetts, on this proposed AD, contact Rockwell Airspace System (NAS) ground-based November 8, 2013. Collins, Inc., Collins Aviation Services, system software, exposed a deficiency Colleen M. D’Alessandro, 350 Collins Road NE., M/S 153–250, in the capability of the Rockwell Collins Assistant Directorate Manager, Engine & Cedar Rapids, IA 52498–0001; TPR–720 and TPR–900 series Propeller Directorate, Aircraft Certification telephone: 888–265–5467 (U.S.) or 319– transponders to properly respond to Service. 265–5467; fax: 319–295–4941 (outside Mode S interrogations from both U.S.); email: techmanuals@ ground-based radars and TCAS- [FR Doc. 2013–27633 Filed 11–18–13; 8:45 am] rockwellcollins.com; Internet: http:// equipped airplanes. BILLING CODE 4910–13–P www.rockwellcollins.com/Services_ FAA and Rockwell Collins, Inc. and_Support/Publications.aspx. You investigated the deficiency with the may review this referenced service transponders and determined that age information at the FAA, Small Airplane and lack of depot-level maintenance Directorate, 901 Locust, Kansas City, may cause a shift in the sync phase Missouri 64106. For information on the reversal tolerance causing intermittent availability of this material at the FAA, replies to the Mode S and TCAS II call (816) 329–4148. interrogations. The transponder receiver

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misalignment requires calibration to 101000, Revision No. 1, dated October Proposed AD Requirements correct the problem. 24, 2013. The service letter describes This proposed AD would require This unsafe condition, if not procedures for testing the transponders testing and calibration of the alignment corrected, could result in possible for proper alignment. misalignment issues with the of the TPR–720 and TPR–900 Mode S transponders that could lead to FAA’s Determination transponders. increased pilot and air traffic controller We are proposing this AD because we Costs of Compliance workload as well as reduced separation of airplanes. evaluated all the relevant information We estimate that this proposed AD and determined the unsafe condition affects 4,000 products that are installed Relevant Service Information described previously is likely to exist or on airplanes of U.S. registry. Rockwell Collins, Inc. issued Service develop in other products of the same We estimate the following costs to Information Letter 13–1, 523–0821603– type design. comply with this proposed AD:

ESTIMATED COSTS

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

Test and calibration of the transponders .... 4 × $85 per hour = $340 ...... Not applicable ...... $340 $1,360,000

Authority for This Rulemaking (4) Will not have a significant (ii) TPR–900: CPN 822–0336–001, 822– economic impact, positive or negative, 0336–020, 822–0336–220, 822–0336–440, Title 49 of the United States Code on a substantial number of small entities 822–0336–460, 822–0336–480, 822–0336– specifies the FAA’s authority to issue under the criteria of the Regulatory 902. rules on aviation safety. Subtitle I, (2) The products listed in paragraphs Flexibility Act. section 106, describes the authority of (c)(1)(i) and (c)(1)(ii) of this AD may be the FAA Administrator. Subtitle VII: List of Subjects in 14 CFR Part 39 installed on but not limited to the following Aviation Programs, describes in more airplanes, certificated in any category: Air transportation, Aircraft, Aviation (i) Airbus Models A319, A320, A330, detail the scope of the Agency’s safety, Incorporation by reference, A340; and authority. Safety. (ii) Boeing Models B777, B747, MD–80, We are issuing this rulemaking under and DC–9. the authority described in Subtitle VII, The Proposed Amendment (d) Subject Part A, Subpart III, section 44701: Accordingly, under the authority ‘‘General requirements.’’ Under that delegated to me by the Administrator, Joint Aircraft System Component (JASC)/ section, Congress charges the FAA with Air Transport Association (ATA) of America the FAA proposes to amend 14 CFR part Code 34, Navigation. promoting safe flight of civil aircraft in 39 as follows: air commerce by prescribing regulations (e) Unsafe Condition for practices, methods, and procedures PART 39—AIRWORTHINESS This AD was prompted by the the Administrator finds DIRECTIVES identification that the TPR–720 and TPR–900 necessary for safety in air commerce. Mode S transponders respond intermittently ■ 1. The authority citation for part 39 This regulation is within the scope of to Mode S interrogations from both ground- continues to read as follows: based and traffic collision avoidance system that authority because it addresses an Authority: 49 U.S.C. 106(g), 40113, 44701. equipped airplanes. We are issuing this AD unsafe condition that is likely to exist or to correct possible misalignment issues with develop on products identified in this § 39.13 [Amended] the transponders that could result in rulemaking action. ■ 2. The FAA amends § 39.13 by adding increased pilot and air traffic controller the following new airworthiness workload as well as reduced separation of Regulatory Findings airplanes. directive (AD): We determined that this proposed AD (f) Compliance would not have federalism implications Rockwell Collins, Inc.: Docket No. FAA– Comply with this AD within the under Executive Order 13132. This 2013–0966; Directorate Identifier 2013– CE–040–AD. compliance times specified in paragraph (g) proposed AD would not have a of this AD, unless already done. substantial direct effect on the States, on (a) Comments Due Date (g) Test and Calibration the relationship between the national We must receive comments by January 3, Government and the States, or on the 2014. Within the next 2 years after the effective date of this AD and repetitively thereafter at distribution of power and (b) Affected ADs responsibilities among the various intervals not to exceed every 4 years, send levels of government. None. the TPR–720 and TPR–900 Mode S transponders to a certified repair facility for For the reasons discussed above, I (c) Applicability test and calibration to assure proper certify this proposed regulation: (1) This AD applies to the following alignment following Rockwell Collins, Inc. (1) Is not a ‘‘significant regulatory Rockwell Collins, Inc. Mode S transponders Service Information Letter 13–1, 523– action’’ under Executive Order 12866, that are installed on but not limited to the 0821603–101000, Revision No. 1, dated (2) Is not a ‘‘significant rule’’ under airplanes listed in paragraphs (c)(2)(i) and October 24, 2013. the DOT Regulatory Policies and (c)(2)(ii) of this AD: (i) TPR–720: CPN 622–7878–001, 622– (h) Alternative Methods of Compliance Procedures (44 FR 11034, February 26, 7878–020, 622–7878–120, 622–7878–200, (AMOCs) 1979), 622–7878–201, 622–7878–301, 622–7878– (1) The Manager, Wichita Aircraft (3) Will not affect intrastate aviation 440, 622–7878–460, 622–7878–480, 622– Certification Office (ACO), FAA, has the in Alaska, and 7878–901; and authority to approve AMOCs for this AD, if

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requested using the procedures found in 14 product. The MCAI describes the unsafe Comments Invited CFR 39.19. In accordance with 14 CFR 39.19, condition as main landing gear axle send your request to your principal inspector failure caused by initial fatigue cracking We invite you to send any written or local Flight Standards District Office, as and small pre-damage by corrosion. We relevant data, views, or arguments about appropriate. If sending information directly are issuing this proposed AD to require this proposed AD. Send your comments to the manager of the ACO, send it to the to an address listed under the attention of the person identified in actions to address the unsafe condition ADDRESSES paragraph (i)(1) of this AD. on these products. section. Include ‘‘Docket No. (2) Before using any approved AMOC, FAA–2013–0962; Directorate Identifier DATES: We must receive comments on 2013–CE–028–AD’’ at the beginning of notify your appropriate principal inspector, this proposed AD by January 3, 2014. or lacking a principal inspector, the manager your comments. We specifically invite of the local flight standards district office/ ADDRESSES: You may send comments by comments on the overall regulatory, certificate holding district office. any of the following methods: economic, environmental, and energy • (i) Related Information Federal eRulemaking Portal: Go to aspects of this proposed AD. We will consider all comments received by the (1) For more information about this AD, http://www.regulations.gov. Follow the contact Roger A. Souter, FAA, Wichita ACO, instructions for submitting comments. closing date and may amend this 1801 Airport Road, Room 100, Wichita, • Fax: (202) 493–2251. proposed AD because of those Kansas 67209; telephone: 316–946–4134; • Mail: U.S. Department of comments. facsimile: 316–946–4107; email address: Transportation, Docket Operations, M– We will post all comments we [email protected]. 30, West Building Ground Floor, Room receive, without change, to http:// (2) For service information identified in W12–140, 1200 New Jersey Avenue SE, regulations.gov in Docket No. FAA– this AD, contact Rockwell Collins, Inc., Collins Aviation Services, 350 Collins Road Washington, DC 20590. 2013–0962, including any personal NE., M/S 153–250, Cedar Rapids, IA 52498– • Hand Delivery: U.S. Department of information you provide. We will also 0001; telephone: 888–265–5467 (U.S.) or Transportation, Docket Operations, M– post a report summarizing each 319–265–5467; fax: 319–295–4941 (outside 30, West Building Ground Floor, Room substantive verbal contact we receive U.S.); email: techmanuals@ W12–140, 1200 New Jersey Avenue SE., about this proposed AD. rockwellcollins.com; Internet: http:// _ _ Washington, DC 20590, between 9 a.m. Discussion www.rockwellcollins.com/Services and and 5 p.m., Monday through Friday, Support/Publications.aspx. You may review this referenced service information at the except Federal holidays. The European Aviation Safety Agency FAA, Small Airplane Directorate, 901 Locust, For service information identified in (EASA), which is the Technical Agent Kansas City, Missouri 64106. For information this proposed AD, contact RUAG for the Member States of the European on the availability of this material at the Aerospace Services GmbH, Dornier 228 Community, has issued EASA AD No.: FAA, call (816) 329–4148. Customer Support, P.O. Box 1253, 2013–0209, dated September 10, 2013 Issued in Kansas City, Missouri, on 82231 Wessling, Germany; telephone: (referred to after this as ‘‘the MCAI’’), to November 11, 2013. +49–(0)8153–30–2280; fax: +49– correct an unsafe condition for the Earl Lawrence, (0)8153–30–3030. You may review specified products. The MCAI states: Manager, Small Airplane Directorate, Aircraft copies of the referenced service An event of a main landing gear (MLG) axle Certification Service. information at the FAA, Small Airplane break during touchdown has been reported. [FR Doc. 2013–27640 Filed 11–18–13; 8:45 am] Directorate, 901 Locust, Kansas City, The results of the subsequent technical BILLING CODE 4910–13–P Missouri 64106. For information on the investigation indicated that improper availability of this material at the FAA, restoration of corrosion protection was the call (816) 329–4148. likely cause of the initial fatigue cracking. DEPARTMENT OF TRANSPORTATION This condition, if not detected and Examining the AD Docket corrected, could lead to failure of the main Federal Aviation Administration You may examine the AD docket on landing gear axle, possibly resulting in a the Internet at http:// runway excursion with consequent damage 14 CFR Part 39 www.regulations.gov by searching for to the aeroplane and injury to the occupants. To address this potential unsafe condition, [Docket No. FAA–2013–0962; Directorate and locating it in Docket No. FAA– RUAG Aerospace Services GmbH issued Identifier 2013–CE–028–AD] 2013–0962; or in person at the Docket Service Bulletin (SB) SB–228–300, Rev. 1. Management Facility between 9 a.m. For the reason described above, this AD RIN 2120–AA64 and 5 p.m., Monday through Friday, requires a one-time inspection of the MLG except Federal holidays. The AD docket Airworthiness Directives; DORNIER axle and, depending on findings, contains this proposed AD, the accomplishment of applicable corrective LUFTFAHRT GmbH Airplanes regulatory evaluation, any comments actions. AGENCY: Federal Aviation received, and other information. The You may examine the MCAI in the AD Administration (FAA), Department of street address for the Docket Office docket on the Internet at http:// Transportation (DOT). (telephone (800) 647–5527) is in the www.regulations.gov by searching for ACTION: ADDRESSES section. Comments will be Notice of proposed rulemaking and locating it in Docket No. FAA– (NPRM). available in the AD docket shortly after receipt. 2013–0962. SUMMARY: We propose to adopt a new FOR FURTHER INFORMATION CONTACT: Karl Relevant Service Information airworthiness directive (AD) for all Schletzbaum, Aerospace Engineer, FAA, DORNIER LUFTFAHRT GmbH Model RUAG Aerospace Services GmbH has Small Airplane Directorate, 901 Locust, 228–212 airplanes. This proposed AD issued Dornier 228 Service Bulletin No. Room 301, Kansas City, Missouri 64106; results from mandatory continuing SB–228–300, Revision 1, dated April 25, telephone: (816) 329–4123; fax: (816) airworthiness information (MCAI) 2013. The actions described in this 329–4090; email: karl.schletzbaum@ originated by an aviation authority of service information are intended to faa.gov. another country to identify and correct correct the unsafe condition identified an unsafe condition on an aviation SUPPLEMENTARY INFORMATION: in the MCAI.

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FAA’s Determination and Requirements (1) Is not a ‘‘significant regulatory (1) Inspect the MLG axle following the of the Proposed AD action’’ under Executive Order 12866, Accomplishment Instructions in RUAG (2) Is not a ‘‘significant rule’’ under Aerospace Services GmbH Dornier 228 This product has been approved by the DOT Regulatory Policies and Service Bulletin No. SB–228–300, Revision 1, the aviation authority of another Procedures (44 FR 11034, February 26, dated April 25, 2013, at the time specified in country, and is approved for operation paragraphs (f)(1)(i) or (f)(1)(ii) of this AD. 1979), in the United States. Pursuant to our (i) If, as of the effective date of this AD, the (3) Will not affect intrastate aviation main landing gear (MLG) has 6,000 or more bilateral agreement with this State of in Alaska, and Design Authority, they have notified us hours time-in-service (TIS) since new or is (4) Will not have a significant more than 10 years old: Within the next 400 of the unsafe condition described in the economic impact, positive or negative, hours TIS after the effective date of this AD MCAI and service information on a substantial number of small entities or within the next 6 months after the referenced above. We are proposing this under the criteria of the Regulatory effective date of this AD, whichever occurs AD because we evaluated all Flexibility Act. first. information and determined the unsafe (ii) If, as of the effective date of this AD, condition exists and is likely to exist or List of Subjects in 14 CFR Part 39 the MLG has less than 6,000 hours TIS since develop on other products of the same Air transportation, Aircraft, Aviation new or is between 5 to 10 years old: Before type design. safety, Incorporation by reference, or upon accumulating 6,400 hours TIS or within 6 months after the effective date of Costs of Compliance Safety. this AD, whichever occurs first. The Proposed Amendment (2) If, during the inspections required in We estimate that this proposed AD paragraph (f)(1) of this AD, any discrepancies would affect 2 products of U.S. registry. Accordingly, under the authority are found outside the limits as specified in We also estimate that it would take delegated to me by the Administrator, RUAG Aerospace Services GmbH Dornier about 160 work-hours per product to the FAA proposes to amend 14 CFR part 228 Service Bulletin No. SB–228–300, comply with the basic requirements of 39 as follows: Revision 1, dated April 25, 2013, before this proposed AD. The average labor further flight, make all necessary corrective rate is $85 per work-hour. PART 39—AIRWORTHINESS actions following the Accomplishment Based on these figures, we estimate DIRECTIVES Instructions in RUAG Aerospace Services the cost of the proposed AD on U.S. GmbH Dornier 228 Service Bulletin No. SB– ■ 1. The authority citation for part 39 228–300, Revision 1, dated April 25, 2013. operators to be $27,200, or $13,600 per continues to read as follows: product. (g) Other FAA AD Provisions Authority: 49 U.S.C. 106(g), 40113, 44701. Authority for This Rulemaking The following provisions also apply to this § 39.13 [Amended] AD: (1) Alternative Methods of Compliance Title 49 of the United States Code ■ specifies the FAA’s authority to issue 2. The FAA amends § 39.13 by adding (AMOCs): The Manager, Standards Office, rules on aviation safety. Subtitle I, the following new AD: FAA, has the authority to approve AMOCs section 106, describes the authority of Dornier Luftfahrt GmbH: Docket No. FAA– for this AD, if requested using the procedures found in 14 CFR 39.19. Send information to the FAA Administrator. ‘‘Subtitle VII: 2013–0962; Directorate Identifier 2013– CE–028–AD. ATTN: Karl Schletzbaum, Aerospace Aviation Programs,’’ describes in more Engineer, FAA, Small Airplane Directorate, detail the scope of the Agency’s (a) Comments Due Date 901 Locust, Room 301, Kansas City, Missouri authority. We must receive comments by January 3, 64106; telephone: (816) 329–4123; fax: (816) We are issuing this rulemaking under 2014. 329–4090; email: [email protected]. Before using any approved AMOC on any the authority described in ‘‘Subtitle VII, (b) Affected ADs Part A, Subpart III, section 44701: airplane to which the AMOC applies, notify General requirements.’’ Under that None. your appropriate principal inspector (PI) in section, Congress charges the FAA with (c) Applicability the FAA Flight Standards District Office (FSDO), or lacking a PI, your local FSDO. promoting safe flight of civil aircraft in This AD applies to DORNIER LUFTFAHRT (2) Airworthy Product: For any requirement air commerce by prescribing regulations GmbH 228–212 airplanes, all serial numbers, in this AD to obtain corrective actions from for practices, methods, and procedures certificated in any category. a manufacturer or other source, use these the Administrator finds necessary for (d) Subject actions if they are FAA-approved. Corrective safety in air commerce. This proposed actions are considered FAA-approved if they Air Transport Association of America are approved by the State of Design Authority regulation is within the scope of that (ATA) Code 32: Landing Gear. authority because it addresses an unsafe (or their delegated agent). You are required condition that is likely to exist or (e) Reason to assure the product is airworthy before it develop on products identified in this This proposed AD results from mandatory is returned to service. (3) Reporting Requirements: For any rulemaking action. continuing airworthiness information (MCAI) originated by an aviation authority of another reporting requirement in this AD, a federal Regulatory Findings country to identify and correct an unsafe agency may not conduct or sponsor, and a condition on an aviation product. This AD person is not required to respond to, nor We determined that this proposed AD was prompted by a report of a main landing shall a person be subject to a penalty for would not have federalism implications gear axle failure caused by initial fatigue failure to comply with a collection of under Executive Order 13132. This cracking and detection of small pre-damage information subject to the requirements of proposed AD would not have a by corrosion. We are issuing this AD to detect the Paperwork Reduction Act unless that substantial direct effect on the States, on and correct possible corrosion and cracking collection of information displays a current the relationship between the national of the MLG axle, which could lead to failure valid OMB Control Number. The OMB Government and the States, or on the of the MLG axle resulting in a runway Control Number for this information collection is 2120–0056. Public reporting for distribution of power and excursion with consequent damage to the airplane and injury to the occupants. this collection of information is estimated to responsibilities among the various be approximately 5 minutes per response, levels of government. (f) Actions and Compliance including the time for reviewing instructions, For the reasons discussed above, I Unless already done, do the actions in completing and reviewing the collection of certify this proposed regulation: paragraphs (f)(1) through (f)(2) of this AD: information. All responses to this collection

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of information are mandatory. Comments respondents for individual examination section 777A(c)(2) allows the concerning the accuracy of this burden and when conducting administrative Department to limit its examination to: suggestions for reducing the burden should reviews in which a request for sampling (A) a sample of exporters, producers, or be directed to the FAA at: 800 Independence is timely submitted. types of products that is statistically Ave. SW., Washington, DC 20591, Attn: Information Collection Clearance Officer, DATES: To be assured of consideration, valid based on the information available AES–200. comments must be received no later to the administering authority at the than December 31, 2013. time of selection, or (B) exporters and (h) Related Information ADDRESSES: All comments must be producers accounting for the largest Refer to MCAI European Aviation Safety submitted through the Federal volume of subject merchandise from the Agency (EASA) AD No.: 2013–0209, dated eRulemaking Portal at http:// exporting country that can reasonably September 10, 2013, for related information. www.regulations.gov, Docket No. ITA– be examined. The Department has, to You may examine the MCAI on the Internet date, generally used option (B) in at http://www.regulations.gov by searching 2013–0001, unless the commenter does for and locating it in Docket No. FAA–2013– not have access to the internet. proceedings in which limited 0962. For service information related to this Commenters who do not have access to examination has been necessary. One AD, contact RUAG Aerospace Services the internet may submit the original and consequence of this is that companies GmbH, Dornier 228 Customer Support, P.O. two copies of each set of comments by under investigation or review with Box 1253, 82231 Wessling, Germany; mail or hand delivery/courier. All relatively small import volumes have telephone: +49–(0)8153–30–2280; fax: +49– comments should be addressed to Paul generally been effectively excluded from (0)8153–30–3030. You may review copies of Piquado, Assistant Secretary for individual examination. Over time, this the referenced service information at the Enforcement and Compliance, formerly creates a potential enforcement concern FAA, Small Airplane Directorate, 901 Locust, in AD administrative reviews because, Kansas City, Missouri 64106. For information Import Administration, Room 1870, on the availability of this material at the Department of Commerce, 14th Street as exporters accounting for smaller FAA, call (816) 329–4148. and Constitution Ave. NW., volumes of subject merchandise become Washington, DC 20230. The comments aware that they are effectively excluded Issued in Kansas City, Missouri, on from individual examination by the November 5, 2013. should also be identified by Regulation Identifier Number (RIN) 0625–AA95. Department’s respondent selection Earl Lawrence, The Department will consider all methodology, they may decide to lower Manager, Small Airplane Directorate, Aircraft comments received before the close of their prices as they recognize that their Certification Service. the comment period. The Department pricing behavior will not impact the AD [FR Doc. 2013–27665 Filed 11–18–13; 8:45 am] will not accept comments accompanied rates assigned to them. Sampling such BILLING CODE 4910–13–P by a request that part or all of the companies under section 777A(c)(2)(A) material be treated confidentially of the Tariff Act of 1930, as amended because of its business proprietary (the ‘‘Act’’), is one way to address this DEPARTMENT OF COMMERCE nature or for any other reason. All enforcement concern. Accordingly, the comments responding to this notice will Department is refining its practice with International Trade Administration be a matter of public record and will be respect to the methodology for available for inspection at Enforcement respondent selection in certain AD 19 CFR Part 351 and Compliance’s Central Records Unit proceedings, which the Department is [Docket No. 130930854–3854–01] (Room 7046 of the Herbert C. Hoover publishing elsewhere in this issue of the Building) and online at http:// Federal Register. RIN 0625–AA95 www.regulations.gov and on the To facilitate sampling in Department’s Web site at http:// Modification of Regulations Regarding administrative reviews generally, the trade.gov/enforcement/. Department is proposing to amend Time Limits for Submission of Any questions concerning file Information Pertaining to Requests for section 351.301 of its regulations to formatting, document conversion, establish time limits for filing requests Sampling in Antidumping Duty access on the Internet, or other Administrative Reviews for sampling in administrative reviews, electronic filing issues should be and time limits for comments and AGENCY: International Trade addressed to IA ACCESS Helpdesk, at rebuttal comments to be filed by Administration, Commerce. (202) 482–3150, email address: interested parties with respect to any [email protected]. ACTION: Proposed rule; request for such requests for sampling. Currently, comments. FOR FURTHER INFORMATION CONTACT: 19 CFR 351.301 sets forth the time Sapna Sharma at (202) 482–5285 or limits for submission of factual SUMMARY: The Department of Commerce Shauna Biby at (202) 482–4267. information, including, more recently, (the Department) proposes to modify its SUPPLEMENTARY INFORMATION: Under specific time limits, time limits for regulations to establish time limits for section 777A of the Tariff Act of 1930, certain submissions such as responses the submission of requests for sampling, as amended, the Department is directed to questionnaires, and time limits for and comments on sampling in to determine the individual weighted certain allegations. The Department antidumping (AD) administrative average dumping margin for each proposes to modify 19 CFR 351.301 so reviews. The modifications to the time known exporter and producer of subject that it also includes a specific time limit limits, if adopted, will more clearly merchandise. For administrative for interested parties to submit a request prescribe the time for filing requests for reviews, the requirement pertains to all that the Department use sampling in sampling in AD administrative reviews, exporters and producers that have been selecting exporters or producers for and the time for filing comments and requested for review. However, when individual examination. These time rebuttal comments with respect to such the number of producers/exporters limits should ensure that parties may requests. The modifications will provide (‘‘companies’’) involved in an request the Department to sample, while sufficient opportunity for the antidumping (AD) review is so large that allowing the agency to complete its Department to determine whether it will the Department finds it impracticable to proceedings in accordance with employ sampling in selecting examine each company individually, statutory deadlines.

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In particular, the proposed rule will preamble of this document, and not small business size standard. Although require a domestic interested party repeated here. it is unable to estimate the number of under 19 U.S.C. section 1677(9)(C), (D), producers that may be considered small Statement of the Objectives of, and (E), or (F), or an interested party under entities, the Department does not Legal Basis for, the Proposed Rule; anticipate that the number affected by 19 U.S.C. section 1677(9)(A) that is Identification of All Relevant Federal the proposed rule will be substantial. subject to the administrative review, to Rules Which May Duplicate, Overlap, or Frequently, domestic producers that file its request for the Department to Conflict With the Proposed Rule conduct sampling under 19 U.S.C. bring a petition account for a large section 1677f–1(c)(2)(A), along with its This proposed rule is intended to alter amount of the domestic production comments on data from Customs and the Enforcement and Compliance’s within an industry, so it is unlikely that Border Protection (CBP), within seven regulations for AD proceedings; these domestic producers will be small (7) days after the Department releases specifically, to set forth deadlines for entities. the CBP data to interested parties, submitting requests for sampling in AD In sum, while recognizing that unless otherwise specified. The rule administrative reviews pursuant to 19 exporter and producer affiliates, proposes that the submission include: U.S.C. section 1677f–1(c)(2)(A), and importers, and domestic producers that (1) A request that the Department comments and rebuttal comments submit information in AD proceedings conduct sampling; and (2) factual pertaining to such requests for will likely include some small entities, information and comments on whether sampling. the Department, based on its experience this factual information provides a The legal basis for this rule is 5 U.S.C. with these proceedings and the reasonable basis to believe or suspect 301; 19 U.S.C. 1202 note; 19 U.S.C. 1303 participating parties, does not anticipate that the average export prices and/or note; 19 U.S.C. 1671 et seq.; and 19 that the proposed rule would impact a dumping margins for the largest U.S.C. 3538. No other Federal rules substantial number of small entities. exporters differ from such information duplicate, overlap, or conflict with this proposed rule. Description of the Projected Reporting, that would be associated with the Recordkeeping, and Other Compliance remaining exporters. Under the Number and Description of Small Requirements of the Proposed Rule proposed rule, if an interested party Entities Regulated by the Proposed The proposed rule will establish a were to submit a request for the Action time limit for interested parties to Department to conduct sampling, all The proposed rules will apply to all request that the Department conduct other interested parties will then have a persons submitting a request for sampling in AD administrative reviews ten-day comment period and a five-day sampling to the Department in AD pursuant to 19 U.S.C. section 1677f– rebuttal period to comment on the administrative reviews. This could 1(c)(2)(A). In particular, the proposed sampling request. include exporters and producers of rule will require a domestic interested The proposed rule is intended to merchandise subject to AD proceedings party under 19 U.S.C. section establish a time limit for sampling and their affiliates, importers of such 1677(9)(C), (D), (E), or (F), or an requests in administrative reviews merchandise, and domestic producers of interested party under 19 U.S.C. section which would provide the Department like products. 1677(9)(A) that is subject to the with sufficient time to conduct the Exporters and producers of subject administrative review, to file its request sampling and complete the merchandise are rarely U.S. companies. for the Department to conduct sampling administrative review under its Some producers and exporters of subject under 19 U.S.C. section 1677f– statutory deadlines. In addition, the rule merchandise do have U.S. affiliates, 1(c)(2)(A), along with its comments on is intended to provide parties with some of which may be considered small data from Customs and Border sufficient time to examine the entities under the appropriate Small Protection (CBP), within seven (7) days information related to sampling and Business Administration (SBA) small after the Department releases the CBP provide comment to the Department business size standard. The Department data to interested parties. This will not that would in turn allow the Department is not able to estimate the number of amount to a significant burden as the to make an informed decision on exporters and producer domestic submitter will have to make a whether to use sampling in any affiliates that may be considered small submission requesting that the particular administrative review. entities, but anticipates, based on its Department conduct a review based Classification experience in these proceedings, that upon sampling whenever it wishes that the number will not be substantial. the Department conduct sampling in the Executive Order 12866 Importers may be U.S. or foreign context of its AD administrative This proposed rule has been companies, and some of these entities reviews. determined to be not significant for may be considered small entities under Description of Any Significant purposes Executive Order 12866. the appropriate SBA small business size standard. The Department does not Alternatives to the Proposed Rule That Initial Regulatory Flexibility Analysis anticipate that the proposed rules will Accomplish the Stated Objectives of (IRFA) impact a substantial number of small Applicable Statutes and That Minimize Pursuant to Section 603 of the importers because importers of subject Any Significant Economic Impact of the Regulatory Flexibility Act, the merchandise who are not also producers Proposed Rule on Small Entities Department has prepared the following and exporters (or their affiliates) rarely The Department analyzed two IRFA to analyze the potential impact submit requests for administrative alternatives to this proposed action. The that this proposed rule, if adopted, review and rarely submit factual first alternative, the preferred would have on small entities. information in the course of the alternative, would establish time limits Department’s AD proceedings, and for the submission of requests for Description of the Reasons Why Action those that do tend to be larger entities. sampling. Under this preferred Is Being Considered Some domestic producers of like alternative, parties would incur no The policy reasons for issuing this products may be considered small economic impact because the proposed proposed rule are discussed in the entities under the appropriate SBA provisions are purely administrative in

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nature. This proposed rule provides sampling in selecting respondents for or mail. Do not submit the same parties with guidance on the timing and individual examination under section comments multiple times or by more process by which to request sampling in 777A(c)(2)(A) of the Act are normally than one method. Regardless of which the agency’s proceedings. due no later than 7 days after the method you choose, please state that The second alternative, the ‘‘no Department releases to interested parties your comments refer to Docket No. action’’ alternative, would set forth a data from Customs and Border SSA–2010–0055 so that we may proposed methodology for sampling in Protection pertaining to entries of associate your comments with the AD and CVD proceedings, without merchandise subject to the review. The correct regulation. providing regulated parties with any request for the Department to use Caution: You should be careful to guidance on the timing and process by sampling in the review must include the include in your comments only which to request sampling in the following information: information that you wish to make agency’s proceedings. This alternative (i) A request that the Department publicly available. We strongly urge you would either create no economic conduct sampling with respect to the not to include in your comments any impact, or slightly negative impacts to exporters subject to the review; and personal information, such as your the regulated community due to the (ii) Factual information and comment Social Security number or medical increased confusion generated as a upon whether the factual information information. result of the lack of guidance and presented provides a reasonable basis to 1. Internet: We strongly recommend process for requesting sampling. believe or suspect that the average that you submit your comments via the Although this alternative was export prices and/or dumping margins Internet. Please visit the Federal considered, it was not selected because for the largest exporters differ from such eRulemaking portal at http:// it does not serve the Department’s information that would be associated www.regulations.gov. Use the Search objectives of creating certainty and with the remaining exporters subject to function to find docket number SSA– clarity for participants in AD and CVD the review. 2010–0055. The system will issue a proceedings. (2) Interested parties wishing to tracking number to confirm your comment on the request for sampling submission. You will not be able to Paperwork Reduction Act must submit comments within 10 days view your comment immediately This rule does not require a collection from the date of receipt of the request because we must post each comment of information for purposes of the for sampling. manually. It may take up to a week for Paperwork Reduction Act of 1980, as (3) Interested parties wishing to your comment to be viewable. amended (44 U.S.C. 3501 et seq.). submit rebuttal comments addressing 2. Fax: Fax comments to (410) 966– 2830. List of Subjects in 19 CFR Part 351 comments submitted under paragraph (d)(2) of this section must submit such 3. Mail: Address your comments to Administrative practice and comments within 5 days from the due the Office of Regulations, Social procedure, Antidumping, Business and date for submitting comments in Security Administration, 107 Altmeyer industry, Cheese, Confidential business paragraph (d)(2). Building, 6401 Security Boulevard, information, Countervailing duties, [FR Doc. 2013–27442 Filed 11–18–13; 8:45 am] Baltimore, Maryland 21235–6401. Freedom of information, Investigations, Comments are available for public BILLING CODE 3510–DS–P Reporting and recordkeeping viewing on the Federal eRulemaking requirements. portal at http://www.regulations.gov, or in person, during regular business Dated: November 6, 2013. SOCIAL SECURITY ADMINISTRATION Paul Piquado, hours, by arranging with the contact person identified below. Assistant Secretary for Enforcement and 20 CFR Parts 404 Compliance. FOR FURTHER INFORMATION CONTACT: [Docket No. SSA–2010–0055] Cheryl A. Williams, Office of Medical For the reasons stated, 19 CFR part RIN 0960–AF88 Listings Improvement, Social Security 351 is proposed to be amended as Administration, 6401 Security follows: Revised Medical Criteria for Evaluating Boulevard, Baltimore, Maryland 21235– PART 351—ANTIDUMPING AND Hematological Disorders 6401, (410) 965–1020. For information COUNTERVAILING DUTIES on eligibility or filing for benefits, call AGENCY: Social Security Administration. our national toll-free number, 1–800– ■ 1. The authority citation for 19 CFR ACTION: Notice of proposed rulemaking. 772–1213 or TTY 1–800–325–0778, or part 351 continues to read as follows: visit our Internet site, Social Security SUMMARY: We propose to revise the Online, at http:// Authority: 5 U.S.C. 301; 19 U.S.C. 1202 criteria in the Listing of Impairments www.socialsecurity.gov. note; 19 U.S.C. 1303 note; 19 U.S.C. 1671 et (listings) that we use to evaluate cases seq.; and 19 U.S.C. 3538. SUPPLEMENTARY INFORMATION: involving hematological disorders in ■ 2. In § 351.301, add new paragraph (d) adults and children under titles II and What revisions are we proposing? to read as follows: XVI of the Social Security Act (Act). The We propose to: § 351.301 Time limits for submission of proposed revisions reflect advances in • Revise and expand the introductory factual information. medical knowledge, our adjudicative text to the hematological disorders body * * * * * experience, and information we system for both adults (section 7.00) and (d) Time limits for filing request for received from medical experts and the children (section 107.00); sampling in antidumping duty public. • Revise and reorganize the listings in administrative reviews. DATES: To ensure that your comments this body system to update them and to (1) For antidumping duty are considered, we must receive them make the adult and childhood rules administrative reviews, all submissions no later than January 21, 2014. more consistent; and from parties to the proceeding wishing ADDRESSES: You may submit comments • Add criteria to the adult rules for to request that the Department conduct by one of three methods—Internet, fax, establishing disability under the listings

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based on functional limitations rules. Some of these proposals also for hematological disorders.6 We later associated with hematological disorders. reflect information we received at hosted a policy conference on sickle cell outreach conferences from people who disease and hemophilia in Boston, MA, Why are we proposing to make these have hematological disorders, their on November 18, 2004.7 At this changes? family members, physicians who treat conference, we heard comments and We last issued final rules making hematological disorders, and advocates suggestions for updating and revising comprehensive revisions to the who represent people who have these the current rules for sickle cell disease hematological disorders listings on disorders. These proposals also take into and hemophilia from people who have December 6, 1985.1 Since then, we have consideration recommendations we these disorders, their family members, generally only extended the effective received in public comments in and physicians, advocates, and other date of the rules.2 In the preamble to the response to a previous notice of professionals. In developing this NPRM, 1985 rules, we stated that we would proposed rulemaking (NPRM), which we considered the information we carefully monitor these listings to we explain in more detail below. obtained at this conference, our earlier ensure that they continue to meet meetings, and the comments we How did we develop these proposed program purposes, and that we would received on the 2001 NPRM.8 revise them if warranted. We are now rules? proposing to update the medical criteria What general changes are we On November 27, 2001, we published proposing? in the current listings and provide more an NPRM proposing revisions to both information about how we evaluate the listings for hematological disorders We propose to use only broad hematological disorders. For example: and the listings for malignant neoplastic categories of hematological disorders in • We propose to update current diseases.3 We received public comments the listings instead of the mixture of listing 7.08, which provides transfusion raising significant issues about the specific hematological disorders and criteria for spontaneous hemorrhage proposed listings for some of the (bleeding) in hemophilia. It does not broad categories of hematological reflect the current standard of care, hematological disorders. To obtain more disorders that are in the current listings. because physicians now use other information, on April 18, 2002, we We believe that it would be better to use published a notice providing an only broad categories throughout this treatments for this type of bleeding. 4 • We propose to update current additional public comment period. We body system so that we can include listing 7.17, which addresses bone also held meetings on April 8, 2002, more types of hematological disorders. marrow and stem cell transplantation April 24, 2002, and August 26, 2002, We also propose to remove some of the only for aplastic anemias. Other with medical professionals and current listings and revise the criteria of hematological disorders, such as sickle representatives of advocacy and legal- others. cell disease, may now be treated with services groups. During these meetings, The following chart shows the bone marrow or stem cell we asked the participants for headings of the current listings for transplantation. information about the issues.5 evaluating hematological disorders in We are also proposing changes to the Based on the information we received adults and the name of the proposed current listings to reflect the from these activities, we published a listing, or the proposed listing under considerable adjudicative experience we notice on November 15, 2004, which we would evaluate the disorder have gained since we issued the 1985 withdrawing the 2001 proposed rules that is currently listed:

Current listings * Proposed listings

7.02 Chronic anemia (hematocrit persisting at 30 percent or less due Evaluate under the appropriate listing for the underlying hematological to any cause). disorder or under 7.18. 7.05 Sickle cell disease, or one of its variants ...... 7.05 Hemolytic anemias. 7.06 Chronic thrombocytopenia (due to any cause) ...... Evaluate under 7.08. 7.07 Hereditary telangiectasia ...... Evaluate under the body system where the bleeding occurs. 7.08 Coagulation defects (hemophilia or a similar disorder) ...... 7.08 Disorders of hemostasis. 7.09 Polycythemia vera (with erythrocytosis, splenomegaly, and leu- Removed. kocytosis or thrombocytosis). 7.10 Myelofibrosis (myeloproliferative syndrome) ...... 7.10 Disorders of bone marrow failure. 7.15 Chronic granulocytopenia (due to any cause) ...... Evaluate under 7.10. 7.17 Aplastic anemias with bone marrow or stem cell transplantation 7.17 Hematological disorders treated by bone marrow or stem cell transplantation. 7.18 Repeated complications of hematological disorders. * The listings in this body system are not numbered consecutively. This chart contains the only listings in this body system.

We also propose to replace the current proposed listings. The following chart proposed sections of the introductory introductory text with updated and shows the headings of the current and text: expanded guidance that reflects the

1 (50 FR 50068) 3 66 FR 59306. www.regulations.gov/#!docket 2 We published some revisions to the 4 67 FR 19138. Detail;dct=FR%252BPR%252BN% hematological body system on April 24, 2002, and 5 You can read the notes from these meetings at 252BO%252BSR;rpp=10;po=0;D=SSA-2006-0113. November 15, 2004. See 67 FR 20018 and 69 FR http://www.regulations.gov/#!docket 8 You can view the comments we received on the 67017 (corrected at 70 FR 15227). These revisions Detail;dct=FR%252BPR%252BN%252BO%252BSR; 2001 NPRM by going to http://www.regulations.gov/ were not comprehensive; they addressed only rpp=10;po=0;D=SSA-2006-0113. specific listings. The current listings will no longer #!docketDetail;dct=FR%252BPR%252 be effective as of July 2, 2012, unless we extend 6 69 FR 67039. BN%252BO%252BSR;rpp=10;po=0;D=SSA-2006- them or revise and issue them again. See 75 FR 7 You can read the transcript of the November 18, 0113. 33166. 2004, policy conference at http://

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Current introductory text Proposed introductory text

7.00A Impairment caused by anemia ...... 7.00A What hematological disorders do we evaluate under these listings? 7.00B Chronicity is indicated by ...... 7.00B What evidence do we need to document that you have a hematological disorder? 7.00C Sickle cell disease ...... 7.00C What are hemolytic anemias, and how do we evaluate them under 7.05? 7.00D Coagulation defects ...... 7.00D What are disorders of hemostasis, and how do we evaluate them under 7.08? 7.00E What are disorders of bone marrow failure, and how do we evaluate them under 7.10? 7.00F How do we evaluate bone marrow or stem cell transplantation under 7.17? 7.00G How do we use the functional criteria in 7.18? 7.00H How do we consider your symptoms, including your pain, severe fatigue, and malaise? 7.00I How do we evaluate episodic events in hematological disorders? 7.00J. How do we evaluate hematological disorders that do not meet one of these listings?

What specific changes are we proposing can accept for hematological disorders.9 specific criteria in each proposed listing to make in the introductory text to the We are proposing these changes only to for which we need evidence of listings for evaluating hematological clarify our current rules and are not chronicity. For example, in some of the disorders in adults? proposing that the physician needs to proposed listings we require a certain provide any more information to number of events (such as The following is a detailed establish the existence of the disorder hospitalizations) directly associated explanation of the proposed changes to than we require under our current rules. with the person’s hematological the introductory text: In proposed section 7.00B3, we disorder occurring at least 30 days apart explain how we can establish the and within a 12-month period. Proposed section 7.00A—What existence of a hematological disorder In proposed section 7.00B4, we hematological disorders do we evaluate when we do not have a copy of the explain that we will make every under these listings? laboratory report of a definitive test. reasonable effort to obtain the results of In this new section, we explain which Under section 7.00B3, we need a appropriate laboratory testing. We also persuasive report from a physician that hematological disorders we evaluate explain that we will not purchase tests a positive diagnosis of the person’s under these listings and which we of clotting factors, bone marrow hematological disorder was confirmed aspirations, or bone marrow biopsies. evaluate under the listings in other body by appropriate laboratory analysis or systems. We will not purchase these tests other diagnostic method(s). We also because obtaining, handling, or Proposed section 7.00B—What evidence explain that to be persuasive, the report evaluating the blood or tissue samples do we need to document that you have must state that the person has had the may be too complex, invasive, or costly. a hematological disorder? appropriate definitive laboratory test or tests for diagnosing the disorder and Proposed section 7.00C—What are In this new section, we explain the provide the results, or explain how the hemolytic anemias, and how do we evidence we need to establish the diagnosis was established by other evaluate them under 7.05? existence of a hematological disorder. In diagnostic techniques consistent with In this new section, we describe proposed sections 7.00B1 and B2, we the prevailing state of medical hemolytic anemias and provide provide two methods for establishing knowledge and clinical practice. examples of these disorders. We the existence of the disorder when we We propose to remove the propose to evaluate all hemolytic have a copy of definitive laboratory test information in current section 7.00B anemias under listing 7.05 instead of results. In proposed section 7.00B3, we because it primarily discusses medically listing only sickle cell disease or its provide an additional method for acceptable imaging techniques. These variants. establishing the existence of the techniques would apply to the proposed In proposed section 7.00C2, we disorder when we do not have a copy listings primarily to establish the address a concern raised at our meetings of definitive laboratory test results. presence of certain complications of on sickle cell disease: That some hematological disorders, such as blood hospitalizations are for complications of In proposed section 7.00B1, we clots. There are many other types of explain that a laboratory report of a sickle cell disease, and that our laboratory tests and clinical findings we adjudicators should recognize and definitive test that establishes a may need to establish a hematological consider such hospitalizations when hematological disorder, signed by a disorder and the nature of any determining whether a person’s physician, is sufficient to document that complications. We do not believe it impairment meets current listing 7.05B. you have a hematological disorder. As would be practical or necessary to Since we also have requirements for an alternative, we also explain in include them all in the introductory text hospitalizations in the proposed proposed section 7.00B2 that, if we have of the proposed listings. We propose to listings, we propose to address this a copy of the laboratory report of a remove, rather than expand, the limited concern by providing examples of definitive test that establishes a guidance in current section 7.00B. common complications of hemolytic hematological disorder, but a physician Current section 7.00B also includes anemias (including sickle cell disease) has not signed it, we also require a two sentences that explain how we that could result in hospitalization. report from a physician confirming that establish ‘‘chronicity.’’ We would no These examples include some of the the person has the hematological longer need this rule because we do not complications that we term ‘‘major disorder. We need this statement use the term ‘‘chronicity’’ in any of the visceral episodes’’ in current section because our rules require evidence from proposed listings. Instead, we provide 7.00C. We also specify that the an ‘‘acceptable medical source’’ to hospitalizations do not all have to be for 9 establish the existence of a medically We define the terms ‘‘medically determinable the same complication, such as a determinable impairment, and a impairment’’ and ‘‘acceptable medical source’’ in §§ 404.1508, 404.1513, 416.908, and 416.913 of our painful (vaso-occlusive) crisis. The three physician is the only such source we regulations. hospitalizations we require in proposed

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listing 7.05B may be for three different listing 7.15), and aplastic anemia in section 14.00I of the introductory text complications of a hemolytic anemia. (current listing 7.17). We name these of the immune disorders body system. In proposed section 7.00C3, we conditions as examples of disorders of Proposed listing 7.18 requires a explain that the hemoglobin bone marrow failure to emphasize that marked limitation of activities of daily measurements required in proposed we still include them in the proposed living; a marked limitation in listing 7.05C do not have to occur when hematological disorders listings. In maintaining social functioning; or a the person is free of complications of his proposed section 7.00E2, we provide marked limitation in completing tasks or her hemolytic anemia. The frequency examples of common complications of in a timely manner due to deficiencies of very low hemoglobin measurements disorders of bone marrow failure that in concentration, persistence, or pace. In required in the proposed listing may result in hospitalization or proposed section 7.00G4, we use provides a way for finding disability contribute to functional limitations. As essentially the same definition of without considering the person’s we do for other hematological disorders ‘‘marked’’ as we use in section 14.00I5, complications because it would that require hospitalizations, we specify but we are not including the description establish a hemoglobin level associated in 7.00E2 that the hospitalizations in of ‘‘marked’’ as ‘‘more than moderate with serious chronic anemia. proposed listing 7.10A do not all have but less than extreme.’’ Instead, we We propose a new listing 7.05D for to be for the same complication. We also would use an explanation based on the transfusion-dependent beta thalassemia provide that we will consider other language describing the rating scale for major. In proposed section 7.00C4, we types of systemic infections that may mental disorders in current define the term ‘‘transfusion- result in hospitalizations. As we explain §§ 404.1520a(c)(4) and 416.920a(c)(4). dependent’’ as it is widely used in the below in our summary of proposed This rating scale describes ‘‘marked’’ as medical community to emphasize that listing 7.10A, we would include viral the fourth point on a five-point rating transfusion dependency is necessary to and fungal infections because they can scale. We explain that we would not sustain life. We exclude prophylactic have the same impact as bacterial require our adjudicators to use such a red blood cell (RBC) transfusion for infections required in current listing scale, but that ‘‘marked’’ would be the sickle cell disease because we do not 7.10B. fourth point on a scale of ‘‘no limitation, consider this therapy to be of equal mild limitation, moderate limitation, medical significance to transfusion- Proposed section 7.00F—How do we marked limitation, and extreme dependent thalassemia. evaluate stem cell or bone marrow limitation.’’ With this guideline, it transplantation under 7.17? would be unnecessary to state that Proposed section 7.00D—What are In this section, we explain that under ‘‘marked’’ falls between ‘‘moderate’’ and disorders of hemostasis, and how do we proposed listing 7.17, we will consider ‘‘extreme.’’ In proposed sections 7.00G5, evaluate them under 7.08? a person to be disabled for 12 months 7.00G6, and 7.00G7, we explain what In this new section, we propose to use from the date of bone marrow or stem we mean by ‘‘activities of daily living,’’ a more inclusive term, ‘‘disorders of cell transplantation, or we may consider ‘‘social functioning,’’ and ‘‘completing hemostasis,’’ to reflect the criteria in a person to be disabled for a longer tasks in a timely manner.’’ We based proposed listing 7.08. We provide period if he or she has any serious post- these proposed sections on current examples of these disorders, which transplantation complications, such as sections 14.00I6, 14.00I7, and 14.00I8 in include coagulation defects. graft-versus-host (GVH) disease. The our immune system listings. We propose to remove the guidance in proposed rule is consistent with how we current section 7.00D about Proposed section 7.00H—How do we evaluate bone marrow and stem cell consider your symptoms, including prophylactic therapy because this transplantation in other body systems.10 guidance would no longer be applicable your pain severe fatigue, and malaise? in light of proposed listing 7.08. Proposed section 7.00G—How do we In this section, we explain how we Prophylactic therapy for coagulation use the functional criteria in 7.18? consider the effects of the symptoms of defects is usually self-administered and We are proposing new listing 7.18 to hematological disorders on a person’s does not reflect the requirement in evaluate repeated complications of ability to function. Except for a proposed listing 7.08 that the disorder hematological disorders, including reference to section 7.00 instead of result in hospitalization. those complications listed in 7.05, 7.08, section 14.00, this paragraph would be In proposed section 7.00D2, we and 7.10 that do not have the requisite identical to section 14.00H in our provide examples of common findings for those listings, or other immune system disorders body system. complications of disorders of complications. Under listing 7.18, the Proposed section 7.00I—How do we hemostasis that may result in complications listed in 7.05, 7.08, and evaluate episodic events in hospitalization or contribute to 7.10 that do not have the requisite hematological disorders? functional limitations. We explain that findings for those listings, or the other surgery is a complication in disorders of complications the person has that are Several of our current hematological hemostasis if it requires treatment with not contained in those specific listings, listings include a requirement for events factor infusions or anticoagulant must result in ‘‘significant, documented (pain crises, transfusions, or infections) medication to control bleeding or symptoms or signs.’’ The person must within the 5 months or 12 months coagulation in connection with the also have a marked limitation in at least before we adjudicate a claim. We surgery. one of three broad areas of functioning. propose similar requirements in several of the proposed hematological listings, Proposed section 7.00E—What are We explain each part of this listing in detail in proposed section 7.00G. We but also propose several changes. In disorders of bone marrow failure, and proposed section 7.00I, we would how do we evaluate them under 7.10? modeled listing 7.18 after a number of listings in the immune disorders body explain that under listings 7.05, 7.08, Proposed listing 7.10, Disorders of system (14.00), and we based the rules and 7.10A, we require a specific number bone marrow failure, includes several in proposed section 7.00G on the rules of events within a consecutive 12-month hematological conditions that we now period and that when we use such list separately: Myelofibrosis (current 10 See, for example, section 13.00L4 in the criteria, the 12-month period must occur listing 7.10), granulocytopenia (current malignant neoplastic diseases body system. within the period we are considering in

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connection with your application or thrombocytopenia under proposed new month period prior to adjudication in continuing disability review. Our listing 7.08, ‘‘Disorders of hemostasis.’’ the current listing. We believe the need current rules require that the events • Current listing 7.07 for hereditary for parenteral narcotic medication on must take place in a period immediately telangiectasia. Hereditary telangiectasia such a frequent basis is indicative of before we adjudicate a case. This is a disorder that may result in bleeding recurring severe pain that prevents a proposed change would be consistent from defects in the blood vessels in person from working for the required with how we evaluate episodic events various organs. We believe it is more 12-month duration. We based the in other body systems.11 We believe this appropriate to evaluate hereditary change in frequency of painful crises on change also is both more logical and telangiectasia under the body system our adjudicative experience and the fair, and that it would address many where this bleeding occurs, such as the prevailing state of medical knowledge adjudicator questions we have received digestive body system (for example, and clinical practice. Although people over the years. In some cases, for listing 5.02) or the neurological body who have painful crises less frequently example, we must determine whether a system (for example, listing 11.04). than 6 times in a 12-month period may person was disabled in a period that • Current listing 7.10C for be limited in functioning, we believe ended before we adjudicated the claim. myelofibrosis with intractable bone they are not precluded from engaging in pain. We believe it is more appropriate any gainful activity. How are we proposing to revise the to evaluate this impairment under the We would consider a person with criteria in the listings for evaluating criteria for the affected body system. hemolytic anemia who has less severe hematological disorders in adults? • Current listing 7.15, for chronic painful episodes or other complications We propose to remove several current granulocytopenia. We would include that result in functional limitations hematological listings: granulocytopenia under proposed new under proposed listing 7.18, which we • Current listing 7.02, for chronic listing 7.10, ‘‘Disorders of bone marrow describe in detail below. anemia. We would evaluate anemia that failure.’’ In addition, people who have severe results from an underlying While incorporating the disorders painful episodes may have impairments hematological disorder under the from several of the foregoing listings that meet proposed listing 7.05B. appropriate proposed listing for the into other proposed listings, we also Proposed listing 7.05B corresponds to disorder or under the functional criteria propose either to revise the criteria in current listing 7.05B in that it would in proposed listing 7.18. We would also the current listing or replace it with new include people who have three remove the guidance in current section criteria. Two changes would be common hospitalizations in a 12-month period 7.00A for evaluating impairments to several listings that include criteria because of their hemolytic anemia. We caused by anemia ‘‘according to the for episodic events (for example, painful would revise the current listing as ability of the person to adjust to the crises or hospitalizations): We would follows: reduced oxygen[-]carrying capacity of require at least 30 days between these We explain that the hospitalization the blood.’’ This guidance does not events to ensure that we are evaluating can be for any complication of hemolytic anemia, which, as we explain consider that a person who can adjust separate events, and we would require in proposed section 7.00C2, would to his or her anemia may have other that these events occur within a relevant include painful crises. We believe that serious complications that could be 12-month period, consistent with our three hospitalizations in a 12-month disabling. We provide examples of these rules in other body systems. period establish hemolytic anemia of other complications in proposed The following is a detailed listing-level severity because sections 7.00C, 7.00D, and 7.00E, the explanation of the changes we are complications of hemolytic anemia that sections of the proposed introductory proposing to the hematological disorder require hospitalization are generally text that describe the major categories of listings for evaluating hematological more serious and involve longer hematological disorders in the proposed disorders in adults that need further recovery periods than those treated listings. As we have already mentioned, explanation. solely in outpatient settings. We also some proposed listings establish the Proposed Listing 7.05—Hemolytic specify in the introductory text that the presence of chronic anemia that meets Anemias three hospitalizations do not have to be the requirement of three In addition to expanding the scope of for the same complication. hospitalizations within 12 months current listing 7.05A, we propose to We would include criteria for spaced 30 days apart, essentially make the following changes: hospitalizations similar to current replacing the ‘‘chronicity’’ requirement We would add a requirement for the listing 7.05B but specify that each in current section 7.00B. • treatment of documented painful crises hospitalization must last at least 48 Current listings 7.05D for sickle cell with parenteral (intravenous or hours. We believe a hospitalization disease, 7.09 for polycythemia vera, and intramuscular) narcotic medication. period of at least 48 hours is indicative 7.10A for myelofibrosis with chronic Physicians usually provide this of a severe complication of hemolytic anemia. These listings are reference treatment (in outpatient or inpatient anemia, and would more clearly define listings. Reference listings are settings) only for crises they cannot our intent in the current rule for an redundant because they are met by alleviate with initial treatment, such as ‘‘extended hospitalization.’’ We would satisfying the criteria of other listings, oral narcotics or non-narcotic include the hours the person spends in and we are removing them from our medications. We believe that the the emergency department immediately listings as we update the body proposed requirement for parenteral before hospital admission as part of his systems.12 • narcotic medication will confirm the or her hospitalization. We would Current listing 7.06, for chronic severity of the crisis and provide a more include these hours in the emergency thrombocytopenia. We would include objective measure than the requirement department because the person is likely in the current listing. to be receiving the same intensity of 11 See, for example, section 4.00A3e in the We would also require at least 6 care as he or she will receive in the cardiovascular system. 12 Current listing 7.10A also cross-refers to painful crises treated with parenteral hospital. current listing 7.02, which we are proposing to narcotic medication in a 12-month In proposed listing 7.05C, we would remove. period, instead of the three in the 5- require hemoglobin measurements

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instead of the current requirement for requirements for platelet counts and cause),’’ and 7.17, ‘‘Aplastic anemias.’’ hematocrit values. Hemoglobin is spontaneous bleeding. Some people We would evaluate myelofibrosis, measured directly. Hematocrit values who have thrombocytopenia that granulocytopenia, and aplastic anemias, are calculated, and therefore they are satisfies the criteria in the current listing as well as any other disorder of bone less precise. We would accept the for platelet counts repeatedly below marrow failure, under the proposed hemoglobin measurements required in 40,000/mm3 and one episode of listing. We would also evaluate aplastic proposed listing 7.05C regardless of spontaneous bleeding (current listing anemias and other disorders of bone whether the person was experiencing 7.06A) will have serious limitations in marrow failure treated with bone complications of his or her hemolytic their functioning. Others, however, will marrow or stem cell transplantation anemia at the time of the measurements. not have limitations that prevent them under proposed listing 7.17. Current listing 7.05C requires a from doing any gainful activity for at In proposed listing 7.10A, we would persistence of a hematocrit of 26 percent least 12 continuous months, the require three hospitalizations within a or less, which is comparable to a duration requirement in our definition 12-month period (and occurring at least hemoglobin measurement of of disability. Some people who have 30 days apart) for complications of a approximately 8.5 grams per deciliter thrombocytopenia with the requisite disorder of bone marrow failure (such as (g/dL) or less. We believe that platelet counts and who experience one systemic infections). As we noted earlier hematocrit or hemoglobin at these levels episode of intracranial bleeding (current in our explanation of proposed section does not necessarily correlate with an listing 7.06B) also do not have 7.00E, in proposed 7.10A we would inability to do any gainful activity. impairments that meet the 12-month broaden the criterion in current listing Instead, the proposed listing would duration requirement. Likewise, we 7.10B to include systemic viral and require a hemoglobin measurement of believe that the episodes of bleeding we fungal infections. Systemic viral and 7.0 g/dL or less. We believe a include in the other current listings for fungal infections that must be treated in hemoglobin measurement at this level disorders of hemostasis, including the hospital are as serious as systemic provides a better description of a listing- bleeding episodes resulting from bacterial infections. People who have level impairment because many people hemophilia, do not necessarily preclude episodes of systemic infections that do who have this finding will have related a person from doing any gainful activity not meet the requirement in proposed problems, such as an abnormal for at least 12 months. listing 7.10A may qualify under heartbeat, shortness of breath with mild The requirement for transfusions in proposed listing 7.18. exertion, and significant fatigue. We current listing 7.08 is out of date. We propose to remove current listing also believe that the frequency of the Instead of blood transfusions, 7.10C because intractable bone pain is hemoglobin measurements in the physicians now use blood-clotting factor rare in myelofibrosis. When a person proposed listing provides a way for VIII, factor IX, or other factor has this symptom, we would be able to finding a person to be disabled without components to treat uncontrolled evaluate his or her impairment under having to consider the person’s specific bleeding in hemophilia. A person proposed listing 7.18. We can also use complications since it establishes a usually receives intensive treatment an appropriate listing in the hemoglobin level associated with with factor in a hospital if he or she musculoskeletal body system, as we serious chronic anemia. cannot control a bleed with factor make clear in proposed section 7.00J1. Even though we are proposing a through outpatient treatment or self- Proposed Listing 7.17—Hematological specific laboratory finding for care. We believe that the requirement Disorders Treated by Bone Marrow or evaluating anemia in proposed listing for hospitalization will confirm the Stem Cell Transplantation 7.05C, we would also consider anemia severity of the bleeding episode and under proposed new listing 7.18. provide an objective measure. Similarly, Current listing 7.17 is for aplastic Proposed listing 7.18 will allow us to the requirement for hospitalization anemias treated with bone marrow or make an individualized determination would be an objective measure for other stem cell transplantation. We would about disability for people whose complications of disorders of broaden this listing to include all impairments do not meet proposed hemostasis, such as thromboses (blood hematological disorders treated with listing 7.05. clots) that result from a these transplantation procedures. We would consider the person disabled Proposed Listing 7.08—Disorders of hypercoagulation disorder. We would use the criteria in proposed until ‘‘at least’’ 12 months from the date Hemostasis listing 7.18 to evaluate hemostasis of transplantation. The phrase ‘‘at least’’ This proposed listing corresponds to disorders that do not meet the criteria of would provide our adjudicators with the current listing 7.06, ‘‘Chronic proposed listing 7.08 but that cause flexibility to consider the person thrombocytopenia (due to any cause),’’ complications that affect a person’s disabled for a period longer than 12 and current listing 7.08, ‘‘Coagulation functioning. For example, proposed months from the date of transplantation defects (hemophilia or similar listing 7.18 would include some people if the evidence justifies it. After that disorder).’’ We would evaluate who have joint deformity (arthropathy) period, we would evaluate any residual thrombocytopenia and coagulation from repeated bleeding into a joint. We impairment(s) under the criteria for the defects under this proposed listing may also use the criteria in the affected body system. because they are both disorders of musculoskeletal listings to evaluate the Proposed Listing 7.18—Repeated hemostasis. The proposed listing would effects of joint deformity.13 also cover any other hypo- or Complications of Hematological hypercoagulation disorder. Proposed Listing 7.10—Disorders of Disorders We believe that the criterion in Bone Marrow Failure As we have already noted, we propose proposed 7.08 for complications This proposed listing corresponds to a new listing based on repeated requiring at least three hospitalizations current listings 7.10, ‘‘Myelofibrosis complications of any hematological within a 12-month period and occurring (myeloproliferative syndrome),’’ 7.15, disorder together with functional at least 30 days apart is a more accurate ‘‘Chronic granulocytopenia (due to any limitations that result from the disorder. medical description of listing-level We modeled this proposed listing after thrombocytopenia than the current 13 See proposed section 7.00J1. several listings in our immune disorders

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body system.14 The proposed listing • Would more, but shorter, sections Brousseau, DC, et al., Acute care utilization reflects symptoms, signs, and be better? and rehospitalizations for sickle cell complications of hematological • Are the requirements in the rules disease, Journal of the American Medical disorders. Like immune disorders, clearly stated? Association, Apr;303(13), 1288–1294 • (2010) (available at: http://jama.ama- hematological disorders can be Have we organized the material to assn.org/content/303/13/1288.full.pdf). characterized by episodes of suit your needs? • Cahlon, O., et al., A retrospective complications and symptoms that can Could we improve clarity by adding radiographic review of hemophilic significantly affect functioning. For this tables, lists, or diagrams? shoulder arthropathy, Clinical reason, we believe it is appropriate to • What else could we do to make the Orthopaedics and Related Research, have a listing that includes functional rules easier to understand? Jun;423, 106–111 (2004). limitations for hematological disorders • Do the rules contain technical Cines, D.B., et al., Management of adult like the listings in the immune disorders language or jargon that is not clear? patients with persistent idiopathic • thrombocytopenic purpura following body system. We believe these Would a different format make the rules easier to understand, (for example, splenectomy: A systemic review, Annals functional criteria would help us more of Internal Medicine, 140(2), 112–120 quickly and easily adjudicate some grouping and order of sections, use of (2005). claims. headings, paragraphing)? Collins, P.W., et al., Break-through bleeding When will we start to use these rules? in relation to predicted factor VIII levels How are we proposing to change the in patients receiving prophylactic introductory text and listings for We will not use these rules until we treatment for severe hemophilia A, evaluating hematological disorders in evaluate public comments and publish Journal of Thrombosis and Haemostasis, children? final rules in the Federal Register. All 7(3), 413–420 (2009)(available at: http:// final rules we issue include an effective onlinelibrary.wiley.com/doi/10.1111/ With one exception, the proposed j.1538–7836.2008.03270.x/pdf). childhood introductory text and listings date. We will continue to use our Cunningham, M.J., et al., Complications of are the same as the proposed adult current rules until that date. If we beta-thalassemia major in North rules, apart from minor differences such publish final rules, we will include a America, Blood, Jul(104(1), 34–39 (2004) as referring to children instead of adults. summary of relevant comments we (available at: http://blood The reasons we gave earlier for changing received, our responses to them, and an journal.hematologylibrary.org/content/ or removing current criteria for adults explanation of how we will apply the 104/1/34.full.pdf+html). also apply to the childhood criteria. new rules. Davis, P.N., et al., Sickle cell disease and We are not proposing a listing for communication disorders, Perspectives Regulatory Procedures on Communication Disorders and children like proposed listing 7.18 for Sciences in Culturally and Linguistically adults. Instead, we would use our Executive Order 12866, as Diverse Populations, Apr;7(1), 4–8 current childhood rules for evaluating Supplemented by Executive Order (2001). functional equivalence to the listings.15 13563 Drake, J.H., et al., High school completion These rules accomplish the same rates among men with hemophilia, We consulted with the Office of American Journal of Preventive objective for children as proposed Management and Budget (OMB) and listing 7.18 would for adults. Medicine, 38(4S), S489–S494 determined that these proposed rules (2010)(available at: http:// What is our authority to make rules meet the requirements for a significant www.sciencedirect.com/science?_ and set procedures for determining regulatory action under Executive Order ob=MImg&_imagekey=B6VHT– whether a person is disabled under the 12866, as supplemented by Executive 4YN57D2–C–1&_cdi=6075&_ statutory definition? Order 13563. Thus, OMB reviewed user=949101&_pii=S074937970 _ _ them. 9009623& origin=& Under the Act, we have full power coverDate=04%2F30%2F2010&_ and authority to make rules and Regulatory Flexibility Act sk=999619995.8998&view=c&wchp= regulations and to establish necessary dGLbVzW- and appropriate procedures to carry out We certify that these proposed rules zSkWz&md5=0e9e024dbc5a724f1bc such provisions.16 would not have a significant economic 4cefd588c0b25&ie=/sdarticle.pdf). impact on a substantial number of small Emory University. ‘‘Inpatient management of How long would these proposed rules entities because they affect only fever in the child with sickle cell be effective? individuals. Therefore, the Regulatory disease’’ available at: http:// If we publish these proposed rules as Flexibility Act, as amended, does not www.pediatrics.emory.edu/pem/public/ documents/4565.pdf final rules, they will remain in effect for require us to prepare a regulatory flexibility analysis. Emory University. ‘‘Outpatient evaluation five years after the date they become and management of fever in child with effective, unless we extend them or Paperwork Reduction Act sickle cell disease’’ available at: http:// revise and reissue them. pediatrics.emory.edu/pem/public/ These proposed rules do not impose documents/4566.pdf. Clarity of These Proposed Rules new or affect any existing reporting or Engelbert, H.H., et al., Aerobic capacity in Executive Order 12866, as recordkeeping requirements and are not children with hemophilia, The Journal of supplemented by Executive Order subject to OMB clearance. Pediatrics, Jun;152(6), 833–838 (2008). Eufemia, J., et al., Are there phases to the 13563, requires each agency to write all References rules in plain language. In addition to vaso-occlusive painful episode in sickle We consulted the following references cell disease? Journal of Pain and your substantive comments on this Symptom Management, Apr;29(4), 392– NPRM, we invite your comments on when we developed these proposed rules: 400 (2005) (available at: http:// how to make them easier to understand. download.journals.elsevierhealth.com/ For example: Ballas, S.K., Current issues in sickle cell pain pdfs/journals/0885-3924/PIIS08853924 and its management, The American 05000503.pdf). 14 See listings 14.02B, 14.03B, 14.04D, 14.05E, Society of Hematology Education Fauci, A.S., et al., eds., Harrison’s Principles 14.06B, 14.07C, 14.08K, 14.09D, and 14.10B. Program, 97–105 (2007) (available at: of Internal Medicine. Seventeenth 15 See § 416.926a. http://asheducationbook.hematology Edition, New York: McGraw Hill, 16 Sections 205(a), 702(a)(5), and 1631(d)(1). library.org/cgi/reprint/2007/1/97). 2008:334–364, 628–735.

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Field, J.J., et al., Acute pain in children and Medscape Today, at: http:// Northern California Comprehensive adults with sickle cell disease: www.medscape.com/viewarticle/496545. Thalassemia Center, ‘‘Clinical trials and Management in the absence of evidence- Manno, C.S., Management of Bleeding research,’’ available at: http:// based guidelines, Current Opinion in Disorders in Children, American Society www.thalassemia.com/trials_thal.html. Hematology, May;16(3), 173–178 (2009). of Hematology Education Program, 416– Nuttall, G.A., et al., Current transfusion Folson, A.R., et al., Protein C, antithrombin, 422 (2005), available at: http://ash practices of members of the American and venous thromboembolism incidence: educationbook.hematologylibrary.org/ Society of Anesthesiologists, A prospective population-based study, cgi/reprint/2005/1/416.pdf. Anesthesiology, Dec;99(6), 1433–1443 Arteriosclerosis, Thrombosis, and Matthew, H.M., et al., Allogeneic (2003) (available at: http://www.uic.edu/ Vascular Biology, Jun;22(6), 1018–1022 hematopoietic stem-cell transplantation com/mcas/anes1433.pdf). (2002) (available at: http:// for sickle cell disease, New England Paper, R. and Kelley, L.A., A Guide to Living atvb.ahajournals.org/content/22/6/ Journal of Medicine, Dec;361(24), 2309– With von Willebrand Disease, 1018.full.pdf+html). 2310 (2009) (available at: http:// Georgetown: LA Kelly Communications, Foote, D., et al., Pain as an emergent issue in www.nejm.org/doi/full/10.1056/ 2002. thalassemia, American Journal of NEJMoa0904971#t=article). Passweg, J.R., Haematopoietic stem cell Hematology, May;85(5), 367–370 (2010) Mayo Clinic, ‘‘Anemia,’’ available at: http:// transplantation for immune (available at: http:// www.mayoclinic.com/health/anemia/ thrombopenia and other refractory onlinelibrary.wiley.com/doi/10.1002/ DS00321. autoimmune cytopenias, Best Practice & ajh.21670/pdf; scroll down the page to —‘‘Aplastic anemia,’’ available at: http:// Research Clinical Haematology, view the article). www.mayoclinic.com/health/aplastic- Jun;71(2), 305–315 (2004). Fung, E.B., et al., Relationship between anemia/DS00322. Price, D.T. and Ridker, P.M., Factor V Leiden Chronic Transfusion Therapy and Body —‘‘Sickle cell anemia,’’ available at: http:// mutation and the risks for Composition in Subjects with www.mayoclinic.com/health/sickle-cell- thromboembolic disease: A clinical Thalassemia, The Journal of Pediatrics, anemia/DS00324. perspective, Annals of Internal Oct;157(4), 641–647 (2010). —‘‘Thalassemia,’’ available at: http:// Medicine, Nov;127(10), 895–903 (1997). Geller, A.K. and O’Connor, K.M., The sickle www.mayoclinic.com/health/ Platt, O.S., et al., Mortality in sickle cell cell crisis: A dilemma in pain relief, thalassemia/DS00905. disease—life expectancy and risk factors Mayo Clinic Proceedings, Mar;83(3), —‘‘Von Willebrand disease: Complications,’’ for early death, New England Journal of 320–323 (2008) (available at: http:// available at: http://www.mayoclinic.com/ Medicine, Jun;330(23), 1639–1644 (1994) www.mayoclinicproceedings.com/ health/aplastic-anemia/DS00903/ (available at: http://www.nejm.org/doi/ content/83/3/320.full.pdf+html). DSECTION=complications. full/10.1056/NEJM199406093302303). Gevirtz, C., Pain management in patients McCarty, J.M., Transplant strategies for Platt, O.S., et al., Pain in sickle cell disease— with sickle cell disease, Topics in Pain idiopathic myelofibrosis, Seminars in rates and risk factors, New England Management, Jan;23(6), 1–6 (2008). Hematology, Apr;41(Supplement 3), 23– Journal of Medicine, Jul;325(1), 11–16 Greer, J.P., et al., eds., Wintrobe’s Clinical 29 (2004). (1991) (available at: http:// Hematology. Twelfth Edition, 2 Vols. McClish, D.K., et al., Gender differences in www.nejm.org/doi/full/10.1056/ Philadelphia: Lippincott, Williams & pain and healthcare utilization for adult NEJM199107043250103#t=article). Wilkins, 2008. sickle cell patients: The PiSCES project, Plug, I., et al., Thirty years of hemophilia Harvard Medical School, Information Center treatment in the Netherlands, 1972– for Sickle Cell and Thalassemic Journal of Women’s Health, Disorders, ‘‘Thalassemia’’ (1999) Mar;15(2),146–154 (2006). 2001, Blood, Dec;104(12), 3494–3500 available at: http:// McClish, D.K., et al., Health related quality (2004) (available at: http:// sickle.bwh.harvard.edu/thalover.html. of life in sickle cell patients: The PiSCES bloodjournal.hematologylibrary.org/ Hsieh, M.M., et al., Allogeneic hematopoietic project, Health and Quality of Life content/104/12/3494.full.pdf+html). stem-cell transplantation for sickle cell Outcomes, Aug;3:50 (2005) (available at: Plug, I., Hemophilia on the Threshold of the disease, New England Journal of http://ukpmc.ac.uk/backend/ 21st Century, Chapter 2.3: Social Medicine, Dec;361(24), 2309–2317 (2009) ptpmcrender.cgi?accid=PMC1253526& Functioning of Patients with (available at: http://www.nejm.org/doi/ blobtype=pdf). Hemophilia, Online Sep 2005, available full/10.1056/NEJMoa0904971#t=article). Miller, S.T., et al., Prediction of adverse at: https://openaccess.leidenuniv.nl/ Johnson, S.J., Cerebral infarction in the sickle outcomes in children with sickle cell bitstream/handle/1887/3389/ cell diseases: Current concepts and disease, New England Journal of 2.3.pdf;jsessionid=9576B3FDD0CDF therapeutic guidelines, (2005). Medscape Medicine, Jan;342(2), 83–89 (2000) 922537B2A2948009726?sequence=10. Today, at: http://www.medscape.com/ (available at: http://www.nejm.org/doi/ Rogovik, A.L., et al., Admission and length viewarticle/496546. full/10.1056/NEJM200001133420203). of stay due to painful vaso-occlusive Josephson, C.D., et al., Transfusion in the Munker, R., et al., eds., Modern Hematology: crisis in children, American Journal of patient with sickle cell disease: A critical Biology and Clinical Management, Emergency Medicine, Sep;27(7), 797–801 review of the literature and transfusion Second Edition, Totowa: Humana, 2007. (2009). guidelines, Transfusion Medicine Murray, E.W., et al., von Willebrand Disease: Roosendaal, G., et al., Prophylactic treatment Reviews, Apr;21(2), 118–133 (2007) Pathogenesis, classification, and for prevention of joint disease in (available at: http:// management, Transfusion Medicine hemophilia—cost versus benefit, New medres.med.ucla.edu/Education/ Reviews, Apr;19(2), 93–110 (2008). England Journal of Medicine, syllabus/Hema/pdf/ National Hemophilia Foundation, ‘‘What is a Aug;357(6), 603–605 (2007). 29.%20Sickle%20Cell%202.pdf). bleeding disorder?’’ available at: http:// Rosenthal, F., et al., Hematopoietic stem cell Kilcoyne, R.F., et al., Evolution of imaging www.hemophilia.org/NHFWeb/MainPgs/ transplantation with autologous cord tests in hemophilia with emphasis on MainNHF.aspx?menuid=2&contentid=5. blood units in two patients with severe radiology and magnetic resonance National Institutes of Health, National Heart, aplastic anemia: Time for reassessment?, imaging, Acta Radiologica, Apr;47(3), Lung, and Blood Institute, The Biology of Blood and Marrow 287–296 (2006). Management of Sickle Cell Disease, (NIH Transplantation, Kohne, T., et al., Newly diagnosed idiopathic Publication No. 02–2117, 4th ed. 2002), Feb.13(2)(Supplement1), 39 (2007), thrombocytopenic purpura in childhood: available at: http://www.nhlbi.nih.gov/ available at: http:// an observational study, The Lancet, health/prof/blood/sickle/sc_mngt.pdf. download.journals.elsevierhealth.com/ Dec;358, 2122–2125 (2001). Ng, W.H., et al., Role of imaging in pdfs/journals/1083-8791/PIIS1083879 Kruskall, M.S., The perils of platelet management of hemophilic patients, 106009566.pdf. transfusions, New England Journal of American Journal of Roentgenology, Rossbach, H., et al., Review of Medicine, 337(26), 1914–1915 (1997). May;184(5), 1619–1623 (2005) (available antihemophilic factor injection for the Lusher, J.M., Hemophilia: Clinical aspects, at: http://www.ajronline.org/content/ routine prophylaxis of bleeding episodes management, and complications, (2005), 184/5/1619.full.pdf). and risk of joint damage in severe

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hemophilia A, Vascular Health and Risk Mineral Research, May;24(3), 543–557 Appendix 1 to Subpart P of Part 404— Management, 6, 59–68 (2010) (available (2009) (available at: http://online [Amended] at: http://www.dovepress.com/review-of- library.wiley.com/doi/10.1359/ ■ antihemophilic-factor-injection-for-the- jbmr.080505/pdf). 2. Amend appendix 1 to subpart P of routine-prophylaxis-a3937). Vogiatzi, M.G., et al., Prevalence of fractures part 404 by revising: ■ Sebastiani, P., et al., A network model to among the thalassemia syndromes in a. Item 8 of the introductory text predict the risk of death in sickle cell North America, Bone, Apr;38(4), 571– before part A; disease, Blood, Oct;110(7), 2727–2735 575 (2006). ■ b. Section 7.00 of part A; (2007) (available at: http:// Wandt, H., et al., Safety and Cost ■ c. Section 13.00K2c(ii) of part A; bloodjournal.hematologylibrary.org/ Effectiveness of a 10 × 109/L Trigger for ■ d. Second sentence of section 13.00K3 content/110/7/2727.full). Prophylactic Platelet Transfusions of part A; and Shah, S., et al., Hereditary spherocytosis, Compared With the Traditional 20 × 109/ ■ e. Section 107.00 of part B. Pediatrics in Review, May;25(5), 168–173 L Trigger: a Prospective Comparative The revisions read as follows: (2004). Trial in 105 Patients With Acute Myeloid Sigler, A.T. and Zinkham, W.H. ‘‘Anemia.’’ Leukemia, Blood, May;91(10): 3601– APPENDIX 1 TO SUBPART P OF PART Sports and Exercise for Children with 3606 (1998). 404—LISTING OF IMPAIRMENTS Chronic Health Conditions, Barry Yale, S., et al., Approach to the vaso- * * * * * Goldberg, ed. Champaign: Human occlusive crisis in adults with sickle cell Kinetics, 1995:290–299. 8. Hematological Disorders (7.00 and disease. American Family Physician, Simon, T.L., et al., Practice parameter for the 107.00): (Date 5 years from the effective date Mar;61(5), 1349–1356 (2000) (available use of red blood cell transfusions: of the final rules). at: http://www.aafp.org/afp/20000301/ Developed by the Red Blood Cell * * * * * 1349.html). Administration Practice Guideline Part A Zinkham, W.H., et al., Variable degrees of Development Task Force of the College suppression of hemoglobin S synthesis * * * * * of American Pathologists. Archives of in subjects with hemoglobin SS disease Pathology & Laboratory Medicine, 7.00 HEMATOLOGICAL DISORDERS on a long-term transfusion regimen, Feb;122(2),130–138 (1998) (available at: A. What hematological disorders do we http://findarticles.com/p/articles/mi_ Journal of Pediatrics, Feb;124(2), 215– 219 (1994). evaluate under these listings? qa3725/is_199802/ai_n8803744/ 1. We evaluate non-malignant (non- _ ?tag=mantle skin;content). We included these references in the cancerous) hematological disorders, such as Smiers, F.J., et al., Hematopoietic stem cell rulemaking record for these proposed hemolytic anemias (7.05), disorders of transplantation for hemoglobinopathies: hemostasis (7.08), and disorders of bone Current practice and emerging trends, rules and will make them available for marrow failure (7.10), which disrupt the Pediatric Clinics of North America, inspection by interested persons who normal development and function of white 57(1), Feb;181–205 (2010) (available at: make arrangements with the contact blood cells, red blood cells, platelets, and http://facm.unjbg.edu.pe/ person identified above. blood-clotting factors. revistaspediatria/ 2. We evaluate malignant (cancerous) (Catalog of Federal Domestic Assistance Pediatrics%20Clinics%20Of%20 hematological disorders, such as lymphoma, Program Nos. 96.001, Social Security— North%20America/Febrero leukemia, and multiple myeloma, under the Disability Insurance; 96.002, Social %202010%20%5B57(1)%5D/04.pdf). appropriate listings in 13.00, except for Security—Retirement Insurance; 96.004, Soler, R., et al., Hemophilic arthropathy, a lymphoma associated with human scoring system for magnetic resonance Social Security—Survivors Insurance; and immunodeficiency virus (HIV) infection, imaging, European Radiology, Apr;12(4), 96.006, Supplemental Security Income) which we evaluate under 14.08E. 836–843 (2002). List of Subjects in 20 CFR Part 404 B. What evidence do we need to document Steinberg, M.H., Predicting clinical severity that you have a hematological disorder? We in sickle cell anaemia, British Journal of Administrative practice and need the following evidence to document Haematology, May;129(11), 465–481 procedure, Blind, Disability benefits, that you have a hematological disorder: (2005) (available at: http:// 1. A laboratory report of a definitive test ∼ Old-Age, Survivors, and Disability www.medicine.wisc.edu/ williams/ Insurance, Reporting and recordkeeping that establishes a hematological disorder, sickleseverity.pdf). signed by a physician; or Steinberg, M.H., et al., Effect of hydroxyurea requirements, Social Security. 2. A laboratory report of a definitive test on mortality and morbidity in adult Dated: November 8, 2013. that establishes a hematological disorder that sickle cell anemia, Journal of the Carolyn W. Colvin, is not signed by a physician and a report American Medical Association, from a physician that states you have the Acting Commissioner of Social Security. Apr;289(13), 1645–1651 (2003) (available disorder; or at: http://jama.ama-assn.org/content/ For the reasons set out in the 3. When we do not have a laboratory report 289/13/1645.full.pdf+html). of a definitive test, a persuasive report from Takeshita, K., Beta Thalassemia, Online, Sep preamble, we propose to amend 20 CFR a physician that a positive diagnosis of your 2010, available at: http:// chapter III, part 404, subpart P as set hematological disorder was confirmed by emedicine.medscape.com/article/ forth below: appropriate laboratory analysis or other 206490-overview. diagnostic method(s). To be persuasive, this Vick, L.R., et al., Partial splenectomy PART 404—FEDERAL OLD-AGE, report must state that you had the prevents splenic sequestration crises in SURVIVORS AND DISABILITY appropriate definitive laboratory test or tests sickle cell disease, Journal of Pediatric INSURANCE (1950– ) for diagnosing your disorder and provide the Surgery, Nov;44(11), 2088–2091 (2009). results, or explain how your diagnosis was Vichinsky, E.P., et al., Neuropsychological ■ 1. The authority citation for subpart P established by other diagnostic method(s) dysfunction and neuroimaging of part 404 is revised to read as follows: consistent with the prevailing state of abnormalities in neurologically intact medical knowledge and clinical practice. adults with sickle cell anemia, Journal of Authority: Secs. 202, 205(a)–(b), and (d)– 4. We will make every reasonable effort to the American Medical Association, (h), 216(i), 221(a), (i), and (j), 222(c), 223, obtain the results of appropriate laboratory May:303(18), 1823–1831 (2010) 225, and 702(a)(5) of the Social Security Act testing you have had. We will not purchase (available at: http://jama.ama-assn.org/ (42 U.S.C. 402, 405(a)–(b) and (d)–h), 416(i), complex, costly, or invasive tests, such as content/303/18/1823.full.pdf+html). 421(a), (i), and (j), 422(c), 423, 425, and tests of clotting factors, bone marrow Vogiatzi, M.G., et al., Bone disease in 902(a)(5)); sec. 211(b), Pub. L. 104–193, 110 aspirations, or bone marrow biopsies. thalassemia: A frequent and still Stat. 2105, 2189; sec. 202, Pub. L. 108–203, C. What are hemolytic anemias, and how unresolved problem, Journal of Bone and 118 Stat. 509 (42 U.S.C. 902 note). do we evaluate them under 7.05?

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1. Hemolytic anemias include an array of make enough healthy RBCs, granulocytes connection with your application or disorders that result in premature destruction (specialized types of white blood cells), continuing disability review. of red blood cells (RBCs). The diagnosis of platelets, or a combination of these cell types. 3. To satisfy the functional criteria in 7.18, hemolytic anemia is based on hemoglobin The diagnosis is based on bone marrow your hematological disorder must result in a electrophoresis or analysis of the contents of aspirations or bone marrow biopsies. ‘‘marked’’ level of limitation in one of three the RBC (hemoglobin, enzymes) and the Myelodysplastic syndromes, aplastic anemia, general areas of functioning: Activities of envelope (membrane) of the RBC. Sickle cell granulocytopenia, and myelofibrosis are daily living, social functioning, or difficulties disease, thalassemia, and their variants are some examples of disorders of bone marrow in completing tasks due to deficiencies in some examples of hemolytic anemias. failure. concentration, persistence, or pace. 2. The hospitalizations in 7.05B do not all 2. The hospitalizations in 7.10A do not all Functional limitation may result from the have to be for the same complication of the have to be for the same complication of bone impact of the disease process itself on your hemolytic anemia. They may be for three marrow failure. They may be for three mental functioning, physical functioning, or different complications of the disorder. different complications of the disorder. both your mental and physical functioning. Examples of complications of hemolytic Examples of complications that may result in This limitation could result from persistent anemia that may result in hospitalization hospitalization include uncontrolled or intermittent symptoms, such as pain, include osteomyelitis, painful (vaso- bleeding, anemia, and systemic bacterial, severe fatigue, or malaise, resulting in a occlusive) crisis, pulmonary infections or viral, or fungal infections. limitation of your ability to do a task, to infarctions, acute chest syndrome, 3. For 7.10B, transfusion-dependent for concentrate, to persevere at a task, or to pulmonary hypertension, chronic heart myelodysplastic syndromes or aplastic perform the task at an acceptable rate of failure, gallbladder disease, hepatic (liver) anemias has the same meaning as it does for speed. (Severe fatigue means a frequent sense failure, renal (kidney) failure, nephrotic beta thalassemia major. (See 7.00C4.) of exhaustion that results in significant syndrome, aplastic crisis, and F. How do we evaluate bone marrow or reduced physical activity or mental function. cerebrovascular accident (stroke). stem cell transplantation under 7.17? We Malaise means frequent feelings of illness, 3. For 7.05C, we do not require hemoglobin will consider you to be disabled for 12 bodily discomfort, or lack of well-being that to be measured during a period in which you months from the date of bone marrow or stem result in significantly reduced physical are free of pain or other symptoms of your cell transplantation, or we may consider you activity or mental function.) You may also disorder. We will accept hemoglobin to be disabled for a longer period if you are have limitations because of your treatment measurements made while you are experiencing any serious post-transplantation and its side effects. experiencing complications of your complications, such as graft-versus-host 4. Marked limitation means that the hemolytic anemia. (GVH) disease, frequent infections after symptoms and signs of your hematological 4. Transfusion-dependent in 7.05D refers immunosuppressive therapy, or significant disorder interfere seriously with your ability to the most serious type of beta thalassemia deterioration of organ systems. We do not to function. Although we do not require the major, in which the bone marrow cannot restrict our determination of the onset of use of such a scale, ‘‘marked’’ would be the produce sufficient numbers of RBCs to disability to the date of the transplantation in fourth point on a five-point scale consisting maintain life. Transfusion dependency 7.17. We may establish an earlier onset date of no limitation, mild limitation, moderate requires life-long chronic treatment with RBC of disability due to your transplantation if limitation, marked limitation, and extreme transfusions at least once every 6 weeks. We evidence in your case record supports such limitation. We do not define ‘‘marked’’ by a exclude prophylactic RBC transfusions for a finding. specific number of different activities of daily sickle cell disease (for example, to prevent living or different behaviors in which your stroke) because we do not consider them to G. How do we use the functional criteria be of equal medical significance to in 7.18? social functioning is impaired, or a specific transfusion-dependent thalassemia. 1. When we use the functional criteria in number of tasks that you are able to D. What are disorders of hemostasis, and 7.18, we consider all relevant information in complete, but by the nature and overall how do we evaluate them under 7.08? your case record to determine the impact of degree of interference with your functioning. 1. Disorders of hemostasis are your hematological disorder on your ability You may have a marked limitation when characterized by abnormalities in blood to function independently, appropriately, several activities or functions are impaired, clotting and include both hypocoagulation effectively, and on a sustained basis in a or even when only one is impaired. (inadequate blood clotting) and work setting. Factors we will consider when Additionally, you need not be totally hypercoagulation (excessive blood clotting). we evaluate your functioning under 7.18 precluded from performing an activity to The diagnosis of a disorder of hemostasis is include, but are not limited to: Your have a marked limitation, as long as the based on evaluation of plasma clotting factors symptoms, the frequency and duration of degree of limitation interferes seriously with or platelets. Hemophilia, von Willebrand complications of your hematological your ability to function independently, disease, and thrombocytopenia are some disorder, periods of exacerbation and appropriately, and effectively. The term examples of hypocoagulation disorders. remission, and the functional impact of your ‘‘marked’’ does not imply that you must be Protein C or protein S deficiency and Factor treatment, including the side effects of your confined to bed, hospitalized, or in a nursing V Leiden are examples of hypercoagulation medication. home. disorders. 2. Repeated complications means that the 5. Activities of daily living include, but are 2. The hospitalizations in 7.08 do not all complications occur on an average of three not limited to, such activities as doing have to be for the same complication of a times a year, or once every 4 months, each household chores, grooming and hygiene, disorder of hemostasis. They may be for three lasting 2 weeks or more; or the complications using a post office, taking public different complications of the disorder. do not last for 2 weeks but occur transportation, or paying bills. We will find Examples of complications that may result in substantially more frequently than three that you have a ‘‘marked’’ limitation in hospitalization include uncontrolled times in a year or once every 4 months; or activities of daily living if you have a serious bleeding requiring multiple factor they occur less frequently than an average of limitation in your ability to maintain a concentrate infusions or platelet transfusions, three times a year or once every 4 months but household or take public transportation anemia, thromboses, and embolisms. We will last substantially longer than 2 weeks. Your because of symptoms such as pain, severe also consider any surgery that you have to be impairment will satisfy this criterion fatigue, anxiety, or difficulty concentrating, a complication of your disorder of hemostasis regardless of whether you have the same kind caused by your hematological disorder if you require treatment with factor infusions of complication repeatedly, all different (including complications of the disorder) or or anticoagulant medication to control complications, or any other combination of its treatment, even if you are able to perform bleeding or coagulation in connection with complications; for example, two of the same some self-care activities. your surgery. kind of complication and a different one. You 6. Social functioning includes the capacity E. What are disorders of bone marrow must have the required number of to interact with others independently, failure, and how do we evaluate them under complications with the frequency and appropriately, effectively, and on a sustained 7.10? duration required in this section. basis. It includes the ability to communicate 1. Disorders of bone marrow failure are Additionally, the complications must occur effectively with others. We will find that you characterized by bone marrow that does not within the period we are considering in have a ‘‘marked’’ limitation in maintaining

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social functioning if you have a serious myelofibrosis under 1.00; polycythemia vera OR limitation in social interaction on a sustained under 3.00, 4.00, or 11.00; chronic iron B. Transfusion-dependent myelodysplastic basis because of symptoms such as pain, overload resulting from repeated RBC syndromes or aplastic anemias (see 7.00C4). severe fatigue, anxiety, or difficulty transfusion (transfusion hemosiderosis) 7.17 Hematological disorders treated by concentrating, or a pattern of exacerbation under 3.00, 4.00, or 5.00; and the effects of bone marrow or stem cell transplantation and remission, caused by your hematological intracranial bleeding under 11.00 or 12.00. (see 7.00F). Consider under a disability for at disorder (including complications of the 2. If you have a severe medically least 12 months from the date of disorder) or its treatment, even if you are able determinable impairment(s) that does not transplantation. After that, evaluate any to communicate with close friends or meet a listing, we will determine whether residual impairment(s) under the criteria for relatives. your impairment(s) medically equals a the affected body system. 7. Completing tasks in a timely manner listing. (See §§ 404.1526 and 416.926 of this 7.18 Repeated complications of chapter.) Hematological disorders may be involves the ability to sustain concentration, hematological disorders (see 7.00G2), associated with disorders in other body persistence, or pace to permit timely including those complications listed in 7.05, systems, and we consider the combined completion of tasks commonly found in work 7.08, and 7.10 but without the requisite effects of multiple impairments when we settings. We will find that you have a findings for those listings, or other determine whether they medically equal a ‘‘marked’’ limitation in completing tasks if complications (for example, anemia, you have a serious limitation in your ability listing. If your impairment(s) does not medically equal a listing, you may or may not osteonecrosis, retinopathy, skin ulcers, silent to sustain concentration or pace adequate to central nervous system infarction, cognitive complete work-related tasks because of have the residual functional capacity to engage in substantial gainful activity. We or other mental limitation, or limitation of symptoms, such as pain, severe fatigue, joint movement), resulting in significant, anxiety, or difficulty concentrating caused by proceed to the fourth, and, if necessary, the fifth steps of the sequential evaluation documented symptoms or signs (for example, your hematological disorder (including pain, severe fatigue, malaise, fever, night complications of the disorder) or its process in §§ 404.1520 and 416.920. We use the rules in §§ 404.1594, 416.994, and sweats, headaches, joint or muscle swelling, treatment, even if you are able to do some or shortness of breath), and one of the routine activities of daily living. 416.994a of this chapter, as appropriate, when we decide whether you continue to be following at the marked level (see 7.00G4): H. How do we consider your symptoms, A. Limitation of activities of daily living including your pain, severe fatigue, and disabled. 7.01 Category of Impairments, (see 7.00G5). malaise? Your symptoms, including pain, B. Limitation in maintaining social severe fatigue, and malaise, may be important Hematological Disorders 7.05 Hemolytic anemias (including sickle functioning (see 7.00G6). factors in our determination whether your C. Limitation in completing tasks in a hematological disorder(s) meets or medically cell disease, thalassemia, and their variants) (see 7.00C), with: timely manner due to deficiencies in equals a listing, or in our determination A. Documented painful (vaso-occlusive) concentration, persistence, or pace (see whether you are otherwise able to work. We crises requiring parenteral (intravenous or 7.00G7). cannot consider your symptoms unless you intramuscular) narcotic medication, have medical signs or laboratory findings * * * * * occurring at least six times within a 12- 13.00 Malignant Neoplastic Diseases showing the existence of a medically month period with at least 30 days between determinable impairment(s) that could crises. * * * * * reasonably be expected to produce the K. How do we evaluate specific malignant OR symptoms. If you have such an neoplastic diseases? B. Complications of hemolytic anemia impairment(s), we will evaluate the intensity, * * * * * persistence, and functional effects of your requiring at least three hospitalizations 2. Leukemia. symptoms using the rules throughout 7.00 within a 12-month period and occurring at and in our other regulations. (See least 30 days apart. Each hospitalization must * * * * * §§ 404.1528, 404.1529, 416.928, and 416.929 last at least 48 hours, which can include c. Chronic lymphocytic leukemia. of this chapter.) Additionally, when we hours in a hospital emergency department * * * * * immediately before the hospitalization. (See assess the credibility of your complaints ii. We evaluate the complications and 7.00C2). about your symptoms and their functional residual impairment(s) from chronic effects, we will not draw any inferences from OR lymphocytic leukemia (CLL) under the the fact that you do not receive treatment or C. Hemoglobin measurements of 7.0 grams appropriate listings, such as 13.05A2 or an that you are not following treatment without per deciliter (g/dL) or less, occurring at least appropriate listing in 7.00. considering all of the relevant evidence in three times within a 12-month period with at * * * * * your case record, including any explanations least 30 days between measurements. 3. Macroglobulinemia or heavy chain you provide that may explain why you are OR disease. * * * We evaluate the resulting not receiving or following treatment. D. Transfusion-dependent beta thalassemia impairment(s) under the criteria of 7.00 or I. How do we evaluate episodic events in major (see 7.00C4). any other affected body system. hematological disorders? Some of the listings 7.08 Disorders of hemostasis (including in this body system require a specific number hemophilia and thrombocytopenia) (see * * * * * of events within a consecutive 12-month 7.00D), with complications requiring at least Part B period. (See 7.05, 7.08, and 7.10A.) When we three hospitalizations within a 12-month * * * * * use such criteria, the 12-month period must period and occurring at least 30 days apart. 107.00 HEMATOLOGICAL DISORDERS occur within the period we are considering Each hospitalization must last at least 48 in connection with your application or hours, which can include hours in a hospital A. What hematological disorders do we continuing disability review. emergency department immediately before evaluate under these listings? J. How do we evaluate hematological the hospitalization. (See 7.00D2.) 1. We evaluate non-malignant (non- disorders that do not meet one of these 7.10 Disorders of bone marrow failure cancerous) hematological disorders, such as listings? (including myeloproliferative syndrome, hemolytic anemias (107.05), disorders of 1. These listings are only examples of aplastic anemia, and granulocytopenia) (see hemostasis (107.08), and disorders of bone common hematological disorders that we 7.00E), with: marrow failure (107.10), which disrupt the consider severe enough to prevent a person A. Complications of bone marrow failure normal development and function of white from doing any gainful activity. If your requiring at least three hospitalizations blood cells, red blood cells, platelets, and disorder does not meet the criteria of any of within a 12-month period and occurring at blood-clotting factors. these listings, we must consider whether you least 30 days apart. Each hospitalization must 2. We evaluate malignant (cancerous) have a disorder that satisfies the criteria of last at least 48 hours, which can include hematological disorders, such as lymphoma, a listing in another body system. For hours in a hospital emergency department leukemia, and multiple myeloma under the example, we will evaluate hemophilic joint immediately before the hospitalization. (See appropriate listings in 113.00, except for deformity or bone or joint pain from 7.00E2.) lymphoma associated with human

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immunodeficiency virus (HIV) infection, D. What are disorders of hemostasis, and severe fatigue, and malaise, may be important which we evaluate under 114.08E. how do we evaluate them under 107.08? factors in our determination whether your B. What evidence do we need to document 1. Disorders of hemostasis are hematological disorder meets or medically that you have a hematological disorder? We characterized by abnormalities in blood equals a listing, or in our determination need the following evidence to document clotting and include both hypocoagulation whether you otherwise have marked and that you have a hematological disorder: (inadequate blood clotting) and severe functional limitations. We cannot 1. A laboratory report of a definitive test hypercoagulation (excessive blood clotting). consider your symptoms unless you have that establishes a hematological disorder, The diagnosis of a disorder of hemostasis is medical signs or laboratory findings showing signed by a physician; or based on evaluation of plasma clotting factors the existence of a medically determinable 2. A laboratory report of a definitive test or platelets. Hemophilia, von Willebrand impairment(s) that could reasonably be that establishes a hematological disorder that disease, and thrombocytopenia are some expected to produce the symptoms. If you is not signed by a physician and a report examples of hypocoagulation disorders. have such an impairment(s), we will evaluate from a physician that states you have the Protein C or protein S deficiency and Factor the intensity, persistence, and functional disorder; or V Leiden are examples of hypercoagulation effects of your symptoms using the rules 3. When we do not have a laboratory report disorders. throughout 107.00 and in our other of a definitive test, a persuasive report from 2. The hospitalizations in 107.08 do not all regulations. (See §§ 416.928 and 416.929 of a physician that a positive diagnosis of your have to be for the same complication of a this chapter.) Additionally, when we assess hematological disorder was confirmed by disorder of hemostasis. They may be for three the credibility of your complaints about your appropriate laboratory analysis or other different complications of the disorder. symptoms and their functional effects, we diagnostic method(s). To be persuasive, this Examples of complications that may result in will not draw any inferences from the fact report must state that you had the hospitalization include uncontrolled that you do not receive treatment or that you appropriate definitive laboratory test or tests bleeding requiring multiple factor are not following treatment without for diagnosing your disorder and provide the concentrate infusions or platelet transfusions, considering all of the relevant evidence in results, or explain how your diagnosis was anemia, thromboses, and embolisms. We will your case record, including any explanations established by other diagnostic method(s) also consider any surgery that you have to be you provide that may explain why you are consistent with the prevailing state of a complication of your disorder of hemostasis not receiving or following treatment. medical knowledge and clinical practice. if you require treatment with factor infusions H. How do we evaluate episodic events in 4. We will make every reasonable effort to or anticoagulant medication to control hematological disorders? Some of the listings obtain the results of appropriate laboratory bleeding or coagulation in connection with in this body system require a specific number testing you have had. We will not purchase your surgery. of events within a consecutive 12-month complex, costly, or invasive tests, such as E. What are disorders of bone marrow period. (See 107.05, 107.08, and 107.10A.) When we use such criteria, the 12-month tests of clotting factors, bone marrow failure, and how do we evaluate them under aspirations, or bone marrow biopsies. period must occur within the period we are 107.10? C. What are hemolytic anemias, and how considering in connection with your 1. Disorders of bone marrow failure are do we evaluate them under 107.05? application or continuing disability review. characterized by bone marrow that does not 1. Hemolytic anemias include an array of I. How do we evaluate hematological make enough healthy RBCs, granulocytes disorders that result in premature destruction disorders that do not meet one of these (specialized types of white blood cells), of red blood cells (RBCs). The diagnosis of listings? platelets, or a combination of these cell types. hemolytic anemia is based on hemoglobin 1. These listings are only examples of electrophoresis or analysis of the contents of The diagnosis is based on bone marrow common hematological disorders that we the RBC (hemoglobin, enzymes) and the aspirations or bone marrow biopsies. consider severe enough to result in marked envelope (membrane) of the RBC. Sickle cell Myelodysplastic syndromes, aplastic anemia, and severe functional limitations. If your disease, thalassemia, and their variants are granulocytopenia, and myelofibrosis are disorder does not meet the criteria of any of some examples of hemolytic anemias. some examples of disorders of bone marrow these listings, we must consider whether you 2. The hospitalizations in 107.05B do not failure. have a disorder that satisfies the criteria of all have to be for the same complication of 2. The hospitalizations in 107.10A do not a listing in another body system. For the hemolytic anemia. They may be for three all have to be for the same complication of example, we will evaluate hemophilic joint different complications of the disorder. bone marrow failure. They may be for three deformity under 101.00; polycythemia vera Examples of complications of hemolytic different complications of the disorder. under 103.00, 104.00, or 111.00; chronic iron anemia that may result in hospitalization Examples of complications that may result in overload resulting from repeated RBC include dactylitis, osteomyelitis, painful hospitalization include uncontrolled transfusion (transfusion hemosiderosis) (vaso-occlusive) crisis, pulmonary infections bleeding, anemia, and systemic bacterial, under 103.00, 104.00, or 105.00; and the or infarctions, acute chest syndrome, viral, or fungal infections. effects of intracranial bleeding under 111.00 pulmonary hypertension, chronic heart 3. For 107.10B, transfusion-dependent for or 112.00. failure, gallbladder disease, hepatic (liver) myelodysplastic syndromes or aplastic 2. If you have a severe medically failure, renal (kidney) failure, nephrotic anemias has the same meaning as it does for determinable impairment(s) that does not syndrome, aplastic crisis, and beta thalassemia major. (See 107.00C4.) meet a listing, we will determine whether cerebrovascular accident (stroke). F. How do we evaluate bone marrow or your impairment(s) medically equals a 3. For 107.05C, we do not require stem cell transplantation under 107.17? We listing. (See § 416.926 of this chapter.) hemoglobin to be measured during a period will consider you to be disabled for 12 Hematological disorders may be associated in which you are free of pain or other months from the date of bone marrow or stem with disorders in other body systems, and we symptoms of your disorder. We will accept cell transplantation, or we may consider you consider the combined effects of multiple hemoglobin measurements made while you to be disabled for a longer period if you are impairments when we determine whether are experiencing complications of your experiencing any serious post-transplantation they medically equal a listing. If your hemolytic anemia. complications, such as graft-versus-host impairment(s) does not medically equal a 4. Transfusion-dependent in 107.05D refers (GVH) disease, frequent infections after listing, we will also consider whether it to the most serious type of beta thalassemia immunosuppressive therapy, or significant functionally equals the listings. (See major, in which the bone marrow cannot deterioration of organ systems. We do not § 416.926a of this chapter.) We use the rules produce sufficient numbers of RBCs to restrict our determination of the onset of in § 416.994a of this chapter when we decide maintain life. Transfusion dependency disability to the date of the transplantation in whether you continue to be disabled. requires life-long chronic treatment with RBC 107.17. We may establish an earlier onset of 107.01 Category of Impairments, transfusions at least once every 6 weeks. We disability due to your transplantation if Hematological Disorders exclude prophylactic RBC transfusions for evidence in your case record supports such 107.05 Hemolytic anemias (including sickle cell disease (for example, to prevent a finding. sickle cell disease, thalassemia, and their stroke) because we do not consider them to G. How do we consider your symptoms, variants) (see 107.00C), with: be of equal medical significance to including your pain, severe fatigue, and A. Documented painful (vaso-occlusive) transfusion-dependent thalassemia. malaise? Your symptoms, including pain, crises requiring parenteral (intravenous or

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intramuscular) narcotic medication, ACTION: Notice of proposed rulemaking; telephone (TTY), call the Federal Relay occurring at least six times within a 12- notice to reopen the public comment Service (FRS), toll free, at 1–800–877– month period with at least 30 days between period. 8339. crises. OR SUMMARY: On August 23, 2013, we SUPPLEMENTARY INFORMATION: B. Complications of hemolytic anemia published in the Federal Register (78 Background: On August 23, 2013, we requiring at least three hospitalizations FR 52467) a notice of proposed published a notice of proposed within a 12-month period and occurring at rulemaking regarding modified rulemaking in the Federal Register (78 least 30 days apart. Each hospitalization must academic achievement standards and FR 52467), proposing to amend the last at least 48 hours, which can include alternate assessments based on those regulations governing Title I, Part A of hours in a hospital emergency department modified academic achievement immediately before the hospitalization. (See the Elementary and Secondary 107.00C2.) standards. This notice established an Education Act of 1965, as amended October 7, 2013, deadline for the OR (ESEA) (the ‘‘Title I regulations’’), to no submission of written comments. We longer authorize a State, in satisfying C. Hemoglobin measurements of 7.0 grams are reopening the public comment per deciliter (g/dL) or less, occurring at least ESEA accountability requirements, to three times within a 12-month period with at period for seven days. define modified academic achievement least 30 days between measurements. DATES: For the proposed rule published standards and develop alternate OR on August 23, 2013 (78 FR 52467), assessments based on those modified D. Transfusion-dependent beta thalassemia written submissions must be received academic achievement standards. These major (see 107.00C4). by the Department on or before proposed amendments would permit, as 107.08 Disorders of hemostasis November 26, 2013. a transitional measure and for a limited (including hemophilia and ADDRESSES: Submit your comments period of time, States that administered thrombocytopenia) (see 107.00D), with through the Federal eRulemaking Portal alternate assessments based on modified complications requiring at least three or via U.S. mail, commercial delivery, or academic achievement standards in the hospitalizations within a 12-month period hand delivery. We will not accept 2012–13 school year to continue to and occurring at least 30 days apart. Each comments submitted by fax or by email administer alternate assessments based hospitalization must last at least 48 hours, on modified academic achievement which can include hours in a hospital or those submitted after the comment emergency department immediately before period. To ensure that we do not receive standards and include the results in the hospitalization. (See 107.00D2.) duplicate copies, please submit your adequate yearly progress (AYP) 107.10 Disorders of bone marrow failure comments only once. In addition, please calculations, subject to limitations on (including myeloproliferative syndrome, include the Docket ID at the top of your the number of proficient scores that may aplastic anemia, and granulocytopenia) (see comments. be counted for AYP purposes. The 107.00E), with: • Federal eRulemaking Portal: Go to notice of proposed rulemaking A. Complications of bone marrow failure www.regulations.gov to submit your established an October 7, 2013, deadline requiring at least three hospitalizations comments electronically. Information for the submission of written comments. within a 12-month period and occurring at Though the Federal eRulemaking Portal least 30 days apart. Each hospitalization must on using Regulations.gov, including last at least 48 hours, which can include instructions for accessing agency was in operation during the recent hours in a hospital emergency department documents, submitting comments, and government shutdown, which included immediately before the hospitalization. (See viewing the docket, is available on the the final seven days of the original 107.00E2.) site under ‘‘Are you new to the site?’’ public comment period, we recognize OR • U.S. Mail, Commercial Delivery, or that interested parties reasonably may B. Transfusion-dependent myelodysplastic Hand Delivery: If you mail or deliver have believed that the government syndromes or aplastic anemias (see your comments about the proposed shutdown resulted in a shutdown of the 107.00C4). amendments, address them to Monique public comment period. To ensure that 107.17 Hematological disorders treated Chism, Director, Student Achievement all interested parties are provided the by bone marrow or stem cell transplantation and School Accountability Programs, opportunity to submit comments, we are (see 107.00F). Consider under a disability for Office of Elementary and Secondary reopening the public comment period at least 12 months from the date of for seven days. transplantation. After that, evaluate any Education, Attention: AA–MAAS residual impairment(s) under the criteria for NPRM, U.S. Department of Education, Accessible Format: Individuals with the affected body system. 400 Maryland Avenue SW., Room disabilities can obtain this document in * * * * * 3W224, Washington, DC 20202–6132. an accessible format (e.g., braille, large Privacy Note: The Department’s print, audiotape, or compact disc) on [FR Doc. 2013–27514 Filed 11–18–13; 8:45 am] policy is to make all comments received request to the contact person listed BILLING CODE 4191–02–P from members of the public available for under FOR FURTHER INFORMATION public viewing in their entirety on the CONTACT. Federal eRulemaking Portal at Electronic Access to This Document: DEPARTMENT OF EDUCATION www.regulations.gov. Therefore, The official version of this document is commenters should be careful to the document published in the Federal 34 CFR Part 200 include in their comments only Register. Free Internet access to the information that they wish to make official edition of the Federal Register publicly available. [Docket ID ED–2013–OESE–0018] and the Code of Federal Regulations is FOR FURTHER INFORMATION CONTACT: available via the Federal Digital System Title I—Improving the Academic Carlos Martinez, U.S. Department of at: www.gpo.gov/fdsys. At this site you Achievement of the Disadvantaged Education, 400 Maryland Avenue SW., can view this document, as well as all Room 3W104, Washington, DC 20202– other documents of this Department AGENCY: Office of Elementary and 6132. Telephone: 202–260–1440. published in the Federal Register, in Secondary Education, Department of If you use a telecommunications text or Adobe Portable Document Education. device for the deaf (TDD) or a text Format (PDF). To use PDF, you must

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have Adobe Acrobat Reader, which is 5. Hand Delivery: Douglas Aburano, ENVIRONMENTAL PROTECTION available free at this site. Chief, Attainment Planning and AGENCY You may also access documents of the Maintenance Section, Air Programs Department published in the Federal Branch (AR–18J), U.S. Environmental 40 CFR Part 98 Register by using the article search Protection Agency, 77 West Jackson [EPA–HQ–OAR–2009–0927; FRL–9902–52– feature at: www.federalregister.gov. Boulevard, Chicago, Illinois 60604. OAR] Specifically, through the advanced Such deliveries are only accepted RIN 2060–AR78 search feature at this site, you can limit during the Regional Office normal hours your search to documents published by of operation, and special arrangements Greenhouse Gas Reporting Program: the Department. should be made for deliveries of boxed Amendments and Confidentiality Dated: November 14, 2013. information. The Regional Office official Determinations for Fluorinated Gas Deborah S. Delisle, hours of business are Monday through Production Assistant Secretary for Elementary and Friday, 8:30 a.m. to 4:30 p.m., excluding AGENCY: Environmental Protection Secondary Education. Federal holidays. [FR Doc. 2013–27699 Filed 11–18–13; 8:45 am] Agency (EPA). Please see the direct final rule which ACTION BILLING CODE 4000–01–P : Proposed rule. is located in the Rules section of this Federal Register for detailed SUMMARY: The EPA is proposing to amend certain provisions of the ENVIRONMENTAL PROTECTION instructions on how to submit comments. Fluorinated Gas Production source AGENCY category of the Greenhouse Gas FOR FURTHER INFORMATION CONTACT: Reporting Rule. The proposed changes 40 CFR Part 52 Sarah Arra, Environmental Scientist, would reduce the level of detail in [EPA–R05–OAR–2011–0672; FRL–9902–02– Attainment Planning and Maintenance which emissions were reported, Region 5] Section, Air Programs Branch (AR–18J), establish a new set of default global Environmental Protection Agency, warming potentials, eliminate the mass- Approval and Promulgation of Air balance emission calculation method, Quality Implementation Plans; Ohio; Region 5, 77 West Jackson Boulevard, Chicago, Illinois 60604, (312) 886–9401, and clarify the emission factor method. Ohio SO2 Air Quality Rule Revisions We are also proposing confidentiality [email protected]. AGENCY: Environmental Protection determinations for the new and Agency (EPA). SUPPLEMENTARY INFORMATION: In the substantially revised reporting ACTION: Proposed rule. Final Rules section of this Federal requirements of the Fluorinated Gas Register, EPA is approving the State’s Production source category. SUMMARY: On June 24, 2011, Ohio SIP submittal as a direct final rule DATES: Comments. Comments must be Environmental Protection Agency without prior proposal because the received on or before January 21, 2014. submitted for Clean Air Act State Agency views this as a noncontroversial Public Hearing. The EPA does not Implementation Plan (SIP) approval, submittal and anticipates no adverse plan to conduct a public hearing unless revisions to Ohio Administrative Code comments. A detailed rationale for the requested. To request a hearing, please (OAC) rules: 3745–18–01, 3745–18–03 approval is set forth in the direct final contact the person listed in the to 3745–18–52, 3745–18–54 to 3745– rule. If no adverse comments are following FOR FURTHER INFORMATION 18–77, 3745–18–79, 3745–18–81 to CONTACT section by November 26, 2013. received in response to this rule, no 3745–18–89, and 3745–18–91 to 3745– Upon such request, the EPA will hold further activity is contemplated. If EPA 18–94. The rule revisions primarily the hearing on December 4, 2013, in the update facility information and remove receives adverse comments, the direct Washington, DC area. The EPA will final rule will be withdrawn and all SO2 requirements for shutdown provide further information about the facilities throughout the SIP. EPA public comments received will be hearing on the GHGRP Web site, http:// believes that the revisions improve the addressed in a subsequent final rule www.epa.gov/climatechange/emissions/ clarity of the rule without affecting the based on this proposed rule. EPA will ghgrulemaking.html if a hearing is stringency and therefore is proposing to not institute a second comment period. requested. Any parties interested in commenting approve all of the submitted revisions ADDRESSES: Submit your comments, except for specific paragraphs in OAC on this action should do so at this time. identified by Docket ID No. EPA–HQ– 3745–18–04. Please note that if EPA receives adverse OAR–2009–0927, by one of the DATES: Comments must be received on comment on an amendment, paragraph, following methods: or before December 19, 2013. or section of this rule and if that • Federal eRulemaking Portal: http:// ADDRESSES: Submit your comments, provision may be severed from the www.regulations.gov. Follow the online identified by Docket ID No. EPA–R05– remainder of the rule, EPA may adopt instructions for submitting comments. OAR–2011–0672, by one of the as final those provisions of the rule that • Email: GHGReportingFGHG@ following methods: are not the subject of an adverse epa.gov. Include Docket ID No. EPA– 1. www.regulations.gov: Follow the comment. For additional information, HQ–OAR–2009–0927 in the subject line on-line instructions for submitting see the direct final rule which is located of the message. comments. • Fax: (202) 566–9744. in the Rules section of this Federal • 2. Email: [email protected]. Register. Mail: Environmental Protection 3. Fax: (312) 408–2279. Agency, EPA Docket Center (EPA/DC), 4. Mail: Douglas Aburano, Chief, Dated: September 26, 2013. Mailcode 2822T, Attention Docket ID Attainment Planning and Maintenance Susan Hedman, No. EPA–HQ–OAR–2009–0927, 1200 Section, Air Programs Branch (AR–18J), Regional Administrator, Region 5. Pennsylvania Avenue NW., Washington, U.S. Environmental Protection Agency, DC 20004. 77 West Jackson Boulevard, Chicago, [FR Doc. 2013–27566 Filed 11–18–13; 8:45 am] • Hand/Courier Delivery: EPA Docket Illinois 60604. BILLING CODE 6560–50–P Center, Public Reading Room, William

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Jefferson Clinton (WJC) West Building, section. Do not submit information that 566–1744, and the telephone number for Room 3334, 1301 Constitution Avenue you consider to be CBI or otherwise the Air Docket is (202) 566–1742. NW., Washington, DC 20004. Such protected through http:// FOR FURTHER INFORMATION CONTACT: deliveries are only accepted during the www.regulations.gov or email. The Carole Cook, Climate Change Division, Docket’s normal hours of operation, and http://www.regulations.gov Web site is Office of Atmospheric Programs (MC– special arrangements should be made an ‘‘anonymous access’’ system, which 6207J), Environmental Protection for deliveries of boxed information. means the EPA will not know your Agency, 1200 Pennsylvania Ave. NW., Instructions: Direct your comments to identity or contact information unless Washington, DC 20460; telephone Docket ID No. EPA–HQ–OAR–2009– you provide it in the body of your number: (202) 343–9263; fax number: 0927, Amendments and Confidentiality comment. If you send an email (202) 343–2342; email address: Determinations for Fluorinated Gas comment directly to the EPA without [email protected]. For Production. The EPA’s policy is that all going through http:// technical information, please go to the comments received will be included in www.regulations.gov your email address Greenhouse Gas Reporting Rule Program the public docket without change and will be automatically captured and Web site at http://www.epa.gov/ may be made available online at http:// included as part of the comment that is climatechange/emissions/ www.regulations.gov, including any placed in the public docket and made ghgrulemaking.html. To submit a personal information provided, unless available on the Internet. If you submit question, select Rule Help Center, the comment includes information an electronic comment, the EPA followed by Contact Us. To obtain claimed to be confidential business recommends that you include your information about the public hearing or information (CBI) or other information name and other contact information in to register to speak at the hearing, please whose disclosure is restricted by statute. the body of your comment and with any go to http://www.epa.gov/ Should you choose to submit disk or CD–ROM you submit. If the EPA climatechange/emissions/ information that you claim to be CBI in cannot read your comment due to ghgrulemaking.html. Alternatively, response to this notice, clearly mark the technical difficulties and cannot contact contact Carole Cook at 202–343–9263. part or all of the comments that you you for clarification, the EPA may not Worldwide Web (WWW). In addition claim to be CBI. For information that be able to consider your comment. to being available in the docket, an you claim to be CBI in a disk or CD– Electronic files should be free of special electronic copy of this proposal will ROM that you mail to EPA, mark the also be available through the WWW. outside of the disk or CD–ROM as CBI characters, any form of encryption, and Following the Administrator’s signature, and then identify electronically within any defects or viruses. a copy of this action will be posted on the disk or CD–ROM the specific Docket: All documents in the docket the EPA’s Greenhouse Gas Reporting information that is claimed as CBI. In are listed in the http:// Program Web site at http:// addition to one complete version of the www.regulations.gov index. Although www.epa.gov/climatechange/emissions/ comment that includes information listed in the index, some information is ghgrulemaking.html. claimed as CBI, a copy of the comment not publicly available, e.g., CBI or other that does not contain the information information whose disclosure is SUPPLEMENTARY INFORMATION: claimed as CBI must be submitted for restricted by statute. Certain other Regulated Entities. The Administrator inclusion in the public docket. material, such as copyrighted material, determined that this action is subject to Information marked as CBI will not be will be publicly available only in hard the provisions of Clean Air Act (CAA) disclosed except in accordance with copy. Publicly available docket section 307(d). See CAA section procedures set forth in 40 CFR Part 2. materials are available either 307(d)(1)(V) (the provisions of section Send or deliver information claimed as electronically in http:// 307(d) apply to ‘‘such other actions as CBI to only the mail or hand/courier www.regulations.gov or in hard copy at the Administrator may determine’’). delivery address listed above, attention: the Air Docket, EPA/DC, WJC West These are proposed amendments to Docket ID No. EPA–HQ–OAR–2009– Building, Room 3334, 1301 Constitution existing regulations. If finalized, these 0927. Ave. NW., Washington, DC. This Docket amended regulations would affect If you have any questions about CBI Facility is open from 8:30 a.m. to 4:30 producers of fluorinated gases. or the procedures for claiming CBI, p.m., Monday through Friday, excluding Regulated categories and examples of please consult the person identified in legal holidays. The telephone number affected entities include those listed in the FOR FURTHER INFORMATION CONTACT for the Public Reading Room is (202) Table 1 of this preamble:

TABLE 1—EXAMPLE OF AFFECTED ENTITIES BY CATEGORY

Category NAICS Examples of affected facilities

Fluorinated Gas Production ...... 325120 Industrial gases manufacturing facilities.

Table 1 of this preamble is not applicability criteria found in 40 CFR CAA Clean Air Act intended to be exhaustive, but rather part 98, subpart A or the relevant CBI confidential business information lists the types of facilities that the EPA criteria in subpart L. If you have CFC chlorofluorocarbon CFR Code of Federal Regulations is now aware could be potentially questions regarding the applicability of CH4 methane affected by the reporting requirements. this action to a particular facility, CO2 carbon dioxide Other types of facilities not listed in the consult the person listed in the CO2e CO2-equivalent table could also be subject to reporting preceding FOR FURTHER INFORMATION DE destruction efficiency requirements. To determine whether CONTACT section. EAR Export Administration Regulations Acronyms and Abbreviations. The you are affected by this action, you EF emission factor following acronyms and abbreviations should carefully examine the e-GGRT electronic-GHG Reporting Tool are used in this document. EPA U.S. Environmental Protection Agency

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FR Federal Register III. Statutory and Executive Order Reviews C. Legal Authority GHG greenhouse gas A. Executive Order 12866: Regulatory GHGRP Greenhouse Gas Reporting Program Planning and Review and Executive The EPA is proposing these rule GWP global warming potential Order 13563: Improving Regulation and amendments under its existing CAA HCFC hydrochlorofluorocarbon Regulatory Review authority provided in CAA section 114. HFC hydrofluorocarbon B. Paperwork Reduction Act As stated in the preamble to the 2009 HFE hydrofluoroether C. Regulatory Flexibility Act (RFA) final rule (74 FR 56260, October 30, ITAR International Traffic in Arms D. Unfunded Mandates Reform Act 2009), CAA section 114 provides the Regulations (UMRA) EPA broad authority to require the IPCC Intergovernmental Panel on Climate E. Executive Order 13132: Federalism Change F. Executive Order 13175: Consultation information proposed to be gathered by kg kilograms and Coordination with Indian Tribal this rule because such data would LCD liquid crystal display Governments inform and are relevant to the EPA’s MEMS micro-electro-mechanical systems G. Executive Order 13045: Protection of carrying out a wide variety of CAA MtCO2e metric tons carbon dioxide Children From Environmental Health provisions. equivalent Risks and Safety Risks In addition, the EPA is proposing N2O nitrous oxide H. Executive Order 13211: Actions That confidentiality determinations under its NAICS North American Industry Significantly Affect Energy Supply, authorities provided in sections 114, Classification System Distribution, or Use 301, and 307 of the CAA for the NF3 nitrogen trifluoride I. National Technology Transfer and NODA notice of data availability Advancement Act proposed new or substantially revised NTTAA National Technology Transfer and J. Executive Order 12898: Federal Actions data elements that would be reported Advancement Act To Address Environmental Justice in under this proposed rule. As mentioned OMB Office of Management and Budget Minority Populations and Low-Income above, CAA section 114 provides the PFC perfluorocarbon Populations EPA authority to obtain the information RFA Regulatory Flexibility Act I. Background in Part 98. Section 114(c) requires that RY reporting year EPA make publicly available SAR Second Assessment Report A. How is this preamble organized? information obtained under section 114 SF6 sulfur hexafluoride U.S. United States The first section of this preamble except for information which is not UMRA Unfunded Mandates Reform Act of contains background information emission data and which qualifies for 1995 regarding the Greenhouse Gas Reporting confidential treatment. The UNFCCC United Nations Framework Program (GHGRP), an overview of the Administrator has determined that this Convention on Climate Change proposed amendments, and information action (proposed amendments and WWW Worldwide Web on when the amendments would confidentiality determinations) is Table of Contents become effective, how this rule affects subject to the provisions of section confidentiality determinations, and how 307(d) of the CAA. I. Background A. How is this preamble organized? this proposed rule relates to other GHG D. Summary of Proposed Amendments. B. Background on the GHG Reporting Rule reporting notices. This section also C. Legal Authority discusses the EPA’s use of our legal The EPA is proposing to amend D. Summary of Proposed Amendments authority under the Clean Air Act to certain provisions of the Greenhouse E. When would these amendments apply? collect data under the Greenhouse Gas Gas Reporting Rule that affect F. How would these amendments affect Reporting Rule, hereinafter referred to fluorinated gas production facilities. confidentiality determinations? as the ‘‘GHG Reporting Rule’’ or ‘‘Part The proposed amendments include the G. How does this proposed rule relate to 98.’’ following changes: the proposed rule titled, ‘‘Revisions to The second section of this preamble • Revision of the reporting Reporting and Recordkeeping describes in detail the changes that are requirements to allow more aggregated Requirements, and Proposed reporting to address potential disclosure Confidentiality Determinations under the being proposed, presents the EPA’s Greenhouse Gas Reporting Program?’’ rationale for the proposed changes, and concerns (see Section II.A.1 of this identifies issues on which the EPA is preamble). II. Proposed Amendments • A. Proposed Amendments to the Subpart L particularly interested in receiving Proposal of a revised set of default Reporting Requirements public comments. global warming potentials (GWPs) for 1. Background of Proposed Amendments to Finally, the third section of the fluorinated greenhouse gases Subpart L Reporting Requirements preamble discusses the various statutory (fluorinated GHGs). 2. Summary of Proposed Amendments to and executive order requirements • Removal of the option to use the Subpart L Reporting Requirements applicable to this proposed rulemaking. mass-balance approach. 3. Rationale • Clarification of the emission factor 4. Proposal to Revise the Set of Default B. Background on the GHG Reporting GWPs Used To Convert Fluorinated GHG approach. Rule • Various technical corrections. Emissions Into CO2e 5. Other Changes to Reporting The GHG Reporting Rule was published in the Federal Register on E. When would these amendments Requirements apply? 6. Reporting Emissions From Destruction October 30, 2009 (74 FR 56260). Part 98 of Previously Produced Fluorinated became effective on December 29, 2009, These amendments would apply to GHGs and From Venting of Residual and requires reporting of GHGs from reporting under 40 CFR part 98, subpart Fluorinated GHGs From Containers certain facilities and suppliers. A L (subpart L) that occurs in calendar 7. Submission of Full GHG Reports for subsequent notice finalizing reporting year 2015 and subsequent years. This Reporting Year 2011, 2012, and 2013 requirements for Fluorinated Gas would include reporting of information B. Proposal To Remove the Mass-Balance Approach From Subpart L Production was published on December for reporting year 2014 and subsequent C. Clarifications to the Emission Factor 1, 2010 (75 FR 74774). (The final rule reporting years. It would also include Approach of Subpart L published on December 1, 2010 is reporting of certain information for D. Overview and Approach to Proposed hereinafter referred to as the ‘‘2010 reporting years 2011 and 2012, and to CBI Determinations Final Rule’’). reporting of that information for

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reporting year 2013. We previously 2015 and disclosure concerns have been raised concerns that the release of deferred the former under the rule titled identified would be entered into the certain data elements that the EPA ‘‘2012 Technical Corrections, Clarifying inputs verification tool. In addition, proposed to classify as emission data and Other Amendments to the these inputs would be kept by the (and that therefore would not be eligible Greenhouse Gas Reporting Rule, and facilities as records for five years. for treatment as confidential business Confidentiality Determinations for Both the proposed Inputs rule and information), would reveal ‘‘trade Certain Data Elements of the this proposed rule are proposing secrets.’’ Both commenters stated that Fluorinated Gas Source Category’’ (77 changes to the subpart L reporting the disclosure of the identity and FR 51477; August 24, 2012). We requirements. A redline/strikeout quantities of the fluorinated GHGs proposed to defer the latter under the version of the subpart L regulatory text emitted at the process level, from either rule titled, ‘‘2013 Revisions to the that reflects both sets of proposed process vents or fugitive sources, would Greenhouse Gas Reporting Rule and changes is available in the docket for reveal ‘‘trade secrets’’ regarding Proposed Confidentiality this rulemaking. While both sets of individual chemical production Determinations for New or Substantially changes are intended to address processes. 3M stated that process-level Revised Data Elements’’ (hereinafter disclosure concerns, the reporting emission data provides specific referred to as the Proposed 2013 elements that are proposed to be information on reactants, by-products, Revisions Rule; 78 FR 19802; April 2, amended generally differ. The proposed and products that would provide 2013). Inputs rule would amend and/or remove competitors with a detailed a number of reporting elements that are F. How would these amendments affect understanding of 3M’s manufacturing inputs to emission equations. This process. They noted that competitors confidentiality determinations? proposed rule would amend and/or with knowledge of fluorine chemistry In this notice, we are proposing remove other reporting requirements. In could use such information to identify confidentiality determinations for some cases, the two proposed rules are the particular manufacturing pathways proposed new or substantially revised proposing changes to the same used by 3M. They asserted that subpart L data elements. The EPA has provisions, e.g., because those previously proposed confidentiality provisions contain several data competitors could then duplicate these determinations for subpart L data elements, some of which are inputs, and processes without having to incur elements (77 FR 1434, January 10, some of which are not. For example, the research and development costs, putting 2012), which did not cover the new or proposed Inputs rule is proposing to 3M at a ‘‘competitive [dis]advantage.’’ substantially revised data elements that remove the data element ‘‘mass’’ from The American Chemistry Council and the EPA is proposing in the present 40 CFR 98.126(b)(6) through (b)(8). This 3M Company also expressed concern action. The proposed confidentiality rule is proposing to remove these that the disclosure of the identity and determinations for these data elements paragraphs altogether, because the quantity of emissions at the process together with our rationale are remaining data elements (chemical level could violate export control discussed in detail in Section II.D of this formulas of reactants, products, and by- regulations. Specifically, the preamble. In addition, the proposed products) are no longer useful without commenters stated that the release of amendments would delete certain the corresponding masses. (The some data elements would make existing subpart L reporting rationale for these and the other available to the public information that requirements, while continuing to proposed amendments to the subpart L is subject to Export Administration require that records be kept of these reporting requirements is discussed in Regulations (EAR) and International elements. Should the EPA finalize the Section II.A.3 of this preamble.) Traffic in Arms Regulations (ITAR) that deletion of these data elements, the EPA II. Proposed Amendments prohibit public disclosure for reasons of will not take final action on the ‘‘national security, anti-terrorism, previously proposed confidentiality A. Proposed Amendments to the nuclear non-proliferation, and chemical determinations for the deleted data Subpart L Reporting Requirements and biological weapons security.’’ The elements. 1. Background of Proposed commenters stated that the EAR and G. How does this proposed rule relate to Amendments to Subpart L Reporting ITAR control not only export of the proposed rule titled, ‘‘Revisions to Requirements products, but also export of technical Reporting and Recordkeeping knowledge, such as the design of a On January 10, 2012, the EPA product and production information, Requirements, and Proposed published proposed determinations Confidentiality Determinations under and that the release of process-level regarding whether the Greenhouse Gas emission data may provide such insight the Greenhouse Gas Reporting Reporting Program data elements in Program?’’ into the design of a product or eight subparts of Part 98, including production information that is export- On September 11, 2013, the EPA subpart L, would or would not be controlled. The commenters stated that proposed a rule titled, ‘‘Revisions to entitled to confidential treatment under if the EPA attempted to protect export- Reporting and Recordkeeping the CAA (77 FR 1434). In that proposed controlled information from disclosure Requirements, and Proposed rule, the EPA proposed that the by implementing ‘‘an export control Confidentiality Determinations under chemical identities and quantities of the plan,’’ this would be in conflict with the Greenhouse Gas Reporting Program’’ fluorinated GHG emissions at the EPA’s position that emission data (78 FR 55994; hereinafter referred to as process level, reported under subpart L, cannot be withheld from the public the proposed Inputs rule). In that are ‘‘emission data.’’ Under section under the CAA. proposed rule, the EPA proposed to add 114(c) of the CAA, ‘‘emission data’’ are a requirement for certain reporters not eligible for confidential treatment Following receipt of the public under 24 subparts, including subpart L, and must be made publicly available. comments on the proposed CBI to use an EPA-provided inputs The EPA received two comments on determinations, the EPA proposed and verification tool. For these subparts, the that proposed rule related to subpart L. promulgated temporary, less detailed designated inputs to emission equations These commenters, the American reporting requirements for reporting for which reporting was deferred to Chemistry Council and 3M Company, years 2011 and 2012 (77 FR 51477,

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August 24, 2012).1 This was intended to than one fluorinated gas product,2 or (b) factor and emission calculation factor allow the EPA additional time to for facilities that produced only one approaches to monitor, calculate, and evaluate the concerns raised by the fluorinated gas product, the fluorinated report their fluorinated GHG emissions. commenters and to consider how the GHG emitted was a major fluorinated 3. Rationale rule might be changed to balance these GHG constituent of a fluorinated gas concerns with the EPA’s need to obtain product and the fluorinated gas product As discussed above in Section II.A.1 the data necessary to inform the was sold or otherwise transferred to of this preamble, certain subpart L development of future GHG policies and another person. (Other fluorinated GHG reporters have raised concerns regarding programs. The EPA presented several emissions at the facility level would be reporting and potential disclosure of reporting options, along with some of reported by chemical type.) Where the ‘‘trade secrets’’ and ‘‘business sensitive their advantages and disadvantages, in a emission factor or emission calculation information.’’ We believe that these memorandum (‘‘Potential Future factor approaches are used, facilities reporters have raised legitimate Subpart L Options’’) that was placed in would be required to further concerns regarding the potential the docket to that rulemaking when the disaggregate process emissions by disclosure of this information and the temporary reporting requirements were emission type, i.e., into vented vs. possible consequences to the reporting proposed (EPA–HQ–OAR–2011–0147). leaked emissions. businesses. Based on our evaluation of The options presented in the These changes would apply only to these concerns and potential reporting memorandum were based on reporting emissions from production and alternatives, we are proposing emissions at varying levels of transformation processes; emissions amendments to subpart L that would aggregation for both the source of the from venting of container heels and address these concerns while emissions (ranging from reporting by destruction of previously produced continuing to collect the data necessary process and by emission type to fluorinated GHGs would be reported by to inform the development of future reporting at the facility level) and the chemical and by process as required by GHG policies and programs. To enable chemicals emitted (ranging from the 2010 Final Rule. the EPA to evaluate future GHG policies reporting by speciated fluorinated GHG In addition to the changes above, we and programs, reporting should allow to reporting in CO2e). are proposing to replace the the EPA to understand the magnitudes The EPA received two written requirements to report process-specific and growth rates of emissions of comments on the alternatives presented emission factors, activity data, and different chemicals from different in the memorandum. In addition, the destruction efficiencies with a sources and to identify and analyze EPA discussed alternative reporting requirement to identify, as a range, the potential approaches to reducing options with fluorinated gas producers level by which the emissions of each emissions of these chemicals from these and other stakeholders. These process are reduced or controlled, e.g., sources. In addition, reporting should comments and discussions are by destruction devices. We are also enable the EPA to verify reported summarized further in the ‘‘Rationale’’ proposing to remove the requirement emissions. The proposed amendment Section II.A.3 of this preamble. that facilities report the following data would continue to meet these elements: The contents, locations, and objectives, while at the same time 2. Summary of Proposed Amendments functions of the streams analyzed under addressing the potential disclosure to Subpart L Reporting Requirements the scoping speciation (40 CFR concerns discussed above. 98.126(a)(3) and (a)(4)). In addition, we The EPA has considered a range of Following review of the comments are proposing to revise the set of default reporting options including varying submitted on the proposed GWPs used to calculate and report CO e levels of aggregation for the source of confidentiality determinations (77 FR 2 emissions under subpart L. We are also the emissions and for the fluorinated 1434, January 10, 2012) and the proposing to amend several provisions GHGs (chemicals) emitted. The levels of memorandum entitled ‘‘Potential Future of subpart A to be consistent with the aggregation considered for the emission Subpart L Options,’’ and considering revised subpart L reporting source included reporting by process discussions with stakeholders, the EPA requirements for purposes of reporting and emissions type, by process type and is proposing to permanently amend the emissions monitored under subpart L. subtype, and by facility. The levels of subpart L reporting requirements to As discussed in Section II.A.7 of this aggregation considered for the require reporting at a less aggregated preamble, all of these changes would fluorinated GHGs included reporting by level beginning in calendar year 2015. apply to (previously deferred) reporting speciated fluorinated GHG, by Specifically, we are proposing to require for Reporting Years 2011, 2012, and fluorinated GHG group, or in terms of owners and operators of facilities 2013, as well as to reporting in future total CO e only. In addition, the EPA producing fluorinated gases to report (1) 2 years. The amendments would not considered implementing various emissions by fluorinated GHG group change other requirements of Part 98, combinations of these options. (chemical type) at the process level for including the requirement under 40 CFR As discussed further in Sections each generically defined production or 98.3(g) that data used to calculate GHG II.A.3.a and II.A.3.b of this preamble, transformation process, and (2) emissions for each process be retained both process-specific and chemical- emissions by chemical at the facility as records. specific reporting are important to level for certain fluorinated GHG The EPA is also proposing to remove understanding sources of emissions and emissions. the option to use a mass-balance assessing approaches to reduce Fluorinated GHG emissions would be approach from the calculation and emissions. Process-specific emissions reported by chemical at the facility level monitoring requirements of the rule. No information allows the EPA to identify when (a) the fluorinated GHG was facilities are currently using this processes with high potential for emitted in quantities above 1,000 approach. With this change, facilities emission reductions as well as measures mtCO2e and the facility produced more would still be able to use the emission to achieve those reductions.3 Chemical-

1 The EPA subsequently proposed to extend the 2 We are proposing to define fluorinated gas 3 In the rule finalizing Part 98, the EPA cited the temporary provisions through reporting year 2013 product as the product of the process, including following benefits of process-specific reporting, under the Proposed 2013 Revisions Rule. isolated intermediates. Continued

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specific information allows the EPA, as also address the concerns they raised process, or as a combination of these. well as the public and the international regarding export control requirements. Third, the reporter would tag the community, to better understand the We request comment on whether or not process with an identifier chosen by the atmospheric impacts of U.S. emissions, this is the case. facility (e.g., a letter or number) that to compare U.S. emissions to would remain constant from year to year a. Reporting by Generically Identified atmospheric measurements and, if to permit year-to-year comparisons of Process, Emission Type, and inconsistencies between emissions and emissions from that process. Fluorinated GHG Group atmospheric measurements are found, to This method for identifying each better understand the magnitudes and The first level of proposed reporting process would supply useful causes of those inconsistencies. is reporting of emissions by generically information on the nature of the process In their comments on the proposed identified process (as discussed below), without actually identifying the product confidentiality determinations and in emission type (i.e., vents vs. leaks), and of the process. For example, reporting subsequent communications, fluorinated GHG group. While such the process type would enable the EPA fluorinated gas producers have reporting would provide less detail than to ascertain whether and how emission repeatedly stated that reporting, and the 2010 Final Rule on the chemicals levels may vary across process types subsequent disclosure, of chemical- emitted, the product of each process, and thereby enable us to identify specific emissions at the process level and emissions from individual process particular process types as having more would provide insight into vents, it would preserve key data to potential for reductions. It would also manufacturing methods that would inform the development of GHG policies permit the tracking of emissions from enable competitors to gain a competitive and programs. First, such reporting the same process from year to year. advantage. After careful consideration of would enable the EPA to identify Moreover, it is generally consistent with these comments, the EPA agrees with processes and emission types with high the definition of ‘‘process’’ in subpart the fluorinated gas producers’ assertion or quickly changing emissions. As L.5 That definition includes ‘‘any, all, or that chemical-specific, process-specific stated in the 2009 Final Rule (74 FR a combination of reaction, recovery, emissions may in some cases provide a 56311), identifying such processes is separation, purification, or other detailed chemical ‘‘fingerprint’’ of a important because they may have the activity, operation, manufacture, or process that could enable competitors to most potential for future reductions. treatment which are used to produce a deduce how that process works to Second, reporting by process, emission fluorinated gas product.’’ Because the produce a particular product. One type, and fluorinated GHG group would term ‘‘distillation’’ may encompass producer (3M) explained that, for help the EPA to identify and analyze recovery, separation, and purification, example, a competitor with expertise in reduction options. This is because the EPA’s preference is not to create fluorine chemistry may be able to reduction options are implemented at separate classifications for recovery, analyze speciated emissions and the process level and for specific separation, and purification. However, identify reactants, by-products, emission types. Finally, process-level the EPA requests comment on whether intermediates, and products. By reporting is helpful for verifying the proposed classifications are examining the ratios of these emissions, emissions because it can allow sufficiently clear and comprehensive, or the competitor may be able to deduce comparison of emission rates among whether they should be expanded. process conditions (e.g., reaction similar processes and because it can One drawback of generically temperatures or whether or not a facilitate duplication of emissions identifying processes is that this catalyst was used) based on publicly calculations, which are performed at the approach would not allow the EPA to available equilibrium constant data. process level. compare processes making the same To address this concern while Because the EPA agrees with product (including intermediates) across continuing to meet the objectives of the commenters’ concern that reporting the different facilities. While some products GHG Reporting Rule, the EPA is product of each process could lead to are produced at only one facility, proposing to replace the current the disclosure of the identity of several are produced at multiple reporting of chemical-specific emissions intermediates, and that such disclosure facilities. The EPA believes that the at the process level with a reporting could in turn reveal information on how proposed amendment is nevertheless requirement that combines two levels of certain products are made, the EPA is appropriate despite this drawback, reporting. The proposed two-level proposing to identify processes because the information that can be reporting, which is discussed in more generically rather than by the product of obtained by comparisons of types of detail below, would avoid the potential the process.4 This identification would processes across different facilities disclosure concerns discussed above include three pieces of information for remains useful for the purposes of the while retaining reporting of important each process. First, the reporter would GHGRP. Nevertheless, the EPA requests information on emissions at both the identify the process as a production comment on alternative identification process and chemical levels. process, a transformation process where strategies that would avoid this We believe that this proposal, by no fluorinated GHG reactant is drawback. addressing the business-related produced at another facility, or a The EPA is proposing to establish five concerns raised by commenters, would transformation process where one or chemical types or groups into which more fluorinated GHG reactants are among others: ‘‘Process-level reporting also produced at another facility. Second, 5 The definition of ‘‘process’’ in subpart L reads provides information that will be useful in within these categories, the reporter in part, ‘‘Process means all equipment that identifying processes that have reduced emissions would further identify the process as a collectively functions to produce a fluorinated gas over time and processes at specific plants that have product, including an isolated intermediate (which the most potential for future reductions in reaction, distillation, or packaging is also a fluorinated gas product), or to transform emissions. In addition, the process-level reporting a fluorinated gas product. A process may consist of may provide information that can be used to 4 For example, if the product of the process were one or more unit operations. For the purposes of improve methodologies for specific processes under emitted, as is frequently the case, its identity might this subpart, process includes any, all, or a future programs and to identify processes that may be considered emissions data. This could lead to combination of reaction, recovery, separation, use a technology that could be the basis for an disclosure of its identity where the product was an purification, or other activity, operation, emission standard at a later time’’ (74 FR 56311, intermediate whose identity would otherwise manufacture, or treatment which are used to October 30, 2009). remain unknown to competitors. produce a fluorinated gas product.’’

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facilities would sort emissions for atmospheric behavior of each group. For information regarding the atmospheric reporting at the process level. These example, the average GWP of the behavior of each group. For example, groups are based primarily on chemical saturated HFCs with atmospheric the average GWP of the saturated HFEs structure, which is correlated with lifetimes above 20 years is with atmospheric lifetimes above 20 atmospheric lifetime and GWP. Each approximately 5,700, while the average years is approximately 5,700, while the group possesses a significantly different GWP of the saturated HFCs with average GWP of the saturated HFCs with set of GWPs. The EPA believes that atmospheric lifetimes below 20 years is atmospheric lifetimes below 20 years is using these groups for reporting would approximately 600. Moreover, approximately 600. However, there are avoid the potential disclosure concerns information on the atmospheric drawbacks associated with breaking the discussed above while still providing lifetimes of emissions helps to inform saturated HFEs into two groups that are useful data that could inform technical policies that distinguish among similar to the drawbacks cited above for and policy analysis. The groups are the chemicals based on their atmospheric breaking the saturated HFCs into two same as those that we are proposing as lifetimes and GWPs.7 However, one groups. The EPA requests comment on the basis for default GWPs and include drawback of breaking out saturated the option of breaking the saturated the following: HFCs by atmospheric lifetime is that it HFEs into two groups based on Fully fluorinated GHGs. This group requires reporters to know the atmospheric lifetime. would be defined as it currently is in atmospheric lifetimes of the HFCs being Unsaturated PFCs, unsaturated HFCs, the temporary subpart L reporting reported as part of each saturated HFC unsaturated HCFCs, unsaturated HFEs, provisions. Fully fluorinated GHGs are group. While EPA could include this and fluorinated ketones. This group fluorinated GHGs that contain only information in Table A–1 for the HFCs would include very short-lived single bonds and in which all available that are already on Table A–1, this compounds including unsaturated PFCs valence locations are filled by fluorine information is not likely to be available (e.g., hexafluoropropylene and atoms. This group includes but is not for many HFCs that are not on Table A– tetrafluoroethylene), unsaturated HFCs limited to saturated perfluorocarbons, 1. Another drawback of breaking out (e.g., HFC-1234yf and perfluorobutyl SF6, NF3, SF5CF3, fully fluorinated saturated HFCs by atmospheric lifetime ethene), unsaturated HCFCs, linear, branched and cyclic alkanes, is that it would disaggregate reporting unsaturated HFEs (e.g., fluoroxene), and fully fluorinated ethers, fully further than the proposed approach, fluorinated ketones. According to the fluorinated tertiary amines, fully potentially leading to disclosure Comprehensive Review, these GHGs fluorinated aminoethers, and concerns where process-specific have lifetimes of a few days to weeks. perfluoropolyethers. Fully fluorinated reporting overlaps with facility-wide The average GWPs of unsaturated PFCs, GHGs have lifetimes of over 500 to reporting. (This overlap is discussed in unsaturated HFCs, unsaturated HFEs, several thousand years and GWPs of more detail in Section II.A.3.b. of this and fluorinated ketones are 6,290 to 22,800. preamble.) To some extent, this concern approximately 0.4, 0.3, 0.2, and 0.1 Saturated hydrofluorocarbons. This could be mitigated by grouping respectively. Most individual chemicals group would include saturated HFCs with lifetimes greater of these types have GWPs of less than hydrofluorocarbons (HFCs) that contain than or equal to 20 years with saturated one. only single bonds (i.e., HFEs with lifetimes greater than or The EPA considered including hydrofluoroalkanes such as HFC-134a). equal to 20 years, and by creating a fluorinated acetates and fluorinated formates in this group. However, the Saturated HFCs generally have similar grouping for saturated HFCs and fluorinated acetates whose atmospheric atmospheric lifetimes from 1 to 55 years saturated HFEs with atmospheric lifetimes and GWPs have been studied and GWPs from 100 to 5,000, though lifetimes of less than 20 years. The EPA often have lifetimes of months rather there are exceptions at both extremes. requests comment on the option of than days and GWPs in the 10s, The average GWP of saturated HFCs is breaking out saturated HFCs by significantly different from those of the approximately 2,200, based on GWPs in atmospheric lifetime for purposes of compounds that would be included in AR4 and in the article ‘‘Global Warming reporting emissions by fluorinated GHG this group. Fluorinated formates have Potentials and Radiative Efficiencies of group. still larger atmospheric lifetimes and Halocarbons and Related Compounds: A Saturated hydrofluoroethers. This GWPs. Thus, the EPA is proposing to Comprehensive Review (hereinafter group would include hydrofluoroethers include fluorinated acetates and referred to as the ‘‘Comprehensive (HFEs) that contain only single bonds 6 fluorinated formates in the ‘‘other Review’’ ). Because the range of (i.e., hydrofluoroethers such as HFE- fluorinated GHG’’ group discussed lifetimes and GWPs spanned by the 134). Saturated HFCs generally have below. saturated HFCs is quite large, we are atmospheric lifetimes from several also considering the option of breaking While multiple studies have indicated months to 30 years and GWPs from 100 that unsaturated HFCs have short saturated HFCs into two sets based on to 5,000, although, as for saturated atmospheric lifetime. Saturated HFCs atmospheric lifetimes and low GWPs, HFCs, there are exceptions at both fewer studies have been performed on have lifetimes from 0.3 years to 270 extremes. The average GWP of saturated years and GWPs from 12 to 14,800. unsaturated HCFCs, unsaturated HFEs HFCs is approximately 1,600 (based on and fluorinated ketones. Thus, the Breaking the saturated HFCs out into AR4 and Comprehensive Review two sets would reduce these ranges lifetimes and GWPs of unsaturated GWPs). As is the case for HFCs, the HCFCs, unsaturated HFEs, and considerably and would thereby provide range of atmospheric lifetimes and fluorinated ketones are less certain. The more precise information regarding the GWPs spanned by the saturated HFEs is EPA requests comment on the likely quite large, and breaking these HFEs variability of the lifetimes and GWPs of 6 Hodnebrog, ;., M. Etminan, J. S. Fuglestvedt, G. into two sets based on atmospheric Marston, G. Myhre, C. J. Nielsen, K. P. Shine, and unsaturated HCFCs, unsaturated HFEs T. J. Wallington, ‘‘Global Warming Potentials and lifetime would provide more precise and fluorinated ketones and on whether Radiative Efficiencies of Halocarbons and Related or not these compounds should be Compounds: A Comprehensive Review,’’ Reviews of 7 For example, the Climate and Clean Air Geophysics, Accepted manuscript online: 24 APR coalition to Reduce Short-Lived Climate Pollutants included in the very-short-lived group 2013. This article is discussed in more detail in Initiative primarily focuses on chemicals with or in the ‘‘Other fluorinated GHG’’ Section II.A.4 of this preamble. atmospheric lifetimes of less than 50 years. group, discussed below.

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Other fluorinated GHGs. This group by chemical structure is also consistent products whose manufacturing includes the fluorinated GHGs that do with current international conventions techniques might have changed would not fall into any of the four sets defined that address chemicals with impacts on remain unknown. Thus, the link above. To ensure that the gas groups are the global atmosphere (e.g., UNFCCC, between the changed number of process both distinct (i.e., do not overlap) and Montreal Protocol). Commenters steps and any particular new product or comprehensive (i.e., cover all supported the establishment of improvement would be uncertain at fluorinated GHGs), this gas group is a fluorinated GHG groups similar to those best. The EPA requests comment on this catch-all. Based on the list of above. issue, particularly on why or how the compounds and GWPs included in the In comments on the Options disclosure of the number of process Comprehensive Review, the EPA’s Memorandum, 3M expressed concern steps would raise a concern (in the understanding is that this group would that reporting of emissions by absence of data reported under subpart consist of fluorinated acetates, generically identified process, emission OO by product and facility, which will fluorinated formates, type, and fluorinated GHG group could not be publicly released). Information carbonofluoridates, and fluorinated still disclose ‘‘trade secret information.’’ that would be helpful to the Agency alcohols with lifetimes ranging from a 3M was specifically concerned that such includes the specific information few weeks to a few years and GWPs reporting could reveal the number and identified on page 81368 in the Call for ranging from less than five to the types of process steps associated with a Information: Information on Inputs to hundreds. The EPA requests comment product when a facility made only one Emission Equations Under the on which chemicals would fall into this product or when a facility added a Mandatory Reporting of Greenhouse group and on their atmospheric product between one year and the next. Gases Rule (75 FR 81366, December 27, lifetimes and GWPs. The EPA also In the former case, the commenter stated 2010). requests comment on whether this that a competitor could determine If the concern regarding the number of group should be combined with the production throughput based on the process steps relates to the group of very short-lived compounds CO2e information that is reported under characterization of each process as a discussed above (Unsaturated PFCs, subpart OO. In the latter case, 3M reaction, distillation, or packaging unsaturated HFCs, unsaturated HCFCs, argued that competitors could deduce process, one option would be to drop unsaturated HFEs, and fluorinated the number of process steps associated this characterization and to identify the ketones). Keeping the groups separate with the new product or with process only as a production process, a allows for a more precise assessment of manufacturing improvements by transformation process where no each group’s atmospheric impacts, comparing reports between one year and fluorinated GHG reactant is produced at particularly since the ‘‘other’’ group, the next. The commenter further stated another facility, or a transformation due to its necessarily open-ended that similar comparisons of data process where one or more fluorinated definition, could eventually include reported under subpart OO would yield GHG reactants are produced at another fluorinated GHGs with relatively long information on the new product facility. The process would still be lifetimes and high GWPs. Keeping the volume. Where manufacturing tagged with a letter or number that groups separate would also be improvements changed the number of could be used to identify it from year to consistent with the approach proposed processes, 3M maintained that year. One disadvantage of this approach for setting default GWPs, discussed competitors could use this information is that it would not show whether or further below. However, if the number to understand how the facility had how emission levels varied by process changed its overall manufacturing subtype. It would, however, still of GHGs in both groups is small, process. provide information on how emission combining the groups would both While the EPA takes these concerns levels varied by process type. Going simplify reporting and reduce potential very seriously, some of the commenter’s further, the identification of the process disclosure concerns. concerns appear to stem from as a production process or as one of the The advantage of requiring reporting competitors’ potential use of the subpart two types of transformation processes by these fluorinated GHG groups is that L data in combination with production could also be dropped. However, if it would address the disclosure volumes reported under subpart OO. facilities did not identify emissions that concerns described above by avoiding Production volumes reported under come from transformation processes that the disclosure of the identities of the subpart OO have been determined to be transform fluorinated GHGs produced at individual species that are emitted from CBI 8 and therefore will not be publicly other facilities, we would lose our production and transformation released by the EPA. In the absence of ability to distinguish between these processes while still providing general chemical-specific reporting or any ‘‘downstream’’ emissions and the information on the GWPs and identification of the product of each ‘‘upstream’’ emissions that result from atmospheric lifetimes of the emissions. process, the EPA believes that the the production and transformation of General knowledge of the GWPs of the number of process steps, assuming this fluorinated gases produced on site. This chemicals emitted is critical for could be deduced from reporting, could would interfere with our ability to distinguishing between processes not by itself reveal detailed information analyze the impacts of upstream vs. emitting many tons of a low-GWP on manufacturing techniques. Moreover, downstream policies. Nevertheless, we chemical and processes emitting a few where a facility produced multiple would retain critical information on the tons (or kilograms) of a high-GWP fluorinated gas products, changes in the magnitudes and trends of emissions chemical. While the CO2-equivalent number of processes reported from one from each process. We request comment emissions of both processes may be the year to the next could be caused either on these options. same, appropriate emission reduction by the introduction of new products or In the event that disclosing the strategies, and their cost effectiveness, by changes to the manufacturing number of process steps is demonstrated may differ. As noted above, general techniques used to make current to be a concern even if processes are information on the atmospheric products, as pointed out by the identified only by a letter or a number, lifetimes of emissions also helps to commenter. The identity and number of the EPA is requesting comment on the inform policies that focus on either option of requiring facilities to report short- or long-lived chemicals. Grouping 8 76 FR 30782; May 26, 2011. total emissions, by fluorinated GHG

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group, only for each emission type (i.e., arithmetic or in the choice of the GWP). and obviously attributable to a specific reporting facility-level emissions by Chemical-specific reporting at the product. fluorinated GHG group, distinguishing facility level would allow the EPA to On the other hand, 3M observed that between vented and leaked emissions). apply the appropriate GWP to each for some facilities and under some This approach would maintain chemical and verify that the CO2e reporting approaches, it was possible information on emissions type, but summed across chemicals matched the that chemical-specific reporting of would not allow the EPA to identify CO2e summed across processes. certain chemicals would not be a processes with high or quickly changing Third, fluorinated gas producers are a concern. 3M pointed to Belgium’s emissions or to analyze reduction significant source for many fluorinated reporting of emissions from its options. The EPA requests comment on GHGs, and for some fluorinated GHGs, electrochemical synthesis plant as an this approach, particularly on whether they are the only source. This makes example. 3M observed that the plant any reduction in the sensitivity of the them especially important in efforts to reports chemical-specific emissions for data that would be reported under it verify national and global emissions certain fluorinated GHGs, including would justify the loss of the process- using atmospheric measurements. (Most those covered by the Kyoto Protocol and the Intergovernmental Panel on Climate specific data that would be reported fluorinated GHGs lack significant Change (IPCC).10 However, the plant under the first option. natural sources.) reports emissions of other fluorinated b. Reporting by Chemical at the Facility Finally, chemical-specific reporting is GHGs in aggregate as a separate group. Level for Fluorinated GHGs With consistent with GHG Inventory (3M also stated that Belgium aggregates Emissions Above a Threshold reporting under the United Nations emissions from more than one The second part of the proposed Framework Convention on Climate fluorinated gas producer in its GHG approach, reporting by chemical at the Change (UNFCCC), which encourages inventory, although this is inconsistent facility level, would supplement the chemical-specific reporting. Under the with Belgium’s description of the process-specific reporting discussed UNFCCC, other countries report emissions in its National Inventory above with chemical-specific reporting chemical-specific emissions from Report.) of fluorinated GHGs emitted from comparable fluorinated gas production While the EPA believes that reporting fluorinated gas production in quantities facilities. For example, in 2013 and of chemical-specific emissions at the above a certain threshold. As explained previous years, Belgium’s GHG facility level would in most cases in more detail below, the EPA is inventory reported emissions from ‘‘an address the potential disclosure proposing a threshold of 1,000 mtCO2e electrochemical synthesis (electro- concerns described above associated but is seeking comment on other fluorination) plant, which emits, or has with reporting of chemical-specific options. In general, reporting of emitted SF6, CF4, C2F6, C3F8, C4F10, emissions at the process level, the EPA emissions under the GHGRP is C5F12 and C6F14 as well as fluorinated finds it plausible that in some cases, chemical-specific. For Part 98 generally, greenhouse gases not covered by the individual reporting of the full suite of information on the identities and Kyoto Protocol (among which CF3SF5, emitted fluorinated GHGs at the facility 9 characteristics of GHGs is important for C7F16, C8F18 and C8F16O).’’ From this level could disclose detailed process assessing their impacts on the plant, Belgium reported 2011 emissions information. To address disclosure atmosphere and informing policies that of CF4, C4F10, C5F12, and C6F14 in tons concerns associated with reporting all distinguish among chemicals based on of each gas. France and Italy have also emissions by chemical while retaining their atmospheric lifetimes and GWPs. reported chemical-specific emissions information on fluorinated GHGs that For subpart L, information on the from their fluorinated gas production are emitted in significant quantities, the identities and characteristics of GHGs is facilities. EPA is proposing that facilities be particularly important. First, the range In comments on the Options required to report emissions of a of GWPs and atmospheric lifetimes Memorandum and in discussions with fluorinated GHG by chemical when spanned by the fluorinated GHGs is the EPA, fluorinated gas producers emissions of that fluorinated GHG large. Lifetimes range from a few days stated that even at the facility level, exceed 1,000 mtCO2e for the facility as (e.g., for several unsaturated chemical-specific reporting could a whole. Emissions of fluorinated GHGs fluorocarbons) to thousands of years disclose ‘‘trade secret . . . information.’’ that do not exceed 1,000 mtCO2e would (e.g., for saturated perfluorocarbons), Several producers cited the (relatively be reported by fluorinated GHG group at while GWPs range from less than one rare) case in which a fluorinated gas the facility level. This would reduce the (e.g., for several unsaturated production facility produces only one number of speciated fluorinated GHGs fluorocarbons) to above 20,000 (e.g., for final product, in which case facility- that would be identified and would SF6). Often, the same fluorinated gas level information may be the same as therefore reduce the chemical-specific production facility may emit fluorinated process-specific information. One information potentially available to GHGs at both ends of the GWP and producer, 3M, noted that even for competitors. During discussions lifetime ranges. Knowledge of the facilities producing multiple products, between EPA and industry, one lifetimes of the chemicals is key to chemical-specific reporting at the fluorinated gas producer indicated that understanding how emissions from facility level could provide information chemicals emitted in quantities greater different processes would fit into to competitors on process inputs since than one ton accounted for the vast policies that focus particularly on short- some of the chemicals could be unique majority of one facility’s emissions, lived or long-lived GHGs. while accounting for a small fraction of Second, chemical-specific reporting at 11 9 Belgium’s Greenhouse Gas Inventory (1990– the total number of chemicals emitted. the facility level would provide a useful 2011): National Inventory Report submitted under check on the CO2e emissions reported at the United Nations Framework Convention on 10 3M may have meant the UNFCCC, which the process or process type level. Under Climate Change and the Kyoto Protocol, p. 122, and covers HFCs, PFCs, and SF6 but not other today’s proposed rule, facilities would Table 2(II)s2, Common Reporting Format (CRF) fluorocarbons. Tables submitted by Belgium, April 2013. See 11 This producer was nevertheless concerned that report process-level emissions in CO2e http://unfccc.int/national_reports/annex_i_ghg_ a quantity threshold could reveal detailed process only, introducing the possibility of inventories/national_inventories_submissions/ information because chemicals that fell below the errors in the assignment of GWPs (either items/7383.php. Continued

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A cutoff of 1,000 mtCO2e correlates to might disclose detailed information 4. Proposal To Revise the Set of Default a cutoff of 0.1 tons of fully fluorinated about the process. GWPs Used To Convert Fluorinated GHG (assuming a GWP of 10,000), 0.5 The EPA also requests comment on GHG Emissions Into CO2e tons of saturated HFCs (assuming a whether this exception from chemical- GWP of 2,200), and 1,000 tons of specific reporting should be expressed The 2010 Final Rule and the unsaturated HFCs (assuming a GWP of in terms of the number of processes at temporary subpart L reporting 1). A GWP-weighted cutoff has the a facility rather than the number of provisions both include default GWPs advantage of accounting for the products, since a facility that produced that enable fluorinated gas production potential atmospheric impact of each one fluorinated gas product but also facilities to calculate and report fluorinated GHG’s emissions, but the transformed one or more fluorinated emissions in CO2e for fluorinated GHGs EPA could also set the cutoff in terms gases would be reporting emissions that are not on Table A–1. Such of tons of chemical, e.g., at half a ton or from multiple processes. fluorinated GHGs account for one ton. The latter approach would be Possible interaction between reporting approximately 20 percent of the CO2e slightly simpler. Our goal would be to by chemical type at the process level emissions reported under subpart L. The set any such cutoff at a level that would and reporting by chemical at the facility 2010 Final Rule includes one default ensure we have chemical-specific level. If there is only one process at a GWP (2,000), while the temporary information for the chemicals that are facility that emits a particular chemical reporting provisions include two (10,000 for fully fluorinated GHGs; responsible for the bulk of CO2- type, and if emissions of one or more of equivalent emissions from the facility. the chemicals in that chemical type 2,000 for all other fluorinated GHGs). The EPA requests comment on the exceed the 1,000 mtCO2e threshold, We are proposing to replace these proposed magnitude of the cutoff. then reporting by chemical at the default GWPs with five default GWPs Where a facility produces only one facility level would allow competitors to that would significantly increase the fluorinated gas, the EPA is proposing deduce at least a subset of the chemicals precision and accuracy of the CO2e that it be required to report emissions that are being emitted by that process. emissions calculated and reported only by fluorinated GHG group unless We request comment on whether this under subpart L. The new default GWPs the emissions consist of a major situation actually arises in practice. would also replace best-estimate GWPs fluorinated GHG constituent of the Various ways of reducing the that some facilities have used to report fluorinated GHG product and that probability of this situation include their CO2e emissions under the subpart product is sold or transferred to another increasing the threshold for chemical- L temporary reporting provisions. The person. In this case, the facility would specific reporting (e.g., up to 10,000 default GWPs would be calculated and be required to report emissions of the mtCO2e) and/or reducing the number of assigned based on fluorinated GHG major fluorinated GHG constituents of separate fluorinated GHG groups (e.g., to group, and would be included in a new the product, which the EPA proposes to ‘‘fully fluorinated GHGs, saturated HFCs Table L–1. The default GWPs would be define as constituents of the product and saturated HFEs, and other’’). If the based on the AR4 values for the that individually account for more than situation would still occur even with compounds currently listed in Table A– 1 percent of the product by mass. The these changes, another way to address it 1,12 and, for fluorinated GHGs that are EPA is proposing this exception because would be to allow facilities that not included in Table A–1, on where products are sold or otherwise encounter it to report process-level additional GWPs in the recent peer- transferred to other persons, those emissions only as CO2e, without any reviewed literature, specifically the persons, who could presumably include designation of the chemical type. Comprehensive Review. As indicated by competitors, could identify the major Affected facilities would continue to its name, the Comprehensive Review constituents of the product simply by report facility emissions by chemical. consolidates and updates the GWPs chemically analyzing it. Thus, As discussed above, process-level found in the peer-reviewed literature for identifying the chemical species of the information on chemical type is numerous halogenated compounds, major constituents of the product when important because it provides insight including approximately 100 they are emitted would not provide any into potential reduction options; thus, fluorinated GHGs that are not included additional information to competitors we would prefer not to pursue this last in Table A–1. The Comprehensive on the product or the methods used to approach. However, reporting in CO2e Review GWPs are likely to be the basis produce it. The EPA is proposing to only would still permit us to understand of updated GWPs in the IPCC Fifth limit this reporting to major constituents the magnitudes and trends of emissions Assessment Report (AR5), which is because information on constituents from each process. We request comment expected to be completed this year. that comprise less than 1 percent of the on the extent to which increasing the The default GWPs would be assigned product is (1) more difficult to obtain threshold for chemical-specific to the fluorinated GHG groups the EPA through chemical analysis, and (2) more reporting and/or reducing the number of is proposing for process-specific likely to disclose detailed information chemical types would address any reporting: (1) Fully fluorinated GHGs, regarding reactants, intermediates, and revealing overlap between the chemicals (2) saturated HFCs, (3) saturated HFEs by-products of the processes used to reported at the facility level and and saturated HCFEs, (4) unsaturated make the product. This is because such chemical types reported at the process PFCs, unsaturated HFCs, unsaturated reactants, intermediates, and by- level. We also request comment on the HCFCs, unsaturated HFEs, and products may occur as low- option of allowing facilities affected by fluorinated ketones, and (5) other GHGs. concentration impurities in the product. this overlap to report process-level The proposed default GWPs for these The EPA requests comment on this emissions without identifying the fluorinated GHG groups are listed in proposal and on whether and how it chemical type emitted. Table 2 of this preamble.

threshold one year and exceeded it the next would one expressed regarding the number of process 12 For sevoflurane, which is not included in AR4, be identified in the second year, indicating that the steps being revealed by process-specific reporting, they would be based on the Table A–1 value. scale or nature of one or more processes at the and EPA has similar questions regarding it. facility had changed. This concern is similar to the

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TABLE 2—DEFAULT GWPS PROPOSED FOR INCLUSION IN TABLE L–1 AS DEFAULT GWPSBYFLUORINATED GHG GROUP

Proposed global Fluorinated GHG group warming potential (100 yr.)

Fully fluorinated GHGs ...... 10,000 Saturated hydrofluorocarbons (HFCs) ...... 2,200 Saturated hydrofluoroethers (HFEs) and saturated hydrochlorofluoroethers (HCFEs) ...... 1,600 Unsaturated PFCs, unsaturated HFCs, unsaturated HCFCs, unsaturated HFEs, and fluorinated ketones ...... 1 Other fluorinated compounds ...... 100

As discussed in Section II.A.3.a of types may exceed that associated with influenced by the compound’s inclusion this preamble, the compounds within the GWPs of the compound types of bonds other than C–F bonds (e.g., S– each group exhibit similar atmospheric currently identified as belonging to the F or N–F bonds in SF6, SF5CF3, and lifetimes and radiative behavior, ‘‘other fluorinated GHG’’ group. NF3) or by a cyclic structure (as for c– meaning that their GWPs fall into a However, while adopting a GWP of 2000 C3F6). Within the other fluorinated GHG relatively limited range. This permits would decrease the likelihood of groups, relatively high-GWP compounds default GWPs to be established with underestimating the GWPs of new types are those that are relatively long-lived, more precision than is possible with of compounds, it would significantly such as HFC–23 among the saturated larger or more diverse sets of fluorinated overestimate the GWPs of the HFCs and HFE–125 and HFE–134 GHGs. compound types that have been among the saturated HFEs, while For each group, we have taken the identified as belonging to this group to relatively low-GWP compounds are average GWP of the group, rounding it date. those that are short-lived, such as HFC– to one or two significant figures. For For the group including very short- 152a among the saturated HFCs. example, to determine the default GWP lived, unsaturated compounds, we are To develop the proposed defaults, we for fully fluorinated GHGs, we proposing to establish a default GWP of have included outliers where we could determined the average GWP of all fully one to simplify calculations, although not rule out the possibility that such fluorinated fluorocarbons in either the the average GWP for the group is outliers may also occur among the revised Table A–1, or, for compounds actually 0.4.13 Using a default GWP of fluorinated GHGs whose GWPs we wish not included in the revised Table A–1, one would lead to an overestimate of to estimate through the use of defaults. in the Comprehensive Review. The CO2e emissions, but this overestimate Thus, to estimate the default GWP for average GWP for the fully fluorinated would be extremely small in most cases. fully fluorinated GHGs, the EPA did not fluorocarbons is equal to 9,857. This We request comment on this approach. include SF6 or NF3, because the provided the default GWP of 10,000 for The EPA also requests comment on definition of ‘‘fluorinated GHG’’ does fully fluorinated compounds. the sets of chemicals selected as the not include any other compounds This approach is expected to result in bases for the default GWPs. First, we are whose radiatively important bonds an unbiased estimate of the GWP of requesting comment on the fluorinated consist exclusively of S–F or N–F each fluorinated GHG group because, at GHG groups proposed here. Do they bonds. However, we did include capture most of the variability in GWPs the present time, the GWPs of the SF5CF3, because the definition of fluorinated GHGs on Table A–1 are not exhibited by fluorinated GHGs? If not, ‘‘fluorinated GHG’’ does include expected to be any lower or higher, on what alternative fluorinated GHG fluorocarbons, which may include S–F average, than the GWPs of the groups would capture this variability? and N–F bonds in addition to C–F fluorinated GHGs that are not on Table Could facilities easily determine to bonds. We also included cyclic A–1. However, for the ‘‘Other which fluorinated GHG group a fluorinated GHGs for the same reason. particular fluorinated compound fluorinated GHG’’ group, which is a An analysis of how the default GWPs belonged? ‘‘catch-all’’ category for fluorinated change based on the inclusion or Second, we are requesting comment GHGs that do not fit into any other on the individual chemicals whose exclusion of outliers (Analysis of group, it is possible that newly GWPs are used to establish GWPs for Potential Default GWPs for Fluorinated synthesized types of compounds could each fluorinated GHG group. We are GHGs Reported Under the GHGRP) is have GWPs significantly different from specifically interested in comments on included in the docket for this the GWPs of the types of compounds how to treat compounds with relatively rulemaking. For fully-fluorinated GHGs, that are currently in the group. Given high or low GWPs for their groups (i.e., the inclusion of SF6 and NF3 would this uncertainty, we are requesting outliers). Within the group of fully increase the default from 10,000 to comment on two alternatives. One fluorinated GHGs, relatively high GWPs 11,000, while the exclusion of c–C3F6 option would be to establish a default are generally a consequence of a would decrease the default to 9,000. GWP for this group that is equal to the compound’s radiative efficiency (or, We are also requesting comment on average of the known GWPs of the more precisely, the ratio of the whether fluorinated GHGs that contain current members of this group plus one compound’s radiative efficiency to its chlorine should be included in the standard deviation. This would result in molecular weight), which is in turn ‘‘other fluorinated GHG’’ group or in the a default GWP of 300 rather than 100 for fluorinated GHG groups in which the ‘‘Other fluorinated GHG’’ group. 13 The Comprehensive Review rounded the GWPs chemically similar fluorinated GHGs Another option would be to adopt a of many short-lived compounds to ‘‘1’’ or ‘‘0.’’ In that do not contain chlorine are default GWP for this group based on the these cases, EPA calculated the exact GWP based included. While most chlorine- average of the GWPs of all fluorinated on the radiative efficiency and atmospheric lifetime containing GHGs are regulated under provided for the compound in the Comprehensive GHGs, i.e., 2000. This would recognize Review. The exact GWPs are included in ‘‘Analysis the EPA’s Stratospheric Ozone that the uncertainty associated with the of Potential Default GWPs for Fluorinated GHGs Protection Regulations and are therefore GWPs of newly synthesized compound and HTFs Reported under the GHGRP.’’ excluded from the definition of

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‘‘fluorinated GHG’’ (and the GWPs for just two fluorinated GHG reevaluated for new or existing requirements of Subpart L), some groups, ‘‘fully fluorinated GHGs’’ and fluorinated GHGs in each fluorinated chlorine-containing GHGs are included ‘‘other,’’ while this proposed rule GHG group, we do not expect that such in the definition of ‘‘fluorinated GHG.’’ includes five default GWPs for five updates would be frequent. This is These include, for example, a few fluorinated GHG groups. because the sets of fluorinated GHGs hydrochlorofluoroethers (HCFEs) and There are several reasons why we are whose GWPs we are using as the basis unsaturated hydrochlorofluorocarbons not proposing to allow facilities to use for each default are relatively large, (HCFCs). In the future, other chlorine- best-estimate GWPs in today’s action. meaning that the addition or change of containing fluorinated GHGs may be When we promulgated the temporary a few GWPs is not likely to have a large emitted (e.g., unsaturated provisions, we had not collected as impact on the average. chlorofluorocarbons and unsaturated much information on the GWPs of 5. Other Changes to Reporting hydrobromofluorocarbons). In fluorinated GHGs as we now have. Requirements developing the proposed default GWPs, Since we have collected this additional we have included current chlorine- information and issued a NODA seeking Categorization of Effective Destruction containing compounds in the same public comment on potential chemical- Efficiencies: In addition to the changes groups as similar compounds without specific GWPs, we now have a stronger above, we are proposing to replace the chlorine (grouping HCFEs with HFEs basis for making generalizations requirements to report process-specific and unsaturated HCFCs with regarding the atmospheric impacts of activity data (including the mass of unsaturated HFCs), because the fluorinated GHG groups, particularly the product produced 14), emission factors, atmospheric lifetimes and GWPs of the five for which we are proposing default and destruction efficiencies with a chlorine-containing compounds are GWPs in this action. Dividing the set of requirement to identify, as a range, the similar to those of the similar fluorinated compounds into five rather level by which the emissions of each compounds without chlorine. The than two sets also allows us to set process are reduced or controlled, e.g., alternative would be to include the default GWPs with more precision. by a destruction device. In the proposed chlorine-containing compounds in the Thus, the key reason for allowing Inputs rule, we proposed to remove the ‘‘Other fluorinated GHG group,’’ but this facilities to develop and apply their own requirements to report process-specific approach would lead to the use of less GWPs, which is that such estimates activity data, emission factors, and accurate default GWPs for the chlorine- could be significantly more accurate and destruction efficiencies; in this action containing compounds. precise than default GWPs, no longer we are proposing to remove the As discussed above, the applies to the extent that it once did. requirement to report the mass of Comprehensive Review GWPs are likely Furthermore, the use of best-estimate product produced. As discussed in an to be the basis of the GWPs in the IPCC GWPs has significant drawbacks. analysis supporting the proposed Inputs Fifth Assessment Report (AR5), which is These drawbacks include the lack of rule (‘‘Evaluation of Competitive Harm expected to be completed this year. To transparency of best-estimate GWPs to from Disclosure of ‘‘Inputs to the extent that AR5 updates or corrects EPA and the public and the lack of Equations’’ Data Elements Deferred to the GWPs for some GHGs that are consistency of best-estimate GWPs March 31, 2015,’’ available in Docket included in the Comprehensive Review across facilities emitting the same EPA–HQ–OAR–2010–0929), we have (but are not included in Table A–1), we chemical. These drawbacks were identified potential disclosure concerns are proposing to use those updated acceptable in the context of the associated with reporting of exact values in our calculations of default temporary reporting provisions, which activity data, emission factors, and GWPs for the final rule. (If AR5 includes were intended only to provide interim destruction efficiencies at the process GWPs rounded to zero, one, or two, we emissions estimates while the EPA level under subpart L. would use the corresponding updated addressed the disclosure issues raised With respect to subpart L, the radiative efficiencies and/or by commenters, but they pose proposed Inputs rule addresses the use atmospheric lifetimes to calculate more significant concerns for long-term of activity data, emission factors, and precise updated GWPs and use those reporting. Under the temporary destruction efficiencies as inputs to more precise GWPs to calculate the provisions, neither best-estimate GWPs emissions calculations. In addition to relevant default(s).) We request nor the data and analysis used to being used as inputs, these data comment on this approach. support them are reported to the EPA; elements provide information that is Differences between proposed default thus, the reliability of this data and useful for policy analysis for the GWPs and the default GWPs in the analysis, and the accuracy of the fluorinated gas production source subpart L temporary reporting resulting GWPs, are difficult to category. Specifically, they help EPA to provisions. The approach proposed in ascertain. This could lead to the use of identify processes with a large potential today’s action differs from the approach poorly supported, incorrect GWPs. In for future reductions and reduction taken under the temporary subpart L addition, allowing facilities to use their technologies that are highly effective. reporting provisions in two respects. own best estimates of GWPs could result On the one hand, processes that are First, the temporary subpart L reporting in different facilities using different relatively uncontrolled are likely to provisions give facilities the option to GWPs for the same compound, reducing have a larger potential for future use their best estimate of a GWP for a the comparability of emissions estimates reductions than those that are already compound lacking a GWP on Table A– across facilities. In contrast, establishing highly controlled. On the other hand, 1, as long as that estimate is based on consistent default GWPs for compounds high levels of control imply the use of the information described in 40 CFR for use by multiple facilities would highly effective reduction technologies. 98.123(c)(1)(vi)(A)(3) and is allow the EPA to compare emissions Destruction efficiencies indicate the documented. Under the approach across facilities and to better proposed in this action, facilities and characterize emission trends. 14 Even if the mass of product produced is not suppliers would not have this option, Future Changes to Default GWPs. used by a facility to estimate its emissions, it may be used in analyses of that facility’s emission data but would use the appropriate default While the EPA would reserve the right to develop an ‘‘implied emission factor’’ that can be GWP. Second, the temporary subpart L to update the default GWPs as chemical- used to compare emission rates per mass of product reporting provisions include default specific GWPs were evaluated or produced across processes and facilities.

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level of control directly, while emission processes that are relatively effective destruction efficiency would factors (and the activity data from which uncontrolled. be equated to one minus the ratio such factors can be deduced) can do so The uncertainty created by the ranges between the actual emissions from the indirectly (because very low emission of reduction levels would be in addition process (i.e., accounting for any factors often result from high levels of to the uncertainty around the masses of controls) and the uncontrolled control). While the magnitude of vented process streams that would emissions from the process (i.e., the emissions from a process may provide result from reporting emissions by emissions that would have occurred in some indication of whether or not that fluorinated GHG group rather than by the absence of controls), expressed in process is controlled, this is not always individual chemical. The GWPs for each CO2e. This calculation would not the case. For example, large (i.e., high- fluorinated GHG group have relative require facilities to gather any production) processes that emit gases standard deviations ranging from 40 additional data, and we anticipate that with very high GWPs may be controlled percent (for fully fluorinated GHGs) to it would be automated through the but still have higher CO2e emissions over 100 percent (for all the other inputs verification tool, meaning that than smaller, uncontrolled processes fluorinated GHG groups), resulting in there would be essentially no additional that emit gases with lower GWPs. The similar uncertainty ranges for chemical- burden associated with it for reporters. wide range of GWPs of the gases that are specific emissions (both controlled and However, to the extent that some burden emitted from fluorinated gas production uncontrolled). Given the uncertainty may exist, we request comment on the facilities introduce a source of associated with reporting by fluorinated option of requiring reporting of effective uncertainty into data from these GHG group, we are considering destruction efficiencies only for facilities that is generally absent from requiring facilities to report their precise processes with emissions over a certain 15 the data from other types of facilities. level of reduction for each process threshold, e.g., 10,000 mtCO2e. The proposed requirement for rather than the range of that reduction. Because we are proposing to remove facilities to report, as a range, the level This would provide more detailed the option to use the mass-balance of control of each process would information regarding the reduction and approach, and because very few directly address this issue. We are may actually be simpler than placing facilities have used this approach to the level of reduction in a range. One proposing four ranges into which date, our preference is not to require potential issue regarding this approach facilities would bin the level of control reporting of the effective destruction is that the level of uncertainty (around of processes. These ranges are shown in efficiency for processes whose the masses of vented process streams) Table 3 of this preamble. emissions were estimated using the that results from reporting emissions by mass-balance approach. However, we fluorinated GHG group is relatively low TABLE 3—PROPOSED RANGES FOR request comment on this. (i.e., a relative standard deviation of less REPORTING REDUCTION LEVELS than 50%) for some groups (e.g., fully Reporting for scoping speciation. We are also proposing to remove the [mtCO2e] fluorinated GHGs), which could result in disclosure concerns for facilities that requirements that facilities report the Range of uncontrolled make one product. We request comment contents, location, and function of the emissions associated Range of reductions on this alternative. streams analyzed under the scoping with emissions of speciation (40 CFR 98.124(a)). Facilities 1,000 mtCO2e The EPA also considered requiring facilities to indicate simply whether or would simply keep records of this >99% ...... 100,000 to not each process is controlled. However, information as currently required under >10,000,000 *. for processes that are completely 40 CFR 98.127(b). We agree with the 95% to 99% ...... 20,000 to 100,000. uncontrolled, this approach raises comments on the proposed CBI 75% to 95% ...... 4,000 to 20,000. issues similar to those raised by determinations that the contents of 0% to 75% ...... 1,000 to 4,000. reporting the precise level of reduction. emitted streams, which we had * The 10 million figure assumes a reduction This is because, for uncontrolled proposed to be emission data, would of 99.99 percent (e.g., destruction to ‘‘four processes, the level of reduction would reveal the same types of process nines’’); higher reduction percentages would be precisely specified as zero. In the information as would be revealed by lead to higher upper bounds. approach we are proposing, a facility chemical-specific reporting of process The ranges are designed to provide with uncontrolled emissions from a level emissions under 40 CFR 98.126. In useful information on the level of process would bin that process in the view of this concern, we reviewed the control for each process while also zero- to 75-percent controlled category, role of this data element in the GHGRP. protecting detailed information whose corresponding uncontrolled The contents, location, and function of regarding the mass of material removed emissions span a factor of four. tested streams provide background on from the process (e.g., as one or more However, we request comment on emission estimates that is analogous to by-products) and vented to the requiring facilities to indicate only the background provided by emissions destruction device or atmosphere. Each whether or not each process is test data. (Facilities are currently range of reductions corresponds to a controlled. required to keep records of, but not range of uncontrolled emissions that To calculate the level of reductions, report, emissions test data under 40 CFR spans a factor of four or more, resulting we are proposing that facilities consider 98.127(d)(4).) This background in a large zone of uncertainty around the both the destruction efficiency (DE) and information is important for ensuring masses of vented process streams. At the the downtime (or uptime) of the that facilities have correctly complied same time, however, the ranges are destruction device. Downtime can have with subpart L’s monitoring small enough to distinguish between a large impact on the effective requirements, but it is not essential to highly controlled processes, processes destruction efficiency of destruction verify emission calculations or to inform with intermediate levels of control, and devices; for example, a device with a policy. Thus, we are proposing to nominal DE of 99.99 percent that require recordkeeping as opposed to 15 Note that reporting process emissions by experiences 5 percent downtime will reporting of the contents, location, and chemical type would reduce but not eliminate this have an effective destruction efficiency function of tested streams, consistent uncertainty. of 95 percent. The level of reductions or with the approach we have taken with

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emissions test data under 40 CFR appearance of trends that are caused estimate of emissions. For this reason, 98.127(d)(4). solely by inconsistent GWPs. In the facilities that wish to use the mass- Proposed 2013 Revisions Rule, the EPA balance method are required to review 6. Reporting Emissions From proposed to apply the GWPs proposed the accuracy and precision of their Destruction of Previously Produced in that rule to emissions reported for measurement systems and to calculate Fluorinated GHGs and From Venting of Reporting Years 2010, 2011, and 2012. the absolute and relative errors of the Residual Fluorinated GHGs From However, as noted in the Proposed 2013 estimates that they would develop using Containers Revisions Rule, we cannot apply revised the mass-balance method. If these In addition to emissions from GWPs with any precision to the less calculations show that the absolute and fluorinated gas production and detailed subpart L reports received relative errors would fall above certain transformation processes, facilities under the August 24, 2012 rule that limits for a process, facilities are not covered by subpart L are required to deferred full subpart L reporting, allowed to use the mass-balance method report emissions of each fluorinated because those reports do not include for that process. However, at least one GHG from destruction of previously chemical-specific emissions data (78 FR facility that believed it was eligible to produced fluorinated GHGs and from 19834).16 Moreover, we are proposing use the mass-balance method calculated venting of residual fluorinated GHGs that facilities submit RY 2011, 2012, and an impossible result (negative from containers (40 CFR 98.126(g) and 2013 reports with the level of detail emissions) when it attempted to use this (h)). The commenters did not include specified in this action. Since the method. This indicates that the error these data elements among those that subpart L facilities would be submitting limits (which should have prohibited they identified as posing a risk of their reports with the level of detail such a result) may be difficult to revealing trade secrets or violating specified in this action, the incremental calculate and apply. Without the error export control laws regulations. burden associated with applying the limits, the mass-balance method is not Therefore, the EPA is not proposing to GWPs established in the 2013 Revisions viable. Finally, only two facilities amend the reporting of these emissions. Rule and in this rulemaking to the reporting emissions in 2012 or 2013 The EPA notes that these data elements previously deferred RY 2011, 2012, and indicated that they had used the mass- would include the identification of the 2013 reports would be negligible, while balance method to estimate emissions fluorinated GHG products being the benefit, a consistent time series, from any process, and both facilities destroyed or vented. As discussed would be considerable. indicated that they were no longer using above, competitors can assess the this method when contacted by the B. Proposal To Remove the Mass- contents of a fluorinated gas producer’s EPA. Thus, we do not expect that the Balance Approach From Subpart L final products (unlike intermediates) removal of this method will result in a simply by purchasing the products and The 2010 Final Rule included three significant burden for subpart L analyzing their contents. methods for calculating emissions of reporters. However, we request fluorinated GHGs from fluorinated gas 7. Submission of Full GHG Reports for comment on this issue, on the proposed production: Reporting Year 2011, 2012, and 2013 removal of the mass-balance method, (1) The process-vent specific emission and on the rationale presented here. In the final rule published on August factor method, which requires facilities Our intent is that facilities submitting 24, 2012, the EPA deferred detailed to conduct emissions testing to reports in 2015 of RY 2011, 2012, 2013, reporting of reporting year (RY) 2011 determine an emission factor for the or 2014 emissions estimated using the and 2012 emissions under subpart L vent; mass-balance method would be able to until March 31, 2014 (or, if the data (2) The process-vent specific emission refer to its provisions even after it is element was deferred under the Inputs calculation factor method, which removed from subpart L. We are rule, until the date set forth for that data requires facilities to use certain proposing to revise subpart L to inform element at 40 CFR 98.3(c)(4)(vii) and engineering calculation or assessment interested parties that the full text of the Table A–7 of subpart A). In the methods to calculate an emission factor mass-balance method is available as part Proposed 2013 Revisions Rule, we for the vent and which may be applied of the 2010 final rule (75 FR 74774, proposed to further defer detailed to batch processes and to continuous 74832–74837, 74843–74845). Another reporting of RY 2011, 2012, and 2013 process vents with emissions of less option would be to include the full text emissions until March 31, 2015. Instead than 10,000 mtCO2e, and of the mass-balance method as an of requiring facilities to report their RY (3) The mass-balance method, which appendix to part 98. We are seeking 2011, 2012, and 2013 emissions at the requires facilities to track and measure comment on whether that option would level of detail specified in the 2010 the fluorine-containing compounds that have any advantages over referring Final Rule, we are today proposing to are added to or removed from the interested parties to the 2010 final rule. require facilities to report those process, including reactants, by- Because two facilities have used the emissions at the level of detail specified products and products, to determine mass-balance method to estimate their in this rule. emissions from the process. emissions during previous reporting When subpart L reporters submit their We are proposing to remove the mass- years, we are proposing to retain certain full annual reports for RY 2011, 2012, balance method. As observed in the reporting requirements associated with and 2013, we are also proposing to preamble to the 2009 proposed rule and that approach (i.e., for purposes of require them to report emissions using 2010 Final Rule, the mass-balance reporting RY 2011, 2012, 2013, and the Table A–1 GWPs in effect on the method requires very precise and 2014 emissions in 2015) as well as the reporting deadline as specified in 40 accurate concentration and flow corresponding recordkeeping CFR 98.3(b), and the default GWPs measurements in order to provide a requirements. However, we are established through this rulemaking. reasonably precise and accurate proposing to remove several other This would ensure that the emissions reporting elements for the mass-balance reported under subpart L for RY 2011, 16 Applying revised GWPs to the emissions method. In some cases, we are reported under this proposed rule would also 2012, and 2013 are based on the same involve uncertainty, as many emitted chemicals are proposing to remove these elements GWPs as emissions reported for likely to fall under the proposed threshold for because they involve reporting subsequent reporting years, avoiding the chemical-specific reporting. emissions by chemical and by process,

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and, as discussed above, we are them in emissions testing and emissions from venting of residual fluorinated proposing to replace such reporting estimates. GHGs in containers, when pressure is with less detailed reporting under Other proposed amendments to the monitored parameter. Although the subpart L. The data elements that fall subpart L and proposed harmonizing current Equation L–33 includes the into this category include the masses amendments to subpart A. As discussed appropriate basis for the estimate, i.e., a and chemical formulas for the in Section II.A.4 of this preamble, the form of the ideal gas law, the equation fluorinated GHG reactants, products, EPA is proposing to revise the set of is not solved for the desired variable, and by-products emitted. In other cases, default GWPs applied to fluorinated the mass of residual gas in the we are proposing to remove these GHGs that do not have GWPs in Table container, in kilograms. The EPA is elements because they would no longer A–1. To implement those changes, we proposing a new Equation L–33 that be useful given the proposed removal of are proposing additional revisions to directly calculates this variable. Because the requirement to report associated subpart L. We are proposing a revision the amended equation is based on the data elements under the proposed to 40 CFR 98.123(a) regarding the same input parameters as the current Inputs rule. The data elements that fall default GWPs that should be used when equation, the correction does not result into this category include the chemical Table A–1 GWPs are not available for in additional requirements. formulas for the fluorine-containing fluorinated GHGs emitted from a In addition, the EPA is proposing a reactant fed or removed, for the product process. We are proposing to delete the technical clarification to 40 CFR produced or removed, and for the by- use of a default GWP of 2,000 and 98.124(c)(2) of subpart L. Paragraph product removed; and the fractions of proposing to add use of the appropriate (c)(2) includes a term or acronym, default from Table L–1 for the the mass emitted that consist of ‘‘RSD,’’ that is not defined within the fluorinated GHG group to which the fluorine-containing reactants, products, rule. The EPA has added the term compound would belong. We are and by-products. ‘‘relative standard deviation (RSD)’’ in proposing similar changes to 40 CFR the second sentence in 40 CFR C. Clarifications to the Emission Factor 98.123(c)(1)(v) and 98.124(c)(2). We are 98.124(c)(2) to clarify the meaning of the Approach of Subpart L also proposing to delete the last term in the regulatory text. The EPA is proposing to amend sentence in 40 CFR 98.123(a), which states that fluorinated GHGs should not We are also proposing changes to subpart L to clarify that facilities using subpart A to harmonize subpart A the emission factor approach to estimate be reported under 40 CFR 98.3(c)(4) of subpart A when the GWP is not listed reporting with subpart L reporting for their emissions are required, in future fluorinated gas production facilities. testing, to test for any fluorinated GHG in Table A–1. In addition, we are proposing to These include changes to 40 CFR identified in the scoping speciation, and remove and reserve 40 CFR 98.2(b)(1), which establishes the set of to report emissions of all fluorinated 98.123(c)(1)(vi), which establishes a gases to include in the threshold GHGs that are identified in the scoping process under which facilities may calculation, 40 CFR 98.2(b)(4), which speciation. Emissions that fall below the request, for fluorinated GHGs whose includes Equation A–1 for calculating detection limit of the measurement GWPs are not included in Table A–1, to CO2e, 40 CFR 98.3(c)(4)(iii)(E), which technology would be required to be use provisional GWPs for their establishes the set of gases to include in reported at one half of that limit. (Note preliminary calculation of emissions annual reporting of emissions in tons of that if the emissions of a particular under 40 CFR 98.123(c)(1). We chemical, and 40 CFR 98.3(c)(4)(vi), fluorinated GHG fell below 1,000 established this process in recognition which establishes the set of gases to mtCO2e for the facility as a whole, those of the fact that the default GWP value include in annual reporting of emissions emissions would be reported in CO2e that is currently provided for these in CO2e. only.) This change would be calculations, 2000, would overestimate D. Overview and Approach to Proposed implemented by removing references to emissions from process vents in some CBI Determinations fluorinated GHGs that ‘‘occur in more cases, inappropriately requiring than trace concentrations’’ and facilities to perform stack tests for these In this action, the EPA is proposing replacing them with references to vents. With the establishment of five confidentiality determinations for each fluorinated GHGs ‘‘identified under the default GWPs, which would allow of the 15 reporting data elements initial scoping speciation.’’ considerably more precise estimates of proposed to be added or substantially As noted in the April 12, 2010 CO2e emissions than the previous single revised, as previously discussed in proposed rule, one of the purposes of default value of 2000, we have Section II.A of this preamble. To make the scoping speciation is ‘‘to identify by- concluded that this provision would no these determinations, the EPA is using products to measure in subsequent longer be necessary. However, we the same approach that the EPA emissions testing to develop emission request comment on this. If we were to previously used for the 2011 final CBI factors’’ (75 FR 18674). However, the retain the provision, we would amend it rule (76 FR 30782, May 26, 2011). regulatory text in the 2010 Subpart L to replace the February 2011 due date Specifically, the EPA is assigning each Final Rule did not explicitly require for requests to use a provisional GWP of these 15 data elements to one of 11 facilities to include the fluorinated with a more general due date that allows direct emitter data categories,17 based GHGs identified under the scoping facilities to request provisional GWPs in on the type and characteristics of the speciation in the testing. This the future. Specifically, facilities would data elements. For a description of each amendment would address that be required to submit their requests by data category and the type and oversight. Due to the high GWPs of February 28 of the reporting year for characteristics of data elements assigned many fluorinated GHGs, even those emissions they wish to estimate to each category, see Sections II.C and fluorinated GHGs that are emitted only using the emission calculation factor II.D of the July 7, 2010 CBI proposal at trace concentrations (i.e., in approach. preamble (75 FR 39106–39130). concentrations of less than 0.1 percent We are also proposing a technical of the emissions stream) can account for correction to Equation L–33 of subpart 17 Since subpart L is a direct emitter source significant CO2e emissions from the L. Equation L–33 is used to determine category, the data elements are assigned to the facility. Thus, it is important to include the mass of fluorinated GHG emitted direct emitter data categories.

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Based on its evaluation of these 15 categorical determinations that all data data element be assigned to the ‘‘Facility data elements, the EPA is proposing that elements assigned to the ‘‘Emissions,’’ and Unit Identifier Information’’ data each data element be assigned to one of ‘‘Calculation Methodology and category, thereby applying the the following direct emitter data Methodological Tier,’’ and ‘‘Facility and categorical confidentiality categories: Unit Identifier Information’’ data determinations made for these • Emissions. • categories meet the definition of categories in the 2011 final CBI rule to Calculation Methodology and ‘‘emission data’’ in 40 CFR 2.301(a)(2)(i) each of these reporting data elements. Methodological Tier. and, thus, are not entitled to This proposal is not changing, nor • Facility and Unit Identifier confidential treatment. Among the 15 soliciting comment on, the Information. • Unit/Process ‘‘Static’’ proposed new or substantially revised determination that these three data Characteristics that are Not Inputs to reporting data elements, the EPA is categories are ‘‘emission data,’’ as Emission Equations. proposing, as shown in Table 4A of this finalized in the 2011 CBI rule. Should • Unit/Process Operating preamble, that seven data elements be the EPA finalize the category Characteristics That are Not Inputs to assigned to the ‘‘Emissions’’ data assignment for these data elements, they Emission Equations category, four data elements be assigned will be considered ‘‘emission data’’ and, In the 2011 final CBI rule (76 FR to the ‘‘Calculation Methodology and as such, not entitled to confidential 30782, May 26, 2011), the EPA made Methodological Tier’’ category, and 1 treatment.

TABLE 4A—DATA ELEMENTS PROPOSED TO BE ASSIGNED TO THE ‘‘EMISSIONS,’’ ‘‘CALCULATION METHODOLOGY AND METHODOLOGICAL TIER,’’ AND ‘‘FACILITY AND UNIT IDENTIFIER INFORMATION’’ DATA CATEGORIES

Proposed citation Proposed new or substantially revised data element

‘‘Emissions’’ Data Category

40 CFR 98.126(a)(3) ...... For facilities with multiple fluorinated gas products: For each generically-identified process and each fluorinated GHG group, total GWP-weighted emissions of all fluorinated GHGs in that group emitted from the process, in metric tons CO2e. 40 CFR 98.126(a)(4)(i) ...... For facilities with multiple fluorinated gas products: For each fluorinated GHG with emissions of 1,000 metric tons of CO2e or more from the facility as a whole, the total mass in metric tons of the fluorinated GHG emitted from the facility as a whole. 40 CFR 98.126(a)(4)(ii) ...... For facilities with multiple fluorinated gas products: Aggregated total GWP-weighted emissions of all other fluorinated GHGs by fluorinated GHG group for the facility as a whole, in metric tons of CO2e. 40 CFR 98.126(a)(5) ...... For facilities that produce only one fluorinated gas product: Aggregated total GWP-weighted emissions of fluorinated GHGs by fluorinated GHG group for the facility as a whole, in metric tons of CO2e. 40 CFR 98.126(a)(5) ...... Where facilities produce only one fluorinated gas product but emissions consist of a major fluorinated GHG con- stituent of that fluorinated gas product, and the product is sold or transferred to another person: Total mass in metric tons of each fluorinated GHG emitted that is a major fluorinated GHG constituent of the product. 40 CFR 98.126(c)(3) ...... For the emission factor and emission factor calculation method: For each fluorinated GHG group, the total GWP- weighted mass of all fluorinated GHGs in that group emitted from all process vents combined, in metric tons of CO2e. 40 CFR 98.126(c)(4) ...... For the emission factor and emission factor calculation method: For each fluorinated GHG group, the total GWP- weighted mass of all fluorinated GHGs in that group emitted from equipment leaks, in metric tons of CO2e.

‘‘Calculation Methodology and Methodological Tier’’ Data Category

40 CFR 98.126(a)(2)(iv) ..... For each generically-identified fluorinated gas production and transformation process and each fluorinated GHG group at the facility: The methods used to determine the mass emissions of that fluorinated GHG group from that process from process vents. 40 CFR 98.126(a)(2)(v) ...... For each generically-identified fluorinated gas production and transformation process and each fluorinated GHG group at the facility: The methods used to determine the mass emissions of that fluorinated GHG group from that process from equipment leaks. 40 CFR 98.126(b)(1) ...... For the mass-balance approach: The overall absolute and relative errors calculated for the process under para- graph § 98.123(b)(1), in tons and decimal fraction, respectively. 40 CFR 98.126(b)(2) ...... For the mass-balance approach: The method used to estimate the total mass of fluorine in destroyed or recap- tured streams (specify § 98.123(b)(4) or (15)).

‘‘Facility and Unit Identifier Information’’ Data Category

40 CFR 98.126(a)(2)(i) ...... For each generically-identified production and transformation process at the facility: A number, letter, or other iden- tifier for the process.

The EPA is proposing to assign two In the 2011 final CBI rule, the EPA these categories. In proposing these proposed new data elements to the determined that the data elements in determinations, the EPA considered the ‘‘Unit/Process ‘Static’ Characteristics these categories are not ‘‘emission data’’ confidentiality criteria at 40 CFR 2.208, that are Not Inputs to Emission (as defined at 40 CFR 2.301(a)(2)(i)). in particular whether release of the data Equations’’ category and one proposed However, instead of categorical is likely to cause substantial harm to the new data element to the ‘‘Unit/Process determinations, the EPA made business’s competitive position. See 40 Operating Characteristics That are Not confidentiality determinations for CFR 2.208(e)(1). The EPA is therefore Inputs to Emission Equations’’ category. individual data elements assigned to following the same approach in this

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action for the proposed new reporting EPA proposes to assign to these data none of these data elements qualifies as elements assigned to these categories. categories and presents the EPA’s CBI. Table 4B of this preamble lists the rationale for proposing to determine that proposed new data elements that the

TABLE 4B—PROPOSED CONFIDENTIALITY DETERMINATIONS FOR PROPOSED NEW DATA ELEMENTS ASSIGNED TO THE ‘‘UNIT/PROCESS ‘STATIC’ CHARACTERISTICS THAT ARE NOT INPUTS TO EMISSION EQUATIONS’’ AND THE ‘‘UNIT/PROC- ESS OPERATING CHARACTERISTICS THAT ARE NOT INPUTS TO EMISSION EQUATIONS’’ DATA CATEGORIES

Confidentiality Proposed rationale for confidentiality Citation Data element determination determination

Unit/Process ‘Static’ Characteristics That Are Not Inputs to Emission Equations

40 CFR 98.126(a)(2)(ii) ...... For each generically-identified production and Not CBI ...... This data element would reveal only general transformation process at the facility: Indica- information about the type of operation, tion of whether the process is a fluorinated which would not reveal any information gas production process, a fluorinated gas about the production process (e.g., number transformation process where no fluorinated of process steps, manufacturing efficiencies, GHG reactant is produced at another facil- novel productions methods) that would ity, or a fluorinated gas transformation proc- allow competitors to gain a competitive ad- ess where one or more fluorinated GHG vantage. reactants are produced at another facility. 40 CFR 98.126(a)(2)(iii) ..... For each generically-identified production and Not CBI ...... This data element would reveal only a general transformation process at the facility: Indica- description of the type of production proc- tion of whether the process could be char- ess, which would not reveal any information acterized as reaction, distillation, or pack- about the process (e.g., number of process aging. steps, manufacturing efficiencies, novel pro- ductions methods) that would allow com- petitors to gain a competitive advantage.

Unit/Process Operating Characteristics That Are Not Inputs to Emission Equations

40 CFR 98.126(a)(7) ...... For each generically identified process, the Not CBI ...... This data element would place the effective range in Table L–1 that encompasses the destruction efficiency for the process in a effective destruction efficiency, DEeffective, range. For any given level of emissions, this calculated for that process using Equation range would correspond to a range of L–35, based on CO2e. masses vented to the destruction device that spanned a factor of four or more. Thus, even if competitors had a rough estimate of the quantity of the product produced (e.g., from sources other than the GHGRP), this information would not reveal any information about the process (e.g., manufacturing effi- ciencies) that would allow competitors to gain a competitive advantage.

The EPA is requesting comment on information, on whether the data could potentially reduce the reporting two aspects of these confidentiality element does or does not qualify for burden. The OMB has previously determinations. First, the EPA seeks confidential treatment. approved the information collection comment on the proposed data category requirements for subpart L under 40 III. Statutory and Executive Order CFR part 98 under the provisions of the assignment for each of these data Reviews elements in Tables 4A and 4B. We Paperwork Reduction Act, 44 U.S.C. specifically seek comments identifying A. Executive Order 12866: Regulatory 3501 et seq., and has assigned OMB which proposed new data elements may Planning and Review and Executive control number 2060–0629. be incorrectly assigned, a detailed Order 13563: Improving Regulation and Further information on the EPA’s explanation of why they may be Regulatory Review assessment on the impact on burden can incorrectly assigned, and a This action is not a ‘‘significant be found in the 2013 Amendments to recommendation regarding the data regulatory action’’ under the terms of the Greenhouse Gas Reporting Rule for category to which they should be Executive Order 12866 (58 FR 51735, the Fluorinated Gas Production Source assigned. October 4, 1993) and is therefore not Category Cost Memo in docket number Second, for those data elements subject to review under Executive EPA–HQ–OAR–2009–0927. assigned to the direct emitter data Orders 12866 and 13563 (76 FR 3821, C. Regulatory Flexibility Act (RFA) category without categorical January 21, 2011). confidentiality determinations (i.e., the The RFA generally requires an agency data elements in Table 4B), the EPA B. Paperwork Reduction Act to prepare a regulatory flexibility seeks comment on the individual This action does not increase analysis of any rule subject to notice confidentiality determinations we are information collection burden. These and comment rulemaking requirements proposing for these data elements. We proposed amendments to subpart L under the Administrative Procedure Act specifically request comment, including reduce the level of detail with which or any other statute unless the agency detailed rationale and supporting emissions are reported and therefore certifies that the rule will not have a

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significant economic impact on a subject to the requirements of section G. Executive Order 13045: Protection of substantial number of small entities. 203 of the UMRA. Children From Environmental Health Small entities include small businesses, Risks and Safety Risks E. Executive Order 13132: Federalism small organizations, and small The EPA interprets Executive Order governmental jurisdictions. This action does not have federalism 13045 (62 FR 19885, April 23, 1997) as For purposes of assessing the impacts implications. It will not have substantial applying only to those regulatory of this proposed rule on small entities, direct effects on the States, on the actions that concern health or safety small entity is defined as: (1) A small relationship between the national risks, such that the analysis required business as defined by the Small government and the States, or on the under section 5–501 of the Executive Business Administration’s regulations at distribution of power and Order has the potential to influence the 13 CFR 121.201; (2) a small responsibilities among the various regulation. This action is not subject to governmental jurisdiction that is a levels of government, as specified in Executive Order 13045 because it does government of a city, county, town, not establish an environmental standard school district or special district with a Executive Order 13132. For a more detailed discussion about how Part 98 intended to mitigate health or safety population of less than 50,000; and (3) risks. a small organization that is any not-for- relates to existing state programs, please profit enterprise which is independently see Section II of the preamble to the H. Executive Order 13211: Actions That owned and operated and is not final Greenhouse Gas Reporting Rule (74 Significantly Affect Energy Supply, dominant in its field. FR 56266, October 30, 2009). Distribution, or Use After considering the economic The proposed amendments apply to This action is not subject to Executive impacts of these proposed rule facilities that produce fluorinated gases. Order 13211 (66 FR 28355, May 22, amendments on small entities, I certify They would not apply to governmental 2001), because it is not a significant that this action will not have a entities unless the governmental entity regulatory action under Executive Order significant economic impact on a owns a facility that produces fluorinated 12866. substantial number of small entities. gases. We are not aware of any This rule affects fluorinated gas I. National Technology Transfer and governmental entities that would be Advancement Act producers, none of which are small affected. This regulation also does not entities. limit the power of States or localities to Section 12(d) of the National Further, the EPA took several steps to collect GHG data and/or regulate GHG Technology Transfer and Advancement reduce the impact of 40 CFR part 98 on emissions. Thus, Executive Order 13132 Act of 1995 (NTTAA), Public Law 104– small entities when developing the final does not apply to this action. 113 (15 U.S.C. 272 note) directs the EPA GHG Reporting Rules in 2009 and 2010. to use voluntary consensus standards in For example, the EPA determined Although section 6 of Executive Order its regulatory activities unless to do so appropriate thresholds that reduced the 13132 does not apply to this action, the would be inconsistent with applicable number of small businesses reporting. In EPA did consult with State and local law or otherwise impractical. Voluntary addition, the EPA conducted several officials or representatives of State and consensus standards are technical meetings with industry associations to local governments in developing standards (e.g., materials specifications, discuss regulatory options and the subpart L, promulgated on December 1, test methods, sampling procedures, and corresponding burden on industry, such 2010. A summary of the EPA’s business practices) that are developed or as recordkeeping and reporting. Finally, consultations with State and local adopted by voluntary consensus the EPA continues to conduct governments is provided in Section standards bodies. NTTAA directs the significant outreach on the GHG VIII.E of the preamble to the 2009 final EPA to provide Congress, through OMB, reporting program and maintains an rule. explanations when the EPA decides not ‘‘open door’’ policy for stakeholders to In the spirit of Executive Order 13132, to use available and applicable help inform the EPA’s understanding of and consistent with EPA policy to voluntary consensus standards. key issues for the industries. This proposed rulemaking does not promote communications between the involve technical standards. Therefore, D. Unfunded Mandates Reform Act EPA and State and local governments, the EPA is not considering the use of (UMRA) the EPA specifically solicits comment any voluntary consensus standards. The proposed rule amendments do on this proposed action from State and not contain a Federal mandate that may local officials. J. Executive Order 12898: Federal Actions To Address Environmental result in expenditures of $100 million or F. Executive Order 13175: Consultation more for State, local, and tribal Justice in Minority Populations and and Coordination With Indian Tribal Low-Income Populations governments, in the aggregate, or the Governments private sector in any one year. Thus, the Executive Order 12898 (59 FR 7629, proposed rule amendments are not This action does not have tribal February 16, 1994) establishes Federal subject to the requirements of section implications, as specified in Executive executive policy on environmental 202 and 205 of the UMRA. This rule is Order 13175 (65 FR 67249, November 9, justice. Its main provision directs also not subject to the requirements of 2000). The proposed amendments apply Federal agencies, to the greatest extent section 203 of UMRA because it to facilities that produce fluorinated practicable and permitted by law, to contains no regulatory requirements that gases. They would not have tribal make environmental justice part of their might significantly or uniquely affect implications unless the tribal entity mission by identifying and addressing, small governments. Facilities subject to owns a facility that produces fluorinated as appropriate, disproportionately high the rule include fluorinated gas gases. We are not aware of any tribal and adverse human health or producers. None of the facilities facilities that would be affected. Thus, environmental effects of their programs, currently known to undertake these policies, and activities on minority Executive Order 13175 does not apply activities is owned by a small populations and low-income to this action. government. Therefore, this action is not populations in the United States.

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The EPA has determined that this of the Code of Federal Regulations is emissions shall be calculated using the proposed rule will not have proposed to be amended as follows: calculation methodologies specified in disproportionately high and adverse each applicable subpart and available human health or environmental effects PART 98—MANDATORY company records. Include emissions of on minority or low-income populations GREENHOUSE GAS REPORTING only those gases listed in Table A–1 of this subpart, except fluorinated gas because it does not affect the level of ■ 1. The authority citation for part 98 production facilities must calculate and protection provided to human health or continues to read as follows: the environment because it is a rule report CO2e for all fluorinated GHGs addressing information collection and Authority: 42 U.S.C. 7401, et seq. whose emissions they are required to reporting procedures. report under subpart L of this part. For Subpart A—General Provision fluorinated GHGs that are not included List of Subjects in 40 CFR Part 98 ■ 2. Section 98.2 is amended by revising on Table A–1, fluorinated gas production facilities must use the Environmental protection, paragraphs (b)(1) and (b)(4). The revisions read as follows: default GWP provided in Table L–1 to Administrative practice and procedure, subpart L of this part for the fluorinated Greenhouse gases, Reporting and § 98.2 Who must report? GHG group of which the GHG is a recordkeeping requirements. * * * * * member. Dated: November 7, 2013. (b) * * * * * * * * Gina McCarthy, (1) Calculate the annual emissions of (4) Sum the emissions estimates from Administrator. CO2, CH4, N2O, and each fluorinated paragraphs (b)(1), (b)(2), and (b)(3) of GHG in metric tons from all applicable this section for each GHG and calculate For the reasons stated in the source categories listed in paragraph metric tons of CO2e using Equation A– preamble, part 98 of title 40, chapter I, (a)(2) of this section. The GHG 1 of this section.

Where: production facilities must calculate and reactants are produced at another CO2e = Carbon dioxide equivalent, metric report CO2e for all fluorinated GHGs facility. tons/year. whose emissions they are required to (d) Facility level, multiple products. If GHGi = Mass emissions of each greenhouse report under subpart L of this part. For gas, metric tons/year. your facility produces more than one fluorinated GHGs that are not included fluorinated gas product, you must report GWPi = Global warming potential for each greenhouse gas from Table A–1 of this on Table A–1 of this subpart, the emissions (in metric tons) for the subpart. For each fluorinated GHG not fluorinated gas production facilities facility as a whole of each fluorinated listed in Table A–1, fluorinated gas must use the default GWP provided in GHG that is emitted from the facility as production facilities reporting under Table L–1 to subpart L of this part for a whole in quantities of 1,000 metric subpart L of this part must use the the fluorinated GHG group of which the tons of CO2e or more. Aggregate and default GWP provided in Table L–1 to GHG is a member. report emissions of all other fluorinated subpart L of this part for the fluorinated GHG group of which the GHG is a * * * * * GHGs by fluorinated GHG group for the facility as a whole, in metric tons of member. Subpart L—Fluorinated Gas n = The number of greenhouse gases emitted. CO2e. Production * * * * * (e) Facility level, one product only. If ■ 3. Section 98.3 is amended by revising ■ 4. Section 98.122 is amended by: your facility produces only one paragraphs (c)(4)(iii)(E); and (c)(4)(vi). ■ a. Revising paragraph (c); and fluorinated gas product, aggregate and The revisions read as follows: ■ b. Adding paragraphs (d), (e) and (f). report the GWP-weighted emissions of The revisions and additions read as fluorinated GHGs by fluorinated GHG § 98.3 What are the general monitoring, follows: group for the facility as a whole, in reporting, recordkeeping, and verification metric tons CO e, with the following requirements of this part? § 98.122 GHGs to report. 2 exception: Where emissions consist of a * * * * * * * * * * major fluorinated GHG constituent of a (c) * * * (c) Process level. You must report, for fluorinated gas product, and the product (4) * * * each fluorinated GHG group, the total (iii) * * * is sold or transferred to another person, GWP-weighted mass of all fluorinated report the total mass of each fluorinated (E) Each fluorinated GHG (as defined GHGs in that group (in metric tons in § 98.6), including those not listed in GHG emitted that is a major fluorinated CO2e) emitted from: GHG constituent of the product (in Table A–1 of this subpart, except (1) Each fluorinated gas production metric tons). fluorinated gas production facilities process. must comply with § 98.126(a) rather (2) Each fluorinated gas (f) You must report the total mass of than this paragraph (c)(4)(iii)(E). transformation process that is not part of each fluorinated GHG emitted (in metric * * * * * a fluorinated gas production process tons) from: (vi) When applying paragraph (c)(4)(i) and where no fluorinated GHG reactant (1) Each fluorinated gas destruction of this section to fluorinated GHGs and is produced at another facility. process that is not part of a fluorinated fluorinated heat transfer fluids, (3) Each fluorinated gas gas production process or a fluorinated calculate and report CO2e for only those transformation process that is not part of gas transformation process and all such fluorinated GHGs listed in Table A–1 of a fluorinated gas production process fluorinated gas destruction processes this subpart, except fluorinated gas and where one or more fluorinated GHG combined.

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(2) Venting of residual fluorinated from each process using the emission (b) Mass balance method. The mass GHGs from containers returned from the factor or emission calculation factor balance method was available for field. method specified in paragraphs (c), (d), reporting years 2011, 2012, 2013, and ■ 5. Section 98.123 is amended by: and (e) of this section, as appropriate. 2014 only. It may be found at 75 FR ■ a. Revising introductory text; For destruction processes that destroy 74774, 74832–74837 (December 1, ■ b. Revising paragraph (a); fluorinated GHGs that were previously 2010). ■ c. Revising paragraph (b) introductory ‘‘produced’’ as defined at § 98.410(b), (c) * * * text; you must calculate emissions using the ■ d. Removing paragraphs (b)(1) through (1) * * * procedures in paragraph (f) of this (v) GWPs. To convert the fluorinated (b)(16); section. For venting of residual gas from ■ GHG emissions to CO e, use Equation e. Revising paragraph (c)(1)(v); containers (e.g., cylinder heels), you 2 ■ A–1 of § 98.2. f. Removing and reserving paragraph must calculate emissions using the (c)(1)(vi); procedures in paragraph (g) of this (vi) [Reserved] ■ g. Redesignating paragraphs (e)(i) and section. * * * * * (e)(ii) as paragraphs (e)(1) and (e)(2), (a) Default GWP value. For fluorinated (g) * * * respectively; GHGs that do not have GWPs listed in ■ h. Revising paragraph (g)(1); (1) Measuring contents of each ■ i. Revising paragraph (g)(2)(ii); Table A–1 to subpart A of this part, use container. If you weigh or otherwise ■ j. Revising paragraph (g)(2)(iv); and the default GWP provided for the measure the contents of each container ■ k. Adding paragraph (h). fluorinated GHG group of which the before venting the residual fluorinated The revisions and additions read as GHG is a member in Table L–1 of this GHGs, use Equation L–32 of this section follows: subpart in your calculations under to calculate annual emissions of each paragraph (c)(1) of this section, in fluorinated GHG from venting of § 98.123 Calculating GHG emissions. § 98.124(c)(2), and if you used the mass residual fluorinated GHG from For fluorinated gas production and balance method to calculate emissions containers. Convert pressures to masses transformation processes, you must from the process for reporting years as directed in paragraph (g)(2)(ii) of this calculate the fluorinated GHG emissions 2011, 2012, 2013, or 2014. section.

Where: HEfj = Mass of residual fluorinated GHG f in paragraph (g)(1) of this section must be container j after evacuation by facility ECf = Total mass of each fluorinated GHG f determined by monitoring the mass or emitted from the facility through venting (metric tons). (Facility may equate to the pressure of your cylinders/ zero.) of residual fluorinated GHG from containers according to § 98.124(k). If n = Number of vented containers for each containers, annual basis (metric tons/ fluorinated GHG f. you monitor the pressure, convert the year). pressure to mass using a form of the HBfj = Mass of residual fluorinated GHG f in (2) * * * ideal gas law, as displayed in Equation container j when received by facility (ii) Measurement of residual gas. The L–33 of this section, with an (metric tons). residual weight or pressure you use for appropriately selected Z value.

Where: Z = Compressibility factor (iv) Calculate annual emissions of 3 mR = Mass of residual gas in the container R = Gas constant (8.314 Pa m /Kelvin mole) each fluorinated GHG from venting of (metric ton) T = Absolute temperature (K) residual fluorinated GHG from p = Absolute pressure of the gas (Pa) 106 = Conversion factor (106 g/metric ton) containers using Equation L–34 of this V = Volume of the gas (m3) MW = Molecular weight of the fluorinated * * * * * section. GHG f (g/gmole)

Where: container size and type j, as determined n = Number of combinations of container

ECf = Total mass of each fluorinated GHG f in paragraph (g)(2)(iii) of this section. sizes and types for fluorinated GHG f. emitted from the facility through venting Nfj = Number of containers of size and type of residual fluorinated GHG from j returned to the fluorinated gas (h) Effective destruction efficiency for containers, annual basis (metric tons/ production facility. each process. If you used the emission year). Ffj = Full capacity of containers of size and factor or emission calculation factor hfj = Facility-wide gas-specific heel factor for type j containing fluorinated GHG f method to calculate emissions from the fluorinated GHG f (fraction) and (metric tons). process, use Equation L–35 to calculate

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the effective destruction efficiency for the process, including each process vent:

Where: ■ e. Revising paragraph (c)(5); subpart A of this part, use the default DEEffective = Effective destruction efficiency ■ f. Redesignating paragraph (c)(7) as GWP provided for the fluorinated GHG for process i (fraction). paragraph (c)(6); group of which the GHG is a member in EPVf = Mass of fluorinated GHG f emitted ■ g. Redesignating paragraph (c)(8) as Table L–1 of this subpart in the RSD from process vent v from process i, paragraph (c)(7); and calculation. operating scenario j, for the year, ■ h. Redesignating paragraph (c)(9) as calculated in Equation L–21, L–22, L–26, * * * * * or L–27 of this section (kg). paragraph (c)(8); (5) Emission test results. The results GWPf = Global warming potential for each The revisions and additions read as of an emission test must include the greenhouse gas from Table A–1 to follows: analysis of samples, number of test runs, subpart A of this part or Table L–1 of this the results of the RSD analysis, the subpart. If the GHG has a GWP listed in § 98.124 Monitoring and QA/QC requirements. analytical method used, determination Table A–1, use that GWP. Otherwise, use of emissions, the process activity, and * * * * * the default GWP provided in Table L–1 raw data and must identify the process, for the fluorinated GHG group of which (b) Mass balance monitoring. Mass the operating scenario, the process vents the GHG is a member. balance monitoring was available for _ tested, and the fluorinated GHGs that ECFPV Uf = Emission calculation factor for reporting years 2011, 2012, 2013, and were included in the test. The emissions fluorinated GHG f emitted from process 2014 only. The mass balance monitoring test report must contain all information vent v during process i, operating provisions may be found at 75 FR scenario j during periods when the and data used to derive the process- 74774, 74843–74845 (December 1, process vent is not vented to the vent-specific emission factor, as well as 2010). properly functioning destruction device, key process conditions during the test. (c) * * * as used in Equation L–21; or Emission Key process conditions include those (1) Process vent testing. Conduct an calculation factor for fluorinated GHG f that are normally monitored for process emitted from process vent v during emissions test that is based on control purposes and may include but process i, operating scenario j, as used in representative performance of the are not limited to yields, pressures, Equation L–26 or L–27 (kg emitted/ process or operating scenario(s) of the temperatures, etc. (e.g., of reactor activity) (e.g., kg emitted/kg product), process, as applicable. Include in the denoted as ‘‘ECFPV’’ in those equations. vessels, distillation columns). _ emission test any fluorinated GHG that EFPV Uf = Emission factor (uncontrolled) for * * * * * fluorinated GHG f emitted from process was identified in the initial scoping speciation or is otherwise known to ■ 7. Section 98.126 is amended by: vent v during process i, operating ■ occur in the vent stream. You may a. Revising paragraph (a); scenario j, as used in in Equation L–22 ■ b. Revising paragraph (b) introductory (kg emitted/activity) (e.g., kg emitted/kg include startup and shutdown events if product). the testing is sufficiently long or text; ■ c. Revising paragraph (b)(1); ActivityU = Total process feed, process comprehensive to ensure that such ■ production, or other process activity events are not overrepresented in the d. Removing paragraphs (b)(2)–(b)(12); ■ e. Revising paragraph (b)(13); during the year for which the process emission factor. Malfunction events ■ f. Redesignating paragraph (b)(13) as vent is not vented to the properly must not be included in the testing. If functioning destruction device (e.g., kg paragraph (b)(2); product). you do not detect a fluorinated GHG ■ g. Revising paragraph (c) introductory that was identified in the scoping ActivityC = Total process feed, process text; production, or other process activity for speciation or is otherwise known to ■ h. Removing and reserving paragraph process i, operating scenario j, during the occur in the vent stream, assume that (c)(1); year for which emissions are vented to fluorinated GHG was emitted at one half ■ i. Revising paragraph (c)(3); the properly functioning destruction of the detection limit. ■ j. Revising paragraph (c)(4); device (i.e., controlled). (2) Number of runs. For continuous ■ o = Number of operating scenarios for k. Revising paragraph (e); processes, sample the process vent for a ■ l. Revising paragraph (h)(1); and process i. minimum of 3 runs of 1 hour each. If the v = Number of process vents in process i, ■ m. Adding paragraph (k). operating scenario j. relative standard deviation (RSD) of the The revisions and additions read as w = Number of fluorinated GHGs emitted emission factor calculated based on the follows: from the process. first 3 runs is greater than or equal to § 98.126 Data reporting requirements. ■ 6. Section 98.124 is amended by: 0.15 for the emission factor, continue to ■ a. Revising paragraph (b) introductory sample the process vent for an (a) All facilities. In addition to the text; additional 3 runs of 1 hour each. If more information required by § 98.3(c), you ■ b. Removing paragraphs (b)(1) through than one fluorinated GHG is measured, must report the information in (b)(8); the RSD must be expressed in terms of paragraphs (a)(2) through (a)(7) of this ■ c. Revising paragraph (c)(1); total CO2e. For fluorinated GHGs whose section according to the schedule in ■ d. Revising paragraph (c)(2); GWPs are not listed in Table A–1 to paragraph (a)(1) of this section, except

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as otherwise provided in paragraph (j) of (5) Facility level, one product only. If following for each generically-identified this section or in § 98.3(c)(4)(vii) and your facility produces only one process. Table A–7 of subpart A of this part. fluorinated gas product, aggregate and (1) [Reserved] (1) Frequency of reporting under report the total GWP-weighted * * * * * paragraph (a) of this section. The emissions of fluorinated GHGs by (3) For each fluorinated GHG group, information in paragraphs (a)(2), (3), (4), fluorinated GHG group for the facility as the total GWP-weighted mass of all (5), (6), and (7) of this section must be a whole, in metric tons of CO2e, with fluorinated GHGs in that group emitted reported annually. the following exception: Where from all process vents combined, in (2) Generically-identified process. For emissions consist of a major fluorinated metric tons of CO2e. each production and transformation GHG constituent of a fluorinated gas (4) For each fluorinated GHG group, process at the facility, you must: product, and the product is sold or the total GWP-weighted mass of all (i) Provide a number, letter, or other transferred to another person, report the fluorinated GHGs in that group emitted identifier for the process. total mass in metric tons of each from equipment leaks in metric tons (ii) Indicate whether the process is a fluorinated GHG emitted that is a major CO2e. fluorinated gas production process, a fluorinated GHG constituent of the * * * * * fluorinated gas transformation process product. (e) Reporting of destruction device (6) Destruction processes and where no fluorinated GHG reactant is excess emissions data. Each fluorinated container heel venting. You must report produced at another facility, or a gas production facility that destroys the total mass in metric tons of each fluorinated gas transformation process fluorinated GHGs must report the excess where one or more fluorinated GHG fluorinated GHG emitted from: (i) Each fluorinated gas destruction emissions that result from malfunctions reactants are produced at another of the destruction device, and these facility; and process that is not part of a fluorinated gas production process or a fluorinated excess emissions must be reflected in (iii) Indicate whether the process the fluorinated GHG estimates in the could be characterized as reaction, gas transformation process and all such fluorinated gas destruction processes former § 98.123(b) and in § 98.123(c). distillation, or packaging (include all Such excess emissions would occur if that apply). combined. (ii) Venting of residual fluorinated the destruction efficiency was reduced (iv) For each generically-identified GHGs from containers returned from the due to the malfunction. process and each fluorinated GHG field. * * * * * group, report the methods used to (7) Effective destruction efficiency. (h) * * * determine the mass emissions of that For each generically identified process, (1) The mass of the residual fluorinated GHG group from that use Table L–2 of this subpart to report fluorinated GHG vented from each process from vents, i.e., mass-balance, the range that encompasses the effective container size and type annually (metric process-vent-specific emission factor, or destruction efficiency, DE , tons). process-vent-specific emission effective calculated for that process using * * * * * calculation factor. Equation L–35 of this subpart. The (k) Submission of complete reporting (v) For each generically-identified effective destruction efficiency must be year 2011, 2012, and 2013 GHG reports. process and each fluorinated GHG reported on a CO2e basis. By March 31, 2015, you must submit group, report the method(s) used to (b) Reporting for mass balance annual GHG reports for reporting years determine the mass emissions of that method for reporting years 2011, 2012, 2011, 2012, and 2013 that contain the fluorinated GHG group from that 2013, and 2014. If you used the mass- information specified in paragraphs (a) process from equipment leaks, unless balance method to calculate emissions through (h) of this section. The reports you used the mass balance method for for any of the reporting years 2011, must calculate CO e using the GWPs in that process. 2 2012, 2013, or 2014, you must conduct Table A–1 to subpart A of this part (as (3) Process level, multiple products. If mass balance reporting for that reporting in effect on January 1, 2015) and Table your facility produces multiple year. For processes whose emissions L–1 of this subpart (as applicable). Prior fluorinated gas products, for each were determined using the mass-balance submission of partial reports for these generically identified process and each method under the former § 98.123(b), reporting years under paragraph (j) of fluorinated GHG group, report the total you must report the information listed this section does not affect your GWP-weighted emissions of all in paragraphs (b)(1) and (b)(2) of this obligation to submit complete reports fluorinated GHGs in that group emitted section for each process on an annual under this paragraph. from the process, in metric tons CO2e. basis. ■ 8. Section 98.127 is amended by: (4) Facility level, multiple products. If (1) If you calculated the relative and ■ a. Revising paragraph (a)(1); your facility produces multiple absolute errors under the former ■ b. Revising paragraph (a)(2); fluorinated gas products, you must § 98.123(b)(1), the overall absolute and ■ c. Adding paragraph (a)(3); report the information in paragraphs relative errors calculated for the process ■ d. Adding paragraph (a)(4); (a)(4)(i) and (a)(4)(ii) of this section, as under the former § 98.123(b)(1), in tons ■ e. Revising paragraph (b); applicable. and decimal fraction, respectively. ■ f. Revising paragraph (c) introductory (i) For each fluorinated GHG with (2) The method used to estimate the text; and emissions of 1,000 metric tons of CO2e total mass of fluorine in destroyed or ■ g. Revising paragraph (c)(3). or more from the facility as a whole, you recaptured streams (specify the former The revisions and additions read as must report the total mass in metric tons § 98.123(b)(4) or (15)). follows: of the fluorinated GHG emitted from the (c) Reporting for emission factor and facility as a whole. emission calculation factor approach. § 98.127 Records that must be retained. (ii) Aggregate and report the total For processes whose emissions are * * * * * GWP-weighted emissions of all other determined using the emission factor (a) * * * fluorinated GHGs by fluorinated GHG approach under § 98.123(c)(3) or the (1) Identify all products and processes group for the facility as a whole, in emission calculation factor under subject to this subpart. Include the unit metric tons of CO2e. § 98.123(c)(4), you must report the identification as appropriate, along with

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the generic process identification ■ d. Adding, in alphabetical order, the Other fluorinated GHGs means reported for the process under definition for Major fluorinated GHG fluorinated GHGs that are none of the § 98.126(a)(2)(i)through (iii); which constituent; following: fully fluorinated GHGs, product the process is associated with; ■ e. Adding, in alphabetical order, the saturated hydrofluorocarbons, saturated whether the process is a reaction, definition for Other fluorinated GHGs; hydrofluoroethers, saturated distillation, or packaging process ■ f. Adding, in alphabetical order, the hydrochlorofluoroethers, unsaturated (include all that apply); and whether the definition for Saturated perfluorocarbons, unsaturated process is a production process, a hydrochlorofluoroethers (HCFEs); hydrofluorocarbons, unsaturated transformation process where no ■ g. Adding, in alphabetical order, the hydrochlorofluorocarbons, unsaturated fluorinated GHG reactant is produced at definition for Saturated hydrofluoroethers, or fluorinated another facility, or a transformation hydrofluorocarbons (HFCs); ketones. ■ process where one or more fluorinated h. Adding, in alphabetical order, the definition for Saturated * * * * * GHG reactants are produced at another Saturated hydrochlorofluoroethers facility. hydrofluoroethers (HFEs); ■ i. Adding, in alphabetical order, the (HCFEs) means fluorinated GHGs in (2) Monthly and annual records, as definition for Unsaturated which two hydrocarbon groups are applicable, of all analyses and hydrochlorofluorocarbons (HCFCs); linked by an oxygen atom; in which two calculations conducted as required ■ j. Adding, in alphabetical order, the or more, but not all, of the hydrogen under § 98.123, including the data definition for Unsaturated atoms in the hydrocarbon groups have monitored under § 98.124, and all hydrofluorocarbons (HFCs); been replaced by fluorine atoms and information reported as required under ■ k. Adding, in alphabetical order, the chlorine atoms; and which contain only § 98.126. definition for Unsaturated single bonds. (3) Identify all fluorinated GHGs with hydrofluoroethers (HFEs); and Saturated hydrofluorocarbons (HFCs) emissions of 1,000 metric tons CO2e or ■ l. Adding, in alphabetical order, the means fluorinated GHGs that are more from the facility as a whole, and definition for Unsaturated identify all fluorinated GHGs with total hydrofluorocarbons and that contain perfluorocarbons (PFCs). only single bonds. emissions less than 1,000 metric tons The additions read as follows: CO2e from the facility as a whole. Saturated hydrofluoroethers (HFEs) (4) Calculations used to determine the § 98.128 Definitions. means fluorinated GHGs in which two total GWP-weighted emissions of * * * * * hydrocarbon groups are linked by an fluorinated GHGs by fluorinated GHG Fluorinated GHG group means one of oxygen atom; in which one or more, but group for each process, in metric tons the following sets of fluorinated GHGs: not all, of the hydrogen atoms in the CO2e. Fully fluorinated GHGs; Saturated hydrocarbon groups have been replaced (b) Scoping speciation. Retain records hydrofluorocarbons; Saturated by fluorine atoms; and which contain documenting the information collected hydrofluoroethers and saturated only single bonds. under § 98.124(a). hydrochlorofluoroethers; Unsaturated * * * * * (c) Mass-balance method. Retain the PFCs, unsaturated HFCs, unsaturated Unsaturated following records for each process for HCFCs, unsaturated HFEs, and hydrochlorofluorocarbons (HCFCs) which the mass-balance method was fluorinated ketones; or Other fluorinated means fluorinated GHGs that contain used to estimate emissions in reporting GHGs. only carbon, chlorine, fluorine, and years 2011, 2012, 2013, or 2014. If you Fluorinated GHG product means the hydrogen and that contain one or more used an element other than fluorine in product of the process, including bonds that are not single bonds. the mass-balance equation pursuant to isolated intermediates. Unsaturated hydrofluorocarbons the former § 98.123(b)(3), substitute that * * * * * (HFCs) means fluorinated GHGs that are element for fluorine in the Generically-identified process means hydrofluorocarbons and that contain recordkeeping requirements of this a process that is (1) identified as a one or more bonds that are not single paragraph. production process, a transformation bonds. * * * * * process where no fluorinated GHG Unsaturated hydrofluoroethers (HFEs) (3) The data and calculations used to reactant is produced at another facility, means fluorinated GHGs in which two determine the fractions of the mass or a transformation process where one hydrocarbon groups are linked by an emitted consisting of each reactant or more fluorinated GHG reactants are oxygen atom; in which one or more, but (FER ), product (FEP), and by-product produced at another facility; (2) further d not all, of the hydrogen atoms in the (FEB ), including the preliminary identified as a reaction, distillation, or k hydrocarbon groups have been replaced calculations in the former packaging process, or a combination by fluorine atoms; and which contain § 98.123(b)(8)(i). thereof; and (3) tagged with a discrete identifier, such as a letter or number, one or more bonds that are not single * * * * * bonds. ■ 9. Section 98.128 is amended by: that remains constant from year to year. ■ a. Adding, in alphabetical order, the * * * * * Unsaturated perfluorocarbons (PFCs) definition for Fluorinated GHG group; Major fluorinated GHG constituent means fluorinated GHGs that are ■ b. Adding, in alphabetical order, the means a fluorinated GHG constituent of perfluorocarbons and that contain one definition for Fluorinated GHG product; a fluorinated GHG product that occurs or more bonds that are not single bonds. ■ c. Adding, in alphabetical order, the in concentrations greater than 1 percent * * * * * definition for Generically-identified by mass. ■ 10. Adding Tables L–1 and L–2 to process; * * * * * subpart L to read as follows:

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TABLE L–1 TO SUBPART L—DEFAULT GLOBAL WARMING POTENTIALS FOR COMPOUNDS THAT DO NOT APPEAR ON TABLE A–1 TO SUBPART A OF PART 98

Proposed global Fluorinated GHG group warming potential (100 yr.)

Fully fluorinated GHGs ...... 10,000 Saturated hydrofluorocarbons (HFCs) ...... 2,200 Saturated hydrofluoroethers (HFEs) and saturated hydrochlorofluoroethers (HCFEs) ...... 1,600 Unsaturated PFCs, unsaturated HFCs, unsaturated HCFCs, unsaturated HFEs, and fluorinated ketones ...... 1 Other fluorinated GHGs ...... 100

TABLE L–2 TO SUBPART L—RANGES This partial deletion pertains to all www.regulations.gov or email. The OF EFFECTIVE DESTRUCTION EFFI- Site media, including soil and http://www.regulations.gov Web site is CIENCY groundwater, of parcels I–A, II–A, III–A, an ‘‘anonymous access’’ system, which II–J, II–Q, II–S, II–T, III–C, I–C, II–U, I– means EPA will not know your identity Range of Reductions B, I–E, I–G, I–H, I–I, I–J, I–L, I–M, I–P, or contact information unless you II–G, II–I, II–P, III–D, I–K, I–N, I–O, I– provide it in the body of your comment. ≥99% S, II–E, II–L, II–M, II–R, I–Q, I–R, II–B, If you send an email comment directly ≥95% to <99% II–K, and II–O. The remaining areas of to EPA without going through http:// ≥75% to <95% ≥ the Site will remain on the NPL and are www.regulations.gov, your email 0% to <75% not being considered for deletion as part address will be automatically captured [FR Doc. 2013–27288 Filed 11–18–13; 8:45 am] of this action. Maps identifying the area and included as part of the comment to be deleted and the area of the Site to that is placed in the public docket and BILLING CODE 6560–50–P remain on the NPL are available for made available on the Internet. If you review in the partial deletion docket. submit an electronic comment, EPA ENVIRONMENTAL PROTECTION DATES: Comments must be received by recommends that you include your AGENCY December 19, 2013. name and other contact information in ADDRESSES: Submit your comments, the body of your comment and with any 40 CFR Part 300 identified by Docket ID no. EPA–HQ– disk or CD–ROM you submit. If EPA SFUND–1990–0010, by one of the cannot read your comment due to [EPA–HQ–SFUND–1990–0010; FRL–9902– following methods: technical difficulties and cannot contact 80–Region 9] • http://www.regulations.gov. Follow you for clarification, EPA may not be on-line instructions for submitting able to consider your comment. National Oil and Hazardous comments. Electronic files should avoid the use of Substances Pollution Contingency • Email: [email protected]. special characters, any form of Plan; National Priorities List: Partial • Fax: (415) 947–3528. encryption, and be free of any defects or Deletion of the El Toro Marine Corp Air • Mail: Mary Aycock, U.S. EPA viruses. Station Superfund Site Remedial Project Manager, U.S. Docket: All documents in the docket Environmental Protection Agency, are listed in the http:// AGENCY: Environmental Protection Region IX, Mail Code SFD–8–1, 75 www.regulations.gov index. Although Agency. Hawthorne Street, San Francisco, CA listed in the index, some information is ACTION: Proposed rule; notice of intent. 94105. not publicly available, e.g., CBI or other • Hand delivery: Mary Aycock, U.S. information whose disclosure is SUMMARY: The Environmental Protection EPA Remedial project Manager, U.S. restricted by statue. Certain other Agency (EPA) Region IX is issuing a Environmental Protection Agency, material, such as copyrighted material, Notice of Intent to Delete portions of the Region IX, Mail Code SFD81, 75 will be publicly available only in hard El Toro Marine Corp Air Station Hawthorne Street, San Francisco, CA copy. Publicly available docket Superfund Site (Site) located in Irvine, 94105. Such deliveries are only materials are available either California, from the National Priorities accepted during the Docket’s normal electronically in http:// List (NPL) and requests public hours of operation, and special www.regulations.gov or in hard copy at: comments on this proposed action. The arrangements should be made for Superfund Records Center, Mail Stop NPL, promulgated pursuant to section deliveries of boxed information. SFD–7C, 95 Hawthorne Street, Room 105 of the Comprehensive Instructions: Direct your comments to 403, San Francisco, CA 94105. Phone: Environmental Response, Docket ID no. EPA–HQ–SFUND–1990– (415) 820–4700. Hours: Mon. thru Fri.— Compensation, and Liability Act 0010. EPA’s policy is that all comments 8 a.m. to 5 p.m. (CERCLA) of 1980, as amended, is an received will be included in the public appendix of the National Oil and docket without change and may be Heritage Park Regional Library, Hazardous Substances Pollution made available online at http:// Reference Section, 14361 Yale Street, Contingency Plan (NCP). The EPA and www.regulations.gov, including any Irvine, CA 92714. Phone: (949) 936– the State of California, through the personal information provided, unless 4040. Hours: Mon. thru Thu.—10 a.m. to California Department of Toxic the comment includes information 9 p.m., Sat.—10 a.m. to 5 p.m., Sun.— Substances Control, have determined claimed to be Confidential Business 12 p.m. to 5 p.m. that all appropriate response actions at Information (CBI) or other information FOR FURTHER INFORMATION CONTACT: these identified parcels under CERCLA whose disclosure is restricted by statute. Mary Aycock, Remedial Project have been completed. However, this Do not submit information that you Manager, U.S. Environmental Protection deletion does not preclude future consider to be CBI or otherwise Agency, Region IX, Mail Code SFD81, actions under Superfund. protected through http:// 75 Hawthorne Street, San Francisco, CA

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94105, (415) 972–2389, email: Dated: October 22, 2013. comment period through December 31, [email protected]. Jared Blumenfeld, 2013. SUPPLEMENTARY INFORMATION: In the Regional Administrator, Region IX . DATES: Stakeholder comments to the ‘‘Rules and Regulations’’ Section of [FR Doc. 2013–27723 Filed 11–18–13; 8:45 am] questions included in the notice of today’s Federal Register, we are BILLING CODE 6560–50–P September 4, 2013 (78 FR 54432) must publishing a direct final Notice of be received by 11:59 p.m. ET on Partial Deletion for portions of the El December 31, 2013. Toro Marine Corp Air Station DEPARTMENT OF HEALTH AND ADDRESSES: You may submit comments Superfund Site without prior Notice of HUMAN SERVICES by either of the following methods: Intent for Partial Deletion because EPA • Federal eRulemaking Portal: http:// views this as a noncontroversial 42 CFR Part 84 www.regulations.gov. Follow the revision and anticipates no adverse instructions for submitting comments. comment. We have explained our [Docket No. CDC–2013–0017; NIOSH–250] • Mail: NIOSH Docket Office, Robert reasons for this partial deletion in the A. Taft Laboratories, MS–C34, 4676 preamble to the direct final Notice of Development of Inward Leakage Columbia Parkway, Cincinnati, OH Partial Deletion, and those reasons are Standards for Half-Mask Air-Purifying 45226. incorporated herein. If we receive no Particulate Respirators Instructions: All submissions received adverse comment(s) on this partial AGENCY: Centers for Disease Control and must include the agency name (Centers deletion action, we will not take further Prevention, HHS. for Disease Control and Prevention, action on this Notice of Intent for Partial HHS) and docket number (CDC–2013– ACTION: Deletion. If we receive adverse Reopening of comment period. 0017; NIOSH–250). All relevant comment(s), we will withdraw the SUMMARY: On September 17, 2013, the comments, including any personal direct final Notice of Partial Deletion National Institute for Occupational information provided, will be posted and it will not take effect. We will, as Safety and Health (NIOSH) of the without change to http:// appropriate, address all public Centers for Disease Control and www.regulations.gov. comments in a subsequent final Notice Prevention (CDC) located within the Docket: For access to the docket to of Partial Deletion based on this Notice Department of Health and Human read background documents and of Intent for Partial Deletion. We will Services (HHS) held a public meeting submitted comments, go to http:// not institute a second comment period concerning inward leakage performance www.regulations.gov. on this Notice of Intent for Partial requirements for the class of NIOSH- FOR FURTHER INFORMATION CONTACT: Deletion. Any parties interested in certified non-powered air-purifying Colleen Miller, NIOSH National commenting must do so at this time. particulate respirators approved as half- Personal Protective Technology For additional information, see the facepiece respirators for protection from Laboratory (NPPTL), 626 Cochrans Mill direct final Notice of Partial Deletion particulate-only hazards. The purpose of Road, Pittsburgh, PA 15236; (412) 386– which is located in the Rules section of this meeting was to share information 4956 (this is not a toll free number) or this Federal Register. and to seek stakeholder feedback, in email [email protected]. List of Subjects in 40 CFR Part 300 identified topic areas, concerning the SUPPLEMENTARY INFORMATION: Questions development of inward leakage for stakeholders regarding the Environmental protection, Air performance standards. Questions development of inward leakage pollution control, Chemicals, Hazardous concerning the identified topics of performance standards for half-mask air- waste, Hazardous substances, specific interest were included in the purifying particulate respirators were Intergovernmental relations, Penalties, meeting notice published in the Federal published in the Federal Register on Reporting and recordkeeping Register on September 4, 2013. Written September 4, 2013 (78 FR 54432). requirements, Superfund, Water comments were to be received by pollution control, Water supply. October 18, 2013. HHS/CDC received a Kathleen Sebelius, Authority: 33 U.S.C. 1321(c)(2); 42 U.S.C. request from a stakeholder for Secretary, Department of Health and Human 9601–9657; E.O. 12777, 56 FR 54757, 3 CFR, additional time to comment on this Services. 1991 Comp., p. 351; E.O. 12580, 52 FR 2923; notice. In consideration of this request [FR Doc. 2013–27445 Filed 11–18–13; 8:45 am] 3 CFR, 1987 Comp., p. 193. HHS/CDC is reopening the public BILLING CODE 4163–19–P

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Notices Federal Register Vol. 78, No. 223

Tuesday, November 19, 2013

This section of the FEDERAL REGISTER number and the agency informs enter into binding agreements on the contains documents other than rules or potential persons who are to respond to grantor’s behalf. proposed rules that are applicable to the the collection of information that such Need and Use of the Information: FSA public. Notices of hearings and investigations, persons are not required to respond to will collect information to verify an committee meetings, agency decisions and the collection of information unless it individual’s authority to sign and act for rulings, delegations of authority, filing of petitions and applications and agency displays a currently valid OMB control another in the event of errors or fraud statements of organization and functions are number. that requires legal remedies. The information collected on the FSA–211/ examples of documents appearing in this Farm Service Agency section. 211A is limited to the grantor’s name, Title: Application for Payment of signature, and identification number, Amounts Due Persons Who Have Died, the grantee’s name, address, and the DEPARTMENT OF AGRICULTURE Disappeared or Declared Incompetent. applicable FSA, CCC, FCIC, NRCS, and OMB Control Number: 0560–0026. RMA programs and actions. Submission for OMB Review; Summary of Collection: Description of Respondents: Comment Request Representatives or survivors of persons Individuals or households. who die, disappear, or are declared November 13, 2013. Number of Respondents: 51,585. incompetent must be afforded a method Frequency of Responses: Reporting: The Department of Agriculture has of obtaining any payment intended for submitted the following information Other (once). the person. 7 CFR part 707 provides that Total Burden Hours: 64,256. collection requirement(s) to OMB for form, FSA–325, be used as the form of review and clearance under the application for person desiring to claim Ruth Brown, Paperwork Reduction Act of 1995, such payments. It is necessary to collect Departmental Information Collection Public Law 104–13. Comments information recorded on FSA–325 in Clearance Officer. regarding (a) Whether the collection of order to determine whether [FR Doc. 2013–27571 Filed 11–18–13; 8:45 am] information is necessary for the proper representatives or survivors of a person BILLING CODE 3410–05–P performance of the functions of the are entitled to receive payments earned agency, including whether the by a person who dies, disappears, or is information will have practical utility; declared incompetent before receiving DEPARTMENT OF AGRICULTURE (b) the accuracy of the agency’s estimate the payments due. of burden including the validity of the Need and Use of the Information: FSA Submission for OMB Review; methodology and assumptions used; (c) will collect information to determine if Comment Request ways to enhance the quality, utility and the survivors have rights to the existing November 13, 2013. clarity of the information to be payments or to the unpaid portions of collected; (d) ways to minimize the The Department of Agriculture has the person’s payments. Survivors must submitted the following information burden of the collection of information show proof of death, disappearance, or on those who are to respond, including collection requirement(s) to OMB for incompetency. review and clearance under the through the use of appropriate Description of Respondents: Paperwork Reduction Act of 1995, automated, electronic, mechanical, or Individuals or households. other technological collection Number of Respondents: 2,000. Public Law 104–13. Comments techniques or other forms of information Frequency of Responses: Reporting: regarding (a) whether the collection of technology. Other (when necessary). information is necessary for the proper Comments regarding this information Total Burden Hours: 3,000. performance of the functions of the collection received by December 19, Title: Power of Attorney. agency, including whether the 2013 will be considered. Written OMB Control Number: 0560–0190. information will have practical utility; comments should be addressed to: Desk Summary of Collection: Individuals or (b) the accuracy of the agency’s estimate Officer for Agriculture, Office of authorized representatives of entities of burden including the validity of the Information and Regulatory Affairs, wanting to appoint another to act as methodology and assumptions used; (c) Office of Management and Budget their attorney-in-fact in connection with ways to enhance the quality, utility and (OMB), New Executive Office Building, certain Farm Service Agency (FSA), clarity of the information to be 725—17th Street NW., Washington, DC Commodity Credit Corporation (CCC), collected; (d) ways to minimize the 20502. Commenters are encouraged to and Risk Management Agency (RMA) burden of the collection of information submit their comments to OMB via programs, Federal Crop Insurance on those who are to respond, including email to: OIRA_Submission@ Corporation (FCIC), Natural Resources through the use of appropriate OMB.EOP.GOV or fax (202) 395–5806 Conservation Service (NRCS) and automated, electronic, mechanical, or and to Departmental Clearance Office, related actions must complete a Power other technological collection USDA, OCIO, Mail Stop 7602, of Attorney form and Extension Sheet to techniques or other forms of information Washington, DC 20250–7602. Copies of accommodate additional signatures technology. the submission(s) may be obtained by (FSA–211/211A). The FSA–211/211A Comments regarding this information calling (202) 720–8958. serves as evidence that the grantor has collection received by December 19, An agency may not conduct or appointed another to act on their behalf 2013 will be considered. Written sponsor a collection of information for certain FSA, CCC, FCIC, RMA, and comments should be addressed to: Desk unless the collection of information NRCS programs and related actions Officer for Agriculture, Office of displays a currently valid OMB control giving the appointee legal authority to Information and Regulatory Affairs,

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Office of Management and Budget to plan pest control measures, detect located at Heavenly within El Dorado (OMB), New Executive Office Building, new outbreaks, and to determine the and Alpine Counties, CA and Douglas 725—17th Street NW., Washington, DC threat pose by migratory pests. County, NV, adjacent to South Lake 20502. Commenters are encouraged to Description of Respondents: State, Tahoe. The TRPA Governing Board will submit their comments to OMB via Local or Tribal Government. use the EIS/EIS/IS when they consider email to: OIRA_Submission@ Number of Respondents: 54. the amendment of the existing Ski Area OMB.EOP.GOV or fax (202) 395–5806 Frequency of Responses: Reporting; Master Plan to add the Epic Discovery and to Departmental Clearance Office, On occasion. projects. Total Burden Hours: 3,627. USDA, OCIO, Mail Stop 7602, DATES: Submit comments on or before Washington, DC 20250–7602. Copies of Ruth Brown, December 20, 2013. the submission(s) may be obtained by Departmental Information Collection The meeting dates are: Wednesday, calling (202) 720–8958. Clearance Officer. December 4, 2013, 9:30 a.m., Stateline, An agency may not conduct or NV; and Wednesday, December 18, sponsor a collection of information [FR Doc. 2013–27562 Filed 11–18–13; 8:45 am] BILLING CODE 3410–34–P 2013, 5:30 p.m. to 7:30 p.m., South Lake unless the collection of information Tahoe, CA. displays a currently valid OMB control ADDRESSES: Please send your written number and the agency informs DEPARTMENT OF AGRICULTURE comments to: Heavenly Epic Discovery potential persons who are to respond to Project, TRPA, P.O. Box 5310, Stateline, the collection of information that such Forest Service NV 89449, Attention: David Landry, or persons are not required to respond to email: [email protected]. the collection of information unless it Lake Tahoe Basin Management Unit, The meeting locations are: displays a currently valid OMB control California, Heavenly Mountain Resort 1. TRPA Advisory Planning number. Epic Discovery Project Commission Hearing, TRPA Board Animal and Plant Health Inspection AGENCY: Lake Tahoe Basin Management Rooms, 128 Market Street, Stateline, NV Service Unit, Forest Service, USDA. 89449. 2. Forest Service, Lake Tahoe Basin Title: Cooperative Agricultural Pest ACTION: Notice of intent to prepare a Management Unit, 35 College Drive, Survey joint Environmental Impact Statement South Lake Tahoe, CA 96150. OMB Control Number: 0579–0010 and Initial Study. Summary of Collection: The Plant FOR FURTHER INFORMATION CONTACT: Matt Protection Act (7 U.S.C. 3301 et. Seq.) SUMMARY: The Epic Discovery Project is Dickinson, NEPA Contract Coordinator, authorizes the Secretary of Agriculture, intended to enhance summer activities USDA Forest Service Lake Tahoe Basin either independently or in cooperation in response to the USDA Forest Service Management Unit, at (530) 543–2769 or with States, to carry out operations or Ski Area Recreational Opportunity [email protected]. measures to detect, eradicate, suppress, Enhancement Act of 2011. Heavenly SUPPLEMENTARY INFORMATION: control, prevent, or retard the spread of Mountain Resort (Heavenly) proposes to Purpose And Need for Action—As plant pests and noxious. The Animal improve year-round, recreation provided for in the Ski Area and Plant Health Inspection Service opportunities within the developed Recreational Opportunity Enhancement (APHIS), Plant Protection and portions of the ski area on National Act of 2011, Heavenly proposes to Quarantine (PPQ) along with the States Forest System lands using existing improve year-round recreation and other agencies collects and manages facilities and infrastructure to meet the opportunities within the developed data on plant pest, woods, and expanding needs and expectations of portions of the ski area on National biological control agents through the visitors to Lake Tahoe, better support Forest System lands using existing Cooperative Agricultural Pest Survey the year-round local economy of the facilities and infrastructure to meet the (CAPS). The program allows the States South Lake Tahoe area, and connect a expanding needs and expectations of and PPQ to conduct surveys to detect diverse group of visitors to our national visitors to Lake Tahoe, better support and measure the presence of exotic forest with recreation and educational the year-round local economy in South plant pests and weeds and to input opportunities to further inspire passion Lake Tahoe area, connect a diverse surveillance data into a national and excitement for the outdoors. The group of visitors to our national forest computer-based system known as the summer activities are designed to suit a with recreation and educational National Agricultural Plant Information wide range of visitors from the casual opportunities to further inspire passion System (NAPIS). sightseer to the avid mountain and excitement for the outdoors. Need and Use of the Information: adventurer. A key component of the Proposed Action—Located at the top APHIS will collect information using, project proposal is a unique and of the Heavenly Gondola, Adventure cooperative agreements, pest detection comprehensive environmental Peak opened in the 2000/01 ski season surveys, and the USDA APHIS education and interpretive component and is the focus of Heavenly’s non- Specimens for Determination, PPQ that is woven into the entire experience. skiing and family-oriented activities. In Form 391, and other forms to predict This project is a joint project between 2007, the Master Development Plan was potential plant pest and noxious weed the USDA Forest Service, Lake Tahoe amended to add more non-skiing situations and to promptly detect and Basin Management Unit (Forest activities across a wide area of the upper respond to the occurrence of new pest Service), Tahoe Regional Planning mountain, including the Adventure and to record the location of those pest Agency (TRPA), and California Regional Peak area. The Epic Discovery proposal incursions that could directly hinder the Water Quality Control Board, Lahontan is consistent with and further refines the export of U.S. farm commodities. If the Region (Lahontan). The joint intent of the 2007 MDP and responds to information were not collected, it would environmental document will use visitor preferences and changes in sport seriously impact APHIS’ ability to information taken where appropriate technology. Since the creation of timely assist farmers, State personnel, from the Heavenly Mountain Resort Adventure Peak, Heavenly has and other involved in agriculture and Master Plan Amendment Final EIR/EIS/ discovered that visitors to Lake Tahoe protection of the environment in order EIS certified in 2007. The project is are increasingly seeking fun,

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adventurous outdoor activities in a north and west of the existing tubing Zipline Canopy Tour, however, it will readily accessible environment. This lift. take advantage of a different landscape extends to the winter, summer and • Infill Activities—Top of Gondola/ type and slope condition to provide a shoulder seasons. Today, Adventure Adventure Peak Area, A number of uniquely different experience for users. Peak represents an important smaller individual activities will be It will consist of a series of canopy-level component of the recreational activities sited in and around the existing and ziplines between platforms constructed at Heavenly, and provides visitors with proposed activities to infill between the in and around existing trees or using a a unique opportunity to access and larger activities and create a critical pre-fabricated steel pole if a suitable tree explore the National Forest System mass of activities. The infill activities does not exist in the vicinity. lands of the Lake Tahoe Basin. include interpretive trails, interactions • Sky Meadows Ropes Course—Sky Adventure Peak will continue to serve with interpretive specialists, disc golf, a Meadows Basin, A self-guided ropes as the primary access portal and hub for smaller-scaled zipline or ropes course, course consisting of a series a series of most of the proposed Epic Discovery gold/gem panning, a mountain bike platforms and rope walkways/bridges activities. However, the Project will skills park and bouldering-type will be located between Sky Deck and activities for children. the base of the Sky Express lift. It will extend activities beyond Adventure • Peak to provide natural resource-based Mountain Bike Park—East Peak incorporate existing mature trees into recreation in the East Peak Lake Basin Lake Basin, A new mountain bike park the layout. Where a suitable tree is not to the east and the Sky Meadows Basin will be located in the East Peak Basin available along the route to support a to the west. All three activity centers area. It will be lift-served and utilize the landing platform, individual steel or will be linked by a combination of ski Comet Express and the Big Easy lifts. wooden columns may be installed to The park will include a combination of support the platform. lifts, hiking trails, zip line or similar • conveyances, and summer roads for the existing summer roads and new single- Ridge Run Lookout Tower and visitors’ enjoyment and convenience. track type trails. It will be Observation Deck—Sky Meadows Basin, approximately 9–10 miles in total Develop a new observation tower near The Forest Service will review and length. New trails will be four feet wide the existing Ridge Run Overlook. It will consider for decision certain activities with a one-foot wide shoulder on either resemble a historic Forest Service Fire contained in the proposal that lie side for a total cross-section width of six Lookout Tower and used for scenic outside of the Lake Tahoe Region feet. views and interpretive education (Carson River watershed), and are, • East Peak Zipline Canopy Tour— regarding the Forest Service’s historic therefore, not subject to the review and East Peak Lake Basin, A multi-stage and modern role in managing the action by the Tahoe Regional Planning guided zipline canopy tour will begin forests, including fire. The tower will be Agency. Similarly, the Tahoe Regional near the top of the Big Easy lift and end approximately 400–500 square feet in Planning Agency will review and with a zip over East Peak Lake near the area and a maximum of 25–30 feet in consider for decision one proposed base of the Dipper Express lift. It will height and will offer views of High activity (the Forest Flyer Alpine generally traverse the hillside between Meadows and Free! Peak as well as Lake Coaster), not currently accepted for Von Schmidt’s Trail and the East Peak Tahoe. review and decision by the Forest Lodge and Lake. • Interpretive Activities at Sky Service. • East Peak Lake Water Activities— Deck—Sky Meadows Basin, The The following specific projects are East Peak Lake Basin, Water-oriented existing Sky Deck facility will provide proposed to help Heavenly fulfill its activities on and around the existing a small interpretive education center, objective of making the resort a more East Peak reservoir will include restrooms, First Aid and food and diverse and encompassing year-round kayaking, canoeing, other small boats beverage facility. The existing facility facility capable of meeting the seasonal without engines and fishing. will be seasonally modified to provide needs of its guests. • Interpretive Activities at East Peak information and exhibits. No other • Mid Station Zipline Canopy Tour— Lodge—East Peak Lake Basin, The physical modifications to the lodge or Top of Gondola/Adventure Peak Area, existing East Peak Lodge and Deck will deck are necessary. An interpretive zipline canopy tour will be seasonally converted into an • Mountain Excursion Tour—Top of be implemented in the area between the interpretive education center. It will Gondola/Adventure Peak Area, East gondola mid-station and the top station continue to provide restrooms, First Aid Peak Lake Basin, and Sky Meadows to the east of the gondola alignment. and food and beverage services. No Basin, A Mountain Excursion Tour will • Sky Cycle Canopy Tour—Top of other physical modifications to the connect the three activity centers and Gondola/Adventure Peak Area, An lodge or deck are planned. will offer guided tours to various aerial activity known as the Sky Cycle • East Peak Lodge Hiking Trail—East locations around the upper mountain. It Canopy Tour will be implemented in an Peak Lake Basin, A new segment of will consist of Heavenly operated area between the gondola top station hiking trail will be implemented that vehicles that will make continuous and the gondola mid-station to the west connects the Top of the Gondola area loops to pick up and drop off visitors at of the gondola alignment. It will allow with East Peak Lodge. It will allow each center. They are intended to visitors the opportunity to traverse the visitors the opportunity to hike back provide an enjoyable connection area by pedaling individual bicycle-like and forth between the two activity between the centers in a vehicle that is devices that are suspended from a cable centers. It will be built to Forest Service appropriate for mountain travel. in the air. trail standards. • Connecting Hiking Trails Between • Forest Flyer Alpine Coaster—Top of • Sky Meadows Zipline Canopy Activities—Connecting hiking trails Gondola/Adventure Peak Area, The Tour—Sky Meadows Basin, A multi- between the activities will be developed Forest Flyer Alpine Coaster is an stage guided zipline canopy tour will to facilitate safe and efficient movement activity that allows users on individual begin near the top of the Tamarack by visitors between the activities. The sleds to descend on a raised track Express lift and end near the base of Sky trails will be laid out in the field and through the forest and natural rock Express lift. It will generally traverse the constructed consistent with Forest formations. The Forest Flyer is proposed hillside known as the Ski Ways. It will Service trail standards for this type of to be located a short distance to the be similar in nature to the Mid-Station use. Interpretive opportunities along the

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trails will be included in specific habitat within the Heavenly special use and to express oral comments about the locations. permit boundary. The evaluation will content of the EIS/EIS/IS, in addition to • Mountain Bike Trail Connectors— also address potential effects to providing opportunity to submit written Two separate mountain bike migratory birds, noxious weeds/invasive comments. The scalping meetings will connections are planned. They will be species, and Forest Service management be held at the times and locations listed free of charge and open to the general indicator species. in the DATES and ADDRESSES section public as key connections to the larger Scenic Resources. The EIS/EIS/IS will above. network of trails in and around evaluate potential impacts to designated This project will follow the new Heavenly and the surrounding public TRPA and Forest Service scenic objection procedures as directed by 36 lands. The first trail connection is resources and from viewpoints within CFR 218. The objection process intended to connect the East Peak adjacent recreational sites (e.g., Van provides an opportunity for members of Mountain Bike Park to the Tahoe Rim Sickle State Park). the public who have participated in Trail. The second trail connection is Transportation and Parking. Using opportunities for public participation intended to connect the mountain to trip generation methodology developed provided throughout the planning Heavenly Village. for the Project, the EIS/EIS/IS will process to have any unresolved • Emergency Gondola Snow Cat evaluate potential impacts to US concerns receive an independent review Evacuation Route—Gondola Alignment, Highway 50, local roadways and by the Forest Service prior to a final In order to safely evacuate the gondola intersections during peak hour traffic decision being made by the responsible during emergency situations, Heavenly conditions. The analysis will discuss official. Only those who provided proposes to selectively clear trees at a the Project’s parking needs and identify specific written comments during limited number of strategic access strategies to accommodate new demand. opportunities for public comment are points located from the Gondola Mid- Air Quality and Climate Change. eligible to file an objection. Station down along the gondola line for Using results from the transportation Dated: November 12, 2013. emergency snow cat access. The access analysis, the EIS/EIS/IS will evaluate Jeff Marsolais, route will only be used in times of potential impacts to applicable air operational emergencies and will not be Deputy Forest Supervisor, Lake Tahoe Basin quality standards and greenhouse gas Management Unit. used on a regular basis. emissions. Maps and a more specific project Recreation. The EIS/EIS/IS will [FR Doc. 2013–27495 Filed 11–18–13; 8:45 am] description can be found on the LTBMU evaluate potential impacts to existing BILLING CODE 3410–11–M Web site at: http://www.fs.usda.gov/ recreation resources that may occur ltbmu. from the expansion of summer uses at DEPARTMENT OF AGRICULTURE Possible Alternatives—In order to Heavenly. Specifically, the analysis will address substantive issues identified identify whether the Project may affect Natural Resources Conservation during scoping, project alternatives may recreational quality and opportunities Service be considered and developed by lead (including changes to person at one time agency staff, following completion of capacity) available on National Forest [Docket No. NRCS–2013–0006] the public scoping period. If necessary, System lands. the alternatives shall fulfill the Notice of Meeting of the Agricultural Air Quality Task Force identified purpose & need for action Scoping Process while addressing one or more This NOP/NOI initiates the scoping AGENCY: Natural Resources significant issues related to the process, which guides the development Conservation Service (NRCS), United proposed project. of the EIS/EIS/IS. It is important that States Department of Agriculture Preliminary Issues/Potential reviewers provide their comments at (USDA). Environmental Effects—Potential such times and in such a manner that ACTION: Notice of Meeting. environmental effects and impacts will they are useful in the lead agency’s be explored during project scoping and preparation of this EIS/EIS/IS. SUMMARY: The Agricultural Air Quality during preparation of the EIS/EIS/IS. In Therefore, comments should be Task Force (AAQTF) will meet to addition to the potential environmental provided prior to the close of the continue discussions on critical air effects outlined below, the EIS/EIS/IS comment period and should clearly quality issues in relation to agriculture. will analyze the full range of resource articulate the reviewer’s concerns and Special emphasis will be placed on topics required by the lead agencies contentions. obtaining a greater understanding about (e.g., noise, land use), cumulative Comments received in response to the relationship between agricultural impacts, and attainment of the TRPA this solicitation, including names and production and air quality. The meeting Environmental Threshold Carrying addresses of those who comment, will is open to the public, and a draft agenda Capacities. be part of the public record for this is included in this notice. Cumulative Watershed Effects/Water proposed action. However, comments DATES: The AAQTF meeting will Quality. The EIS/EIS/IS will evaluate submitted anonymously will also be convene at 8:00 a.m. on Wednesday and potential water quality impacts accepted and considered. If applicable, Thursday, December 4–5, 2013, and associated with the proposed projects responses should include the name of a conclude at 5:00 p.m. each day. A that focus on Heavenly Valley Creek contact person at your agency or public comment period will be held on where a TMDL is in place for suspended organization. December 5. Individuals wishing to sediment and Daggett Creek watersheds Comments concerning the scope of make oral presentations should contact where a majority of the projects are the analysis must be received by Greg Johnson at (503) 273–2424 or sited. December 20, 2013. The draft EIS/EIS/ email: [email protected] no Biological Resources. The EIS/EIS/IS IS is expected in August 2014 and the later than November 22 and bring 35 will evaluate potential impacts to final EIS/EIS/IS in January 2015. Two copies of any material they would like sensitive plant and wildlife species (e.g., public scoping meetings are being held distributed to the meeting. American marten, Tahoe draba, to provide you with an opportunity to Written material intended for AAQTF Whitebark pine) known to occupy learn more about the proposed action member consideration prior to the

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meeting must be received by Greg with them. Written materials for SUPPLEMENTARY INFORMATION: The Office Johnson, Designated Federal Official, distribution to AAQTF members prior to of Management and Budget’s (OMB) USDA, NRCS, 1201 Lloyd Boulevard, the meeting must be received by Dr. regulation (5 CFR part 1320) Suite 1000, Portland Oregon 97232 no Johnson no later than November 26, implementing provisions of the later than November 26, 2013. 2013. Paperwork Reduction Act of 1995 (Pub. ADDRESSES: The meeting will be held at L. 104–13) requires that interested Information on Services for Individuals members of the public and affected USDA Log Lodge, 302 Log Lodge Road, With Disabilities Beltsville, Maryland 20705. agencies have an opportunity to comment on information collection and FOR FURTHER INFORMATION CONTACT: For information on facilities or Questions and comments should be services for individuals with disabilities recordkeeping activities (see 5 CFR 1320.8(d)). This notice identifies an directed to Dr. Greg Johnson, Designated or to request special assistance at the information collection that RUS is Federal Official, USDA, NRCS, 1201 meeting, please contact Greg Johnson). USDA prohibits discrimination in its submitting to OMB for extension. Lloyd Boulevard, Suite 1000, Portland, Comments are invited on: (a) Whether Oregon 97232; telephone: (503) 273– programs and activities on the basis of race, color, national origin, gender, the proposed collection of information 2424; fax: (503) 273–2401; or email: is necessary for the proper performance [email protected]. religion, age, sexual orientation, or disability. Additionally, discrimination of the functions of the Agency, SUPPLEMENTARY INFORMATION: Notice of on the basis of political beliefs and including whether the information will this meeting is given under the Federal marital or family status is also have practical utility; (b) the accuracy of Advisory Committee Act, 5 U.S.C. App. prohibited by statutes enforced by the Agency’s estimate of the burden of 2. Additional information concerning USDA. (Not all prohibited bases apply the proposed collection of information AAQTF, including any revised agendas to all programs.) Persons with including the validity of the for the December 4–5, 2013, meeting disabilities who require alternate means methodology and assumptions used; (c) that occurs after this Federal Register for communication of program ways to enhance the quality, utility and Notice is published, may be found at: information (Braille, large print, audio clarity of the information to be www.nrcs.usda.gov/wps/portal/nrcs/ tape, etc.) should contact the USDA’s collected; and (d) ways to minimize the detail/national/air/taskforce. Target Center at (202) 720–2000 (voice burden of the collection of information Draft Agenda and TDD). on those who are to respond, including through the use of appropriate Meeting of the AAQTF Signed this 8th day of November 2013, in automated, electronic, mechanical, or Washington, DC. December 4–5, 2013 other technological collection Jason A. Weller, techniques or other forms of information A. Welcome remarks and introductions Chief, Natural Resources Conservation technology. Comments may be sent to: B. Review of AAQTF history and Service. Michele L. Brooks, Director, Program purpose [FR Doc. 2013–27567 Filed 11–18–13; 8:45 am] Development and Regulatory Analysis, C. USDA Climate Change Program BILLING CODE 3410–16–P Rural Utilities Service, U.S. Department Office update of Agriculture, STOP 1522, 1400 D. Update on agricultural air quality Independence Ave. SW., Washington, regulatory issues at EPA DEPARTMENT OF AGRICULTURE DC 20250–1522. Telephone: (202) 690– E. AAQTF strategies and goals for 2013– 1078, FAX: (202) 720–8435 or email Rural Utilities Service 2015 [email protected]. F. AAQTF subcommittee formation and Information Collection Activity; Title: Assistance to High Energy Cost meetings Comment Request Rural Communities. G. Updates from USDA agencies (FS, OMB Control Number: 0572–0136. NRCS, NIFA, and ARS) AGENCY: Rural Utilities Service, USDA. Type of Request: Revision of a H. Selected agricultural air quality currently approved collection. ACTION: Notice and request for research presentations Abstract: The Rural Electrification Act comments. I. Public Input (time will be reserved, of 1936 (RE Act) (7 U.S.C. 901 et seq.) most likely on the second day, to SUMMARY: In accordance with the was amended in November 2000 to receive public comments. Paperwork Reduction Act of 1995 (44 create a new program to help rural Individual presentations will be U.S.C. Chapter 35, as amended), the communities with extremely high limited to 5 minutes). Rural Utilities Service (RUS) invites energy costs (Pub. L. 106–472). Under The timing of events in the agenda is comments on this information the new section 19 of the RE Act (7 subject to change to accommodate collection for which RUS intends to U.S.C. 918a), the Secretary of changing schedules of expected request approval from the Office of Agriculture through RUS, is authorized speakers or extended discussions. Management and Budget (OMB). to provide financial assistance through the following three funding streams: Procedural DATES: Comments on this notice must be • High Energy Cost Grants and Loans. This meeting is open to the public. At received by January 21, 2014. RUS may provide grants and loans for the discretion of the Chair, members of FOR FURTHER INFORMATION CONTACT: energy generation, transmission, and the public may provide oral Michele L. Brooks, Director, Program distribution facilities serving presentations during the meeting. Those Development and Regulatory Analysis, communities with average home energy persons wishing to make oral Rural Utilities Service, 1400 costs in excess of 275 percent of the presentations should notify Greg Independence Ave. SW., STOP 1522, national average. Many of the Johnson no later than November 22, Room 5162-South Building, communities are in rural Alaska, but 2013. Those wishing to distribute Washington, DC 20250–1522. there are other eligible areas written materials at the meeting (in Telephone: (202) 690–1078, FAX: (202) nationwide. Eligible applicants include conjunction with spoken comments) 720–8435 or email: michele.brooks@ persons, State agencies (including must bring 35 copies of the materials wdc.usda.gov. Territories), entities organized under

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State law, and Indian Tribes. Only grant (ROD) for the Supplemental Final applicable regulations are included in funds have been appropriated to date. Environmental Impact Statement the ROD. • Denali Commission Grants and (SFEIS) related to RUS’s consideration RUS published an NOI in the Federal Loans. RUS may provide grants and of potential agency actions that would Register on January 3, 2013, which loans to the Denali Commission, a facilitate a proposal from Golden Valley described the Proposed Action (78 FR Federal agency, for energy generation, Electric Association, Inc. (GVEA) for the 285). RUS published a notice in the transmission, and distribution facilities restart and commercial operation of Federal Register on June 10, 2013 serving extremely high energy cost rural Healy Unit #2, a power generation announcing the availability of the SFEIS and remote communities in Alaska. facility at the Healy Power Plant (Healy and initiating the 30-day public Annual Denali grants are awarded and Plant) in Healy, Alaska. The SFEIS was comment period for the SFEIS (78 FR advanced as soon as funds are available prepared in accordance with the 34639). A copy of the SFEIS was sent to to RUS. The Denali Grants are governed National Environmental Policy act of the U.S. Environmental Protection by a Memorandum of Understanding 1969 (NEPA) (42 U.S.C. 4321 et seq.), Agency for review and comment. Two between the two agencies and by the Council on Environmental Quality’s comments were received on the SFEIS individual Grant Agreements. Only (CEQ’s) regulations implementing NEPA and they are addressed in the ROD. grant funds have been appropriated to (40 CFR parts 1500–1508), and RUS’s RUS has considered and concurred date for the Denali Commission. Environmental Policies and Procedures with GVEA’s purpose and need for the • Bulk Fuel Revolving Fund Grants. (7 CFR part 1794). The SFEIS updated proposal to restart Unit #2, and RUS has RUS may provide grants to State entities a Final Environmental Impact Statement evaluated the potential impacts of this in existence as of November 9, 2000, to (FEIS) prepared by the Department of proposal on the human environment support revolving loan funds to improve Energy (DOE) in 1993. and finds that the SFEIS is consistent the efficiency of fuel purchases for ADDRESSES: To obtain copies of the ROD with Federal regulations and meets the communities where the fuel cannot be or for further information, contact: standard for an adequate statement. The delivered by surface transportation. Deirdre M. Remley, Environmental Proposed Action to facilitate the restart Only Alaska and a handful of other Protection Specialist, RUS, Water and of Unit #2 of the Healy Plant is RUS’s States are eligible. Environmental Programs, Engineering selected alternative. Estimate of Burden: Public reporting and Environmental Staff, 1400 Dated: November 11, 2013. burden for this collection of information Independence Avenue SW., Stop 1571, John Charles Padalino, is estimated to average 3.18 hours per Washington, DC 20250–1571, Administrator, USDA, Rural Utilities Service. response. Telephone: (202) 720–9640 or email: [FR Doc. 2013–27655 Filed 11–18–13; 8:45 am] Respondents: Business or other for- [email protected]. The ROD BILLING CODE P profit, not-for-profit institutions, State, is also available at RUS’s Web site at Local, or Tribal Government. http://www.rurdev.usda.gov/UWP- Estimated Number of Respondents: HealyPowerPlan.html or you may DEPARTMENT OF COMMERCE 112. contact Ms. Remley for a hard copy. Estimated Number of Responses per SUPPLEMENTARY INFORMATION: Healy Respondent: 2.82. Membership of the Departmental Unit #2 is currently owned by the Estimated Total Annual Burden on Performance Review Board Alaska Industrial and Export Authority Respondents: 1,004. AGENCY: Department of Commerce. Copies of this information collection (AIDEA), but is located on GVEA land. ACTION: Notice of Membership on the can be obtained from Rebecca Hunt, Unit #2 was built to work in Departmental Performance Review Program Development and Regulatory conjunction with Healy Unit #1, a Board. Analysis, at (202) 205–3660, FAX: (202) generation unit that has been owned and operated by GVEA since 1967. Unit 720–8435 or email: rebecca.hunt@ SUMMARY: In accordance with 5 U.S.C., wdc.usda.gov. #2 is currently in warm layup and has not generated power since 2000. GVEA 4314(c)(4), Department of Commerce All responses to this notice will be (DOC) announces the appointment of summarized and included in the request proposes to purchase Unit #2, prepare it for commercial production, and operate persons to serve as members of the for OMB approval. All comments will Departmental Performance Review also become a matter of public record. the unit for the remainder of its operational life. GVEA is seeking Board (DPRB). The DPRB provides an Dated: November 8, 2013. administrative actions and financing objective peer review of the initial John Charles Padalino, from RUS to facilitate the restart of Unit performance ratings, performance-based Administrator, Rural Utilities Service. #2 and for improvements to the Healy pay adjustments and bonus [FR Doc. 2013–27702 Filed 11–18–13; 8:45 am] Plant, which include installing recommendations, higher-level review requests and other performance-related BILLING CODE P additional emissions control to both Unit #1 and Unit #2. Unit #1 is a 25 MW actions submitted by appointing coal-fired boiler and Unit #2 is a 50 MW authorities for Senior Executive Service DEPARTMENT OF AGRICULTURE coal-fired boiler that was constructed in (SES) members whom they directly the late 1990s with funding from DOE supervise, and makes recommendations Rural Utilities Service and AIDEA. based upon its review. The term of the The decision documented in RUS’s new members of the DPRB will expire Golden Valley Electric Association: ROD is that RUS agrees to consider, December 31, 2015. Healy Power Plant Unit #2 Restart subject to additional engineering and DATES: Effective Date: The effective date AGENCY: Rural Utilities Service, USDA. financial review, administrative actions of service of appointees to the Departmental Performance Review ACTION: Notice of availability of a and financing that would facilitate Board is based upon publication of this Record of Decision. GVEA’s restart of Unit #2 at the Healy Power Plant. Details regarding RUS’ notice. SUMMARY: The Rural Utilities Service regulatory authority, rationale for the FOR FURTHER INFORMATION CONTACT: (RUS) has issued a Record of Decision decision, and compliance with Denise A. Yaag, Director, Office of

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Executive Resources, Office of Human Holly A. Bamford, Assistant conducted expedited (120-day) sunset Resources Management, Office of the Administrator for Ocean Services reviews of these AD orders, pursuant to Director, 14th and Constitution Avenue and Coastal Zone Management section 751(c)(3)(B) of the Act and 19 NW., Washington, DC 20230, (202) 482– Edward C. Horton, Chief CFR 351.218(e)(1)(ii)(C)(2). As a result 3600. Administrative Officer of these sunset reviews, the Department SUPPLEMENTARY INFORMATION: The Joseph F. Klimavicz, Chief finds that revocation of the AD orders names and position titles of the Information Officer and Director of would likely lead to continuation or members of the DPRB are set forth High Performance Computing and recurrence of dumping, at the levels below by organization: Communications indicated in the ‘‘Final Results of Sunset Mark S, Paese, Deputy Assistant Reviews’’ section of this notice. Department of Commerce Administrator, NESDIS DATES: Effective: November 19, 2013. Departmental Performance Review Lois J. Schiffer, General Counsel, FOR FURTHER INFORMATION CONTACT: Lori Board Membership NOAA Apodaca or Howard Smith, AD/CVD Holly A. Bamford, Assistant 2013–2015 Operations, Office 4, Enforcement and Administrator for Ocean Services Compliance, International Trade Office of the Secretary and Coastal Zone Management Administration, U.S. Department of Theodore C.Z. Johnston, Director, Russell F. Smith, III, Deputy Assistant Commerce, 14th Street and Constitution Office of White House Liaison Secretary for International Fisheries Avenue NW., Washington, DC 20230; Office of General Counsel National Technical Information Service telephone: (202) 482–4551 or (202) 482– Barbara S. Fredericks, Assistant Bruce E. Borzino, Director, National 5193, respectively. General Counsel for Administration Technical Information Service SUPPLEMENTARY INFORMATION: Elise B. Packard, Chief, General Law National Telecommunications and Division Information Administration Background Barry K. Robinson, Chief Counsel for Leonard M. Bechtel, Chief Financial On August 27, 2008, the Department Economic Affairs Officer and Director for Office of the Chief Financial Officer and published the AD orders on sodium Administration 1 Assistant Secretary for nitrite from Germany and the PRC. On National Institute of Standards and July 1, 2013, the Department published Administration Technology Gordon T. Alston, Director, Financial the notice of initiation of the first sunset Richard F. Kayser, Jr., Chief Safety Reporting and Internal Controls reviews of the AD orders on sodium Tammy L. Journet, Deputy for Officer nitrite from Germany and the PRC, Mary H. Saunders, Associate Director 2 Procurement Management, Policy pursuant to section 751(c) of the Act. for Management Resources and Performance Excellence On July 11, 2013 and July 12, 2013, Michael E. Phelps, Director, Office of Dated: November 8, 2013. pursuant to 19 CFR 351.218(d)(1), the Budget Denise A. Yaag, Department received timely and Frederick E. Stephens, Deputy Director, Office of Executive Resources. complete notices of intent to participate Assistant Secretary for in the sunset reviews for both orders [FR Doc. 2013–27522 Filed 11–18–13; 8:45 am] from General Chemical LLC, a domestic Administration BILLING CODE 3510–BS–M Bureau of Industry and Security producer of sodium nitrite. On July 30, Gay G. Shrum, Director of 2013, pursuant to 19 CFR 351.218(d)(3), Administration DEPARTMENT OF COMMERCE General Chemical LLC filed a timely Bureau of the Census and adequate substantive response for Douglas R. Clift, Senior Advisor for International Trade Administration both orders. The Department did not Project Management receive substantive responses from any Michael L. Palensky, Chief, [A–570–925; A–428–841] respondent interested party. As a result, Acquisition Division pursuant to section 751(c)(3)(B) of the Sodium Nitrite From Germany and the Nancy Potok, Deputy Director Act and 19 CFR 351.218(e)(1)(ii)(C)(2), People’s Republic of China: Final Economics and Statistics the Department conducted expedited Results of the Expedited First Sunset Administration (120-day) sunset reviews of the AD Reviews of the Antidumping Duty Kenneth A. Arnold, Associate Under orders on sodium nitrite from Germany Orders Secretary for Management and the PRC. Joanne Buenzli Crane, Associate AGENCY: Enforcement and Compliance, As explained in the memorandum Director for Administration and formerly Import Administration, from the Assistant Secretary for Chief Financial Officer International Trade Administration, Enforcement and Compliance, the Economics and Development Department of Commerce. Department has exercised its discretion Administration to toll deadlines for the duration of the Thomas Guevara, Deputy Assistant SUMMARY: On July 1, 2013, the Department of Commerce (‘‘the closure of the Federal Government from Secretary for Regional Affairs October 1, through October 16, 2013.3 International Trade Administration Department’’) initiated the first sunset reviews of the antidumping duty (‘‘AD’’) Therefore, all deadlines in this segment Kenneth J.E. Hyatt, Deputy Under of the proceeding have been extended Secretary for International Trade orders on sodium nitrite from Germany and the People’s Republic of China Maureen R. Smith, Deputy Assistant 1 See Sodium Nitrite from the Federal Republic of Secretary for Manufacturing and (‘‘PRC’’) pursuant to section 751(c) of Germany and the People’s Republic of China: Services the Tariff Act of 1930, as amended (‘‘the Antidumping Duty Orders, 73 FR 50593 (August 27, Minority Business Development Agency Act’’). Based on the notice of intent to 2008). Alejandra Y. Castillo, Deputy Director participate and adequate substantive 2 See Initiation of Five-Year (‘‘Sunset’’) Review, 78 Edith J. McCloud, Associate Director response filed by the domestic FR 39256 (July 1, 2013). 3 See Memorandum for the Record from Paul for Management interested party, and the lack of Piquado, Assistant Secretary for Enforcement and National Oceanic and Atmospheric response from any respondent Compliance, ‘‘Deadlines Affected by the Shutdown Administration interested party, the Department of the Federal Government’’ (October 18, 2013).

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by 16 days. The revised deadline for the Final Results of Sunset Reviews of China (PRC). The Department finds final results of this sunset review is now The Department determines that that revocation of this countervailing November 14, 2013. revocation of the AD orders on sodium duty (CVD) order would be likely to lead to the continuation or recurrence of Scope of the Orders nitrite from Germany and the PRC would be likely to lead to continuation net countervailable subsidies at the rates The merchandise subject to these or recurrence of dumping, with the in the ‘‘Final Results of Review’’ section orders is sodium nitrite in any form, at following dumping margin magnitudes of this notice. any purity level. In addition, the sodium likely to prevail: FOR FURTHER INFORMATION CONTACT: Toni nitrite covered by these orders may or Page, AD/CVD Operations, Office VII, Enforcement and Compliance, may not contain an anti-caking agent. Exporter/producer Weighted-average Examples of names commonly used to percentage margin International Trade Administration, U.S. Department of Commerce, 14th reference sodium nitrite are nitrous PRC: acid, sodium salt, anti-rust, diazotizing Street and Constitution Avenue NW., PRC-Wide Entity ...... 190.74 Washington, DC 20230; telephone (202) salts, erinitrit, and filmerine. The Germany: chemical composition of sodium nitrite BASF AG ...... 237.00 482–1398. is NaNO2 and it is generally classified All Others ...... 150.82 SUPPLEMENTARY INFORMATION: under subheading 2834.10.1000 of the Background Harmonized Tariff Schedule of the Notification Regarding Administrative United States (HTSUS). The American Protective Orders The CVD order on laminated woven Chemical Society Chemical Abstract sacks from the PRC was published on This notice also serves as the only August 7, 2008.1 On July 1, 2013, the Service (CAS) has assigned the name reminder to parties subject to ‘‘sodium nitrite’’ to sodium nitrite. The Department initiated a sunset review of administrative protective orders the order, pursuant to section 751(c) of CAS registry number is 7632–00–0. (‘‘APO’’) of their responsibility the Tariff Act of 1930, as amended (the While the HTSUS subheading, CAS concerning the return or destruction of Act).2 The Department received notices registry number, and CAS name are proprietary information disclosed under of intent to participate from Coating provided for convenience and customs APO in accordance with 19 CFR Excellence International, LLC, Exopack purposes, the written description of the 351.305. Timely notification of the Holding Corp., Graphic Packaging scope of these orders is dispositive. return or destruction of APO materials International, Inc., Hood Packaging or conversion to judicial protective Analysis of Comments Received Corporation, Polytex Fibers Corporation, orders is hereby requested. Failure to and SeaTac Packaging Manufacturing A complete discussion of all issues comply with the regulations and terms Corporation (collectively, the Laminated raised in these sunset reviews is of an APO is a violation which is subject Woven Sacks Committee or ‘‘the provided in the accompanying Issues to sanction. Committee’’) within the deadline and Decision Memorandum, which is We are issuing and publishing the specified in 19 CFR 351.218(d)(1)(i). hereby adopted by this notice. See results and notice in accordance with The Department received an adequate ‘‘Issues and Decision Memorandum for sections 751(c), 752(c), and 777(i)(1) of substantive response to the notice of the Expedited First Sunset Reviews of the Act and 19 CFR 351.218. initiation from the domestic interested the Antidumping Duty Orders on Dated: November 12, 2013. parties within the 30-day deadline Sodium Nitrite from the Germany and Paul Piquado, specified in 19 CFR 351.218(d)(3)(i). the People’s Republic of China,’’ from Assistant Secretary for Enforcement and The Department received no substantive Christian Marsh, Deputy Assistant Compliance. responses from the Government of the Secretary for Antidumping and [FR Doc. 2013–27719 Filed 11–18–13; 8:45 am] PRC (GOC) or any Chinese producers or exporters. Countervailing Duty Operations, to Paul BILLING CODE 3510–DS–P Piquado, Assistant Secretary for 19 CFR 351.218 (e)(1)(ii)(A) states that Enforcement and Compliance, dated the Department will normally conclude concurrently with this notice (‘‘I&D DEPARTMENT OF COMMERCE that respondent interested parties have Memorandum’’). The issues discussed provided adequate response to a notice in the I&D Memorandum include the International Trade Administration of initiation where it receives complete substantive responses from respondent likelihood of continuation or recurrence [C–570–917] of dumping and the magnitude of the interested parties accounting on average dumping margins likely to prevail if the Laminated Woven Sacks From the for more than 50 percent, on a volume orders are revoked. The I&D People’s Republic of China: Final basis (or a value basis, if appropriate), Memorandum is a public document and Results of the Expedited Sunset of the total exports of the subject is on file electronically via Enforcement Review of the Countervailing Duty merchandise to the United States over and Compliance’s Antidumping and Order the five calendar years preceding the Countervailing Duty Centralized year of publication of the notice of Electronic Service System (‘‘IA AGENCY: Enforcement and Compliance, initiation. Moreover, in a sunset review ACCESS’’). Access to IA ACCESS is formerly Import Administration, of a CVD order, the Department will available in the Central Records Unit, International Trade Administration, normally conduct a full review only if room 7046 of the main Department of Department of Commerce. it receives adequate responses from Commerce building. In addition, a DATES: Effective Date: November 19, domestic and respondent interested complete version of the I&D 2013. parties and a complete substantive Memorandum can be accessed at SUMMARY: On July 1, 2013, the http://www.trade.gov/ia/. The signed Department of Commerce (Department) 1 See Laminated Woven Sacks From the People’s Republic of China: Countervailing Duty Order, 73 I&D Memorandum and the electronic initiated a sunset review of the FR 45955 (August 7, 2008). versions of the I&D Memorandum are countervailing duty order on laminated 2 See Initiation of Five-Year (‘‘Sunset’’) Reviews, identical in content. woven sacks from the People’s Republic 78 FR 39256 (July 1, 2013).

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response from the foreign government.3 Compliance’s Antidumping and DEPARTMENT OF COMMERCE Because the Department received no Countervailing Duty Centralized responses from the GOC and respondent Electronic Service System (IA ACCESS). International Trade Administration interested parties, the Department is IA ACCESS is available to registered conducting an expedited (120-day) users at http://trade.gov/enforcement/ Renewable Energy and Energy sunset review of the CVD order on and in the Central Records Unit in room Efficiency Advisory Committee laminated woven sacks from the PRC 7046 of the main Commerce building. In AGENCY: International Trade pursuant to 19 CFR addition, a complete version of the Administration, U.S. Department of 351.218(e)(1)(ii)(C)(2). Decision Memorandum can be accessed Commerce As explained in the memorandum directly on the Internet at http:// ACTION: Notice of an open meeting. from the Assistant Secretary for enforcement.trade.gov/frn/. The signed Enforcement and Compliance, the Decision Memorandum and electronic SUMMARY: The Renewable Energy and Department has exercised its discretion versions of the Decision Memorandum Energy Efficiency Advisory Committee to toll deadlines for the duration of the are identical in content. (RE&EEAC) will hold a meeting on closure of the Federal Government from 4 Final Results of Review December 3, 2013. The meeting is open October 1, through October 16, 2013. to the public and the room is disabled- Therefore, all deadlines in this segment Pursuant to sections 752(b)(1) and (3) accessible. Public seating is limited and of the proceeding have been extended of the Act, the Department determines available on a first-come, first-served by 16 days. The revised deadline for the that revocation of the CVD order on basis. final results of this sunset review is laminated woven sacks from the PRC November 14, 2013. DATES: December 3, 2013, from 9:00 a.m. would be likely to lead to continuation to 5:00 p.m. Eastern Standard Time Scope of the Order or recurrence of countervailable (EST). Members of the public wishing to The merchandise covered by this subsidies at the following net attend the meeting must notify Ryan order is laminated woven sacks which countervailable subsidy rates: Mulholland at the contact information are bags or sacks consisting of one or below by 5:00 p.m. EST on Wednesday, Net countervailable more plies of fabric consisting of woven Manufacturers/ subsidy November 27, 2013, in order to pre- polypropylene strip and/or woven exporters/producers (percent) register for clearance into the building. polyethylene strip, regardless of the Please specify any requests for width of the strip; with or without an Zibo Aifudi Plastic 83.34% ad valorem. reasonable accommodation at least five extrusion coating of polypropylene and/ Packaging Co., Ltd. business days in advance of the or polyethylene on one or both sides of Han Shing Chemical 277.54% ad valorem. meeting. Last minute requests will be Co., Ltd. the fabric; laminated by any method accepted, but may be impossible to fill. either to an exterior ply of plastic film Ningbo Yong Feng 277.54% ad valorem. packaging Co., Ltd. ADDRESSES: The meeting will be held at such as biaxially-oriented Shandong Shouguang 406.62% ad valorem. the U.S. Department of Commerce, polypropylene (BOPP) or to an exterior Jianyuan Chun Co., Room 4830, 1401 Constitution Avenue ply of paper that is suitable for high Ltd./Shandong NW., Washington, DC 20230. quality print graphics. A full description Longxing Plastic FOR FURTHER INFORMATION CONTACT: of the scope of the order is contained in Products Company the Decision Memorandum, which is Ltd. Ryan Mulholland, Office of Energy and hereby adopted by this notice.5 Shandong Qilu Plastic 358.20% ad valorem. Environmental Industries (OEEI), Fabric Group, Ltd. International Trade Administration, Analysis of Comments Received All others ...... 280.65% ad valorem. U.S. Department of Commerce at (202) All issues raised in this sunset review 482–4693; email: ryan.mulholland@ are addressed in the Decision This notice also serves as the only trade.gov. This meeting is physically Memorandum. The issues discussed in reminder to parties subject to accessible to people with disabilities. the Decision Memorandum include the administrative protective order (APO) of Requests for auxiliary aids should be likelihood of continuation or recurrence their responsibility concerning the directed to OEEI at (202) 482–4693. of a countervailable subsidy and the net return or destruction of proprietary SUPPLEMENTARY INFORMATION: countervailable subsidy likely to prevail information disclosed under APO in Background: The Secretary of if the order was revoked. Parties can accordance with 19 CFR 351.305. Commerce established the RE&EEAC find a complete discussion of all issues Timely notification of the return or pursuant to his discretionary authority raised in this review and the destruction of APO materials or and in accordance with the Federal corresponding recommendations in this conversion to judicial protective orders Advisory Committee Act (5 U.S.C. App.) public memorandum, which is on file is hereby requested. Failure to comply on July 14, 2010. The RE&EEAC was re- electronically via Enforcement and with the regulations and terms of an chartered on June 18, 2012. The APO is a violation which is subject to RE&EEAC provides the Secretary of 3 See 19 CFR 351.218(e)(2) and sanction. Commerce with consensus advice from 351.218(e)(1)(ii)(B) and (C). the private sector on the development 4 See Memorandum for the Record from Paul The Department is issuing and Piquado, Assistant Secretary for Enforcement and publishing these final results and this and administration of programs and Compliance, ‘‘Deadlines Affected by the Shutdown notice in accordance with sections policies to enhance the international of the Federal Government’’ (October 18, 2013). 751(c), 752(b), and 777(i)(1) of the Act. competitiveness of the U.S. renewable 5 See ‘‘Issues and Decision Memorandum for the energy and energy efficiency industries. Final Results of the Expedited First Sunset Review Dated: November 12, 2013. of the Countervailing Duty Order on Laminated The December 3, 2013 meeting of the Woven Sacks from the People’s Republic of China,’’ Paul Piquado, RE&EEAC will consist of presentations from Christian Marsh, Deputy Assistant Secretary Assistant Secretary for Enforcement and from four subcommittees—finance, U.S. for Antidumping and Countervailing Duty Compliance. competitiveness, trade policy, and trade Operations, to Paul Piquado, Assistant Secretary for Enforcement and Compliance, dated concurrently [FR Doc. 2013–27706 Filed 11–18–13; 8:45 am] promotion—on each subcommittee’s with this notice (Decision Memorandum). BILLING CODE 3510–DS–P work thus far, particularly a

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presentation on potential DEPARTMENT OF COMMERCE alloys with other metals in which nickel recommendations. The full Committee accounts for at least 80 percent of the will review the work of each International Trade Administration alloy by volume. subcommittee and develop a plan for [A–588–869] Imports of merchandise included in finalizing initial recommendations to be the scope of this investigation are presented to the Department of Diffusion-Annealed, Nickel-Plated Flat- classified primarily under Harmonized Commerce at a later date. Rolled Steel Products From Japan: Tariff Schedule of the United States Preliminary Determination of Sales at (HTSUS) subheadings 7212.50.0000 and A limited amount of time, from 3:00 Less Than Fair Value and 7210.90.6000, but may also be classified p.m.–3:30 p.m., will be available for Postponement of Final Determination under HTSUS subheadings pertinent brief oral comments from 7210.70.6090, 7212.40.1000, members of the public attending the AGENCY: Enforcement and Compliance, 7212.40.5000, 7219.90.0020, meeting. To accommodate as many formerly Import Administration, 7219.90.0025, 7219.90.0060, speakers as possible, the time for public International Trade Administration, 7219.90.0080, 7220.90.0010, comments will be limited to five Department of Commerce. 7220.90.0015, 7225.99.0090, or minutes per person. Individuals wishing SUMMARY: The Department of Commerce 7226.99.0180. The foregoing HTSUS to reserve speaking time during the (the Department) preliminarily subheadings are provided only for meeting must contact Mr. Mulholland determines that diffusion-annealed, convenience and customs purposes. The and submit a brief statement of the nickel-plated flat-rolled steel products written description of the scope of this general nature of the comments, as well (certain nickel-plated, flat-rolled steel) investigation is dispositive.1 as the name and address of the proposed from Japan are being, or are likely to be, sold in the United States at less than fair Tolling of Deadlines for Preliminary participant by 5:00 p.m. EST on Determination Wednesday, November 27, 2013. If the value, as provided in section 733(b) of number of registrants requesting to the Tariff Act of 1930, as amended (the As explained in the memorandum make statements is greater than can be Act). The estimated weighted-average from the Assistant Secretary for dumping margins are listed in the Enforcement and Compliance, the reasonably accommodated during the ‘‘Preliminary Determination’’ section of Department has exercised its discretion meeting, the International Trade this notice. Interested parties are invited to toll deadlines for the duration of the Administration may conduct a lottery to to comment on this preliminary closure of the Federal Government from determine the speakers. Speakers are determination. October 1, through October 16, 2013.2 requested to bring at least 20 copies of Pursuant to requests from interested Therefore, all deadlines in this segment their oral comments for distribution to parties, we are postponing for 60 days of the proceeding have been extended the participants and public at the the final determination and extending by 16 days. If the new deadline falls on meeting. provisional measures from a four-month a non-business day, in accordance with Any member of the public may period to not more than six months. the Department’s practice, the deadline submit pertinent written comments Accordingly, we intend to make our will become the next business day. The concerning the RE&EEAC’s affairs at any final determination not later than 135 revised deadline for the preliminary time before or after the meeting. days after publication of this determination of this investigation is Comments may be submitted to the preliminary determination in the now November 8, 2013. Federal Register. Renewable Energy and Energy Methodology Efficiency Advisory Committee, c/o: DATES: Effective Date: November 19, The Department has conducted this Ryan Mulholland, Office of Energy and 2013. investigation in accordance with section Environmental Industries, U.S. FOR FURTHER INFORMATION CONTACT: 731 of the Act. Export prices have been Department of Commerce, Mail Stop: Dena Crossland or David Cordell, AD/ calculated in accordance with section 4053, 1401 Constitution Avenue NW., CVD Operations, Office 6, Enforcement 772 of the Act. Normal value has been Washington, DC 20230. To be and Compliance, International Trade calculated in accordance with section considered during the meeting, written Administration, U.S. Department of 773 of the Act. Because one of the comments must be received no later Commerce, 14th Street and Constitution selected mandatory respondents, than 5:00 p.m. EST on Wednesday, Avenue NW., Washington, DC 20230; Nippon Steel & Sumitomo Metal November 27, 2013, to ensure telephone: (202) 482–3362 or (202) 482– Corporation, failed to respond to the transmission to the Committee prior to 0408, respectively. Department’s questionnaire, we have the meeting. Comments received after SUPPLEMENTARY INFORMATION: preliminarily determined to apply that date will be distributed to the Scope of the Investigation adverse facts available to this members but may not be considered at respondent. The diffusion-annealed, nickel-plated the meeting. For a full description of the flat-rolled steel products included in Copies of RE&EEAC meeting minutes methodology underlying our this investigation are flat-rolled, cold- conclusions, see Decision Memorandum will be available within 30 days of the reduced steel products, regardless of for Preliminary Determination of the meeting. chemistry; whether or not in coils; Antidumping Duty Investigation of Edward A. O’Malley, either plated or coated with nickel or Diffusion-Annealed, Nickel-Plated Flat- nickel-based alloys and subsequently Director, Office of Energy and Environmental annealed (i.e., ‘‘diffusion-annealed’’); 1 Industries. See Diffusion-Annealed, Nickel-Plated Flat- whether or not painted, varnished or Rolled Steel Products From Japan: Initiation of [FR Doc. 2013–27588 Filed 11–18–13; 8:45 am] coated with plastics or other metallic or Antidumping Duty Investigation, 78 FR 23905 BILLING CODE 3510–DR–P nonmetallic substances; and less than or (April 23, 2013). 2 See Memorandum for the Record from Paul equal to 2.0 mm in nominal thickness. Piquado, Assistant Secretary for Enforcement and For purposes of this investigation, Compliance, ‘‘Deadlines Affected by the Shutdown ‘‘nickel-based alloys’’ include all nickel of the Federal Government’’ (October 18, 2013).

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Rolled Steel Products from Japan’’ electronically via Enforcement and be accessed directly on the internet at (Preliminary Decision Memorandum) Compliance’s Antidumping and http://enforcement.trade.gov/frn/. The from Christian Marsh, Deputy Assistant Countervailing Duty Centralized signed Preliminary Decision Secretary for Antidumping and Electronic Service System (IA ACCESS). Memorandum and the electronic Countervailing Duty Operations, to Paul IA ACCESS is available to registered versions of the Preliminary Decision Piquado, Assistant Secretary for users at http://iaaccess.trade.gov, and is Memorandum are identical in content. Enforcement and Compliance, dated available to all parties in the Central concurrently with this notice and Records Unit, room 7046 of the main Preliminary Determination hereby adopted by this notice. The Department of Commerce building. In Preliminary Decision Memorandum is a addition, a complete version of the The preliminary weighted-average public document and is on file Preliminary Decision Memorandum can dumping margins are as follows:

Weighted-Average dumping Producer or exporter margin (percent)

Toyo Kohan Co., Ltd...... 47.80 Nippon Steel & Sumitomo Metal Corporation ...... 77.70 All Others ...... 47.80

Suspension of Liquidation margins determined entirely under electronic records system, IA ACCESS, In accordance with section 733(d)(2) section 776 of the Act. Toyo Kohan is by 5 p.m. Eastern Standard Time. of the Act, we will direct U.S. Customs the only respondent in this investigation In accordance with section 774 of the and Border Protection (CBP) to suspend for which the Department calculated a Act, the Department will hold a public liquidation of all entries of certain company-specific margin that is not hearing, if timely requested, to afford nickel-plated, flat-rolled steel from zero, de minimis, or determined entirely interested parties an opportunity to Japan, as described in the ‘‘Scope of the under section 776 of the Act. Therefore, comment on arguments raised in case or Investigation’’ section, entered, or pursuant to section 735(c)(5)(A) of the rebuttal briefs, provided that such a withdrawn from warehouse, for Act, we are applying the dumping hearing is requested by an interested consumption on or after the date of margin calculated for Toyo Kohan, party. See also 19 CFR 351.310. publication of this notice in the Federal 47.80 percent, as the ‘‘all others’’ rate. Interested parties who wish to request a Register. hearing, or to participate if one is Disclosure Pursuant to 19 CFR 351.205(d), the requested, must submit a written Department will instruct CBP to require The Department intends to disclose to request to the Assistant Secretary for a cash deposit 3 equal to the preliminary parties the calculations performed in Enforcement and Compliance, U.S. weighted-average amount by which connection with this preliminary Department of Commerce, filed normal value exceeds U.S. price, as determination within five days of the electronically using IA ACCESS, as indicated in the chart above, as follows: date of publication of this notice. See 19 noted above. An electronically filed (1) the rate for Toyo Kohan Co., Ltd. CFR 351.224(b). request must be received successfully in (Toyo Kohan) and Nippon Steel & its entirety by the Department’s Sumitomo Metal Corporation will be the Public Comment electronic records system, IA ACCESS, rate we have determined in this by 5 p.m. Eastern Standard Time within preliminary determination; (2) if the Interested parties are invited to 30 days after the date of publication of exporter is not a firm identified in this comment on the preliminary this notice. See 19 CFR 351.310(c). investigation but the producer is, the determination. Interested parties may Requests should contain the following rate will be the rate established for the submit case briefs to the Department no information: (1) The party’s name, producer of the subject merchandise; (3) later than seven days after the date of address, and telephone number; (2) the the rate for all other producers or the issuance of the last verification number of participants; and (3) a list of exporters will be 47.80 percent, as report in this proceeding. See 19 CFR the issues to be discussed. See 19 CFR discussed in the ‘‘All Others Rate’’ 351.309(c)(1)(i). Rebuttal briefs, the 351.310(c). If a request for a hearing is section, below. These suspension of content of which is limited to the issues made, we will inform parties of the liquidation instructions will remain in raised in the case briefs, must be filed scheduled date for the hearing which effect until further notice. within five days from the deadline date will be held at the U.S. Department of for the submission of case briefs. See 19 Commerce, 14th Street and Constitution All Others Rate CFR 351.309(d)(1) and 19 CFR Avenue NW., Washington, DC 20230. Section 735(c)(5)(A) of the Act 351.309(d)(2). A list of authorities used, See 19 CFR 351.310. Parties should provides that the estimated ‘‘all others’’ a table of contents, and an executive confirm by telephone the date, time, and rate shall be an amount equal to the summary of issues should accompany location of the hearing. weighted average of the estimated any briefs submitted to the Department. weighted-average dumping margins See 19 CFR 351.309(c)(2). Executive Postponement of Final Determination established for exporters and producers summaries should be limited to five and Extension of Provisional Measures individually investigated, excluding any pages total, including footnotes. Section 735(a)(2) of the Act provides zero or de minimis margins, and any Interested parties who wish to comment that a final determination may be on the preliminary determination must postponed until not later than 135 days 3 See Modification of Regulations Regarding the file briefs electronically using IA after the date of the publication of the Practice of Accepting Bonds During the Provisional preliminary determination if, in the Measures Period in Antidumping and ACCESS. An electronically filed Countervailing Duty Investigations, 76 FR 61042 document must be received successfully event of an affirmative preliminary (October 3, 2011). in its entirety by the Department’s determination, a request for such

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postponement is made by exporters who preliminary determination, as discussed Award in order to make such account for a significant proportion of above, the ITC will make its final suggestions for the improvement of the exports of the subject merchandise, or in determination no later than 45 days Award process as the Board deems the event of a negative preliminary after our final determination. necessary. This determination is issued and determination, a request for such DATES: The meeting will be held on postponement is made by the petitioner. published pursuant to sections 733(f) Monday, December 9, 2013 from 8:30 The Department’s regulations, at 19 CFR and 777(i)(1) of the Act. a.m. Eastern Time until 3:00 p.m. 351.210(e)(2), require that requests by Dated: November 8, 2013. Eastern Time. The meeting will be open respondents for postponement of a final Paul Piquado, to the public. determination be accompanied by a Assistant Secretary for Enforcement and ADDRESSES: The meeting will be held at request for extension of provisional Compliance. measures from a four-month period to the National Institute of Standards and not more than six months. Appendix I Technology, 100 Bureau Drive, On October 28, 2013, Toyo Kohan Gaithersburg, Maryland 20899. Please requested that in the event of an List of Topics Discussed in the Preliminary note admittance instructions under the affirmative preliminary determination Decision Memorandum SUPPLEMENTARY INFORMATION section of in this investigation, the Department 1. Background this notice. postpone its final determination by 60 2. Scope of the Investigation FOR FURTHER INFORMATION CONTACT: days (135 days after publication of the 3. Respondent Selection Robert Fangmeyer, Acting Director, 4. Discussion of Methodology preliminary determination), and agreed Baldrige Performance Excellence a. Fair Value Comparisons Program, National Institute of Standards to extend the application of the b. Product Comparisons provisional measures prescribed under c. Date of Sale and Technology, 100 Bureau Drive, Mail section 733(d) of the Act and 19 CFR d. Determination of Comparison Method Stop 1020, Gaithersburg, Maryland 351.210(e)(2), from a four-month period e. Results of the DP Analysis 20899–1020, telephone number (301) to a six-month period.4 In accordance f. Export Price 975–2360, or by email at with section 735(a)(2)(A) of the Act and g. Normal Value [email protected]. 19 CFR 351.210(b)(2)(ii), because (1) our h. Level of Trade SUPPLEMENTARY INFORMATION: i. Affiliated Party Transactions and Arm’s preliminary determination is Length Test Authority: 15 U.S.C. 3711a(d)(2)(B) and the affirmative; (2) the requesting producer/ j. Cost of Production Federal Advisory Committee Act, as exporter accounts for a significant k. Test of Comparison Prices amended, 5 U.S.C. App. proportion of exports of the subject l. Results of COP Test Pursuant to the Federal Advisory merchandise; and (3) no compelling m. Calculation of Normal Value based on Committee Act, as amended, 5 U.S.C. reasons for denial exist, we are Comparison Market Prices n. Price to CV Comparison App., notice is hereby given that the postponing the final determination until Board will meet in open session on no later than 135 days after the o. Constructed Value p. Currency Conversion Monday, December 9, 2013 from 8:30 publication of this notice in the Federal 5. Application of Facts Available and a.m. Eastern Time until 3:00 p.m. Register. Suspension of liquidation will Adverse Inferences Eastern Time. The Board is composed of be extended accordingly. We are also 6. Recommendation 12 members selected for their extending the application of the preeminence in the field of provisional measures prescribed under [FR Doc. 2013–27577 Filed 11–18–13; 8:45 am] BILLING CODE 3510–DS–P organizational performance excellence section 733(d) of the Act and 19 CFR and appointed by the Secretary of 351.210(e)(2) from a four-month period Commerce. The Board consists of a to a six-month period. DEPARTMENT OF COMMERCE balanced representation from U.S. U.S. International Trade Commission service, manufacturing, nonprofit, (ITC) Notification National Institute of Standards and education, and health care industries. Technology In accordance with section 733(f) of The Board includes members familiar the Act, we will notify the ITC of our with the quality improvement Board of Overseers of the Malcolm operations and competitiveness issues preliminary affirmative determination of Baldrige National Quality Award sales at less than fair value. Because the of manufacturing companies, service preliminary determination in this AGENCY: National Institute of Standards companies, small businesses, health proceeding is affirmative, section and Technology, Department of care providers, and educational 735(b)(2) of the Act requires that the ITC Commerce. institutions. Members are also chosen make its final determination as to ACTION: Notice of open meeting. who have broad experience in for-profit whether the domestic industry in the and nonprofit areas. The purpose of this SUMMARY: United States is materially injured, or The Board of Overseers of the meeting is to review and discuss the threatened with material injury, by Malcolm Baldrige National Quality work of the private sector contractor, reason of imports of certain nickel- Award (Board) will meet in open which assists the Director of the plated, flat-rolled steel from Japan session on Monday, December 9, 2013. National Institute of Standards and before the later of 120 days after the date The purpose of this meeting is to review Technology (NIST) in administering the of this preliminary determination or 45 and discuss the work of the private Award, and information received from days after our final determination. sector contractor, which assists the NIST and from the Chair of the Judges’ Because we are postponing the deadline Director of the National Institute of Panel of the Malcolm Baldrige National for our final determination to 135 days Standards and Technology (NIST) in Quality Award in order to make such from the date of the publication of this administering the Malcolm Baldrige suggestions for the improvement of the National Quality Award (Award), and Award process as the Board deems 4 See Letter from Toyo Kohan to the Department, information received from NIST and necessary. The Board shall make an dated October 28, 2013 and Letter from Petitioner from the Chair of the Judges’ Panel of annual report on the results of Award dated October 29, 2013. the Malcolm Baldrige National Quality activities to the Director of NIST, along

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with its recommendations for the DEPARTMENT OF COMMERCE (UCR) spring-run; threatened Upper improvement of the Award process. The Willamette River (UWR). agenda will include: Report from the National Oceanic and Atmospheric Steelhead (O. mykiss): Threatened Judges Panel of the Malcolm Baldrige Administration UCR; threatened SR; threatened middle National Quality Award, Baldrige Columbia River (MCR); threatened Program Business Plan Status Report, RIN 0648–XC973 California Central Valley (CCV); Baldrige Foundation Fundraising threatened Central California Coast Update, Products and Services Update, Endangered and Threatened Species; (CCC); threatened LCR; threatened and Recommendations for the NIST Take of Anadromous Fish Northern California (NC); threatened PS; Director. The agenda may change to AGENCY: National Marine Fisheries threatened South-Central California accommodate Board business. The final Service (NMFS), National Oceanic and Coast (SCC); threatened UWR. agenda will be posted on the NIST Atmospheric Administration (NOAA), Sockeye salmon (O. nerka): Baldrige Performance Excellence Web Commerce. Endangered SR; threatened Ozette Lake site at http://www.nist.gov/baldrige/ (OL). community/overseers.cfm. The meeting ACTION: Applications for four new Chum salmon (O. keta): Threatened will be open to the public. scientific research permits, two permit Columbia River (CR); threatened Hood Individuals and representatives of modifications, and three research permit Canal summer-run (HCS). organizations who would like to offer renewals. Coho salmon (O. kisutch): Endangered comments and suggestions related to the SUMMARY: Notice is hereby given that CCC; threatened LCR; threatened Board’s affairs are invited to request a Oregon Coast (OC); threatened Southern place on the agenda. On December 9, NMFS has received nine scientific research permit application requests Oregon/Northern California Coast 2013 approximately one-half hour will (SONCC). be reserved in the afternoon for public relating to Pacific salmon, sturgeon, rockfish, and eulachon. The proposed Eulachon (Thaleichthys pacificus): comments, and speaking times will be Threatened southern (S). assigned on a first-come, first-served research is intended to increase knowledge of species listed under the Green sturgeon (Acipenser basis. The amount of time per speaker medirostris): Threatened southern (S). will be determined by the number of Endangered Species Act (ESA) and to help guide management and Rockfish (Sebastes spp.): Endangered requests received, but is likely to be Puget Sound/Georgia Basin (PS/GB) about 3 minutes each. The exact time for conservation efforts. The applications may be viewed online at: https:// bocaccio (Sebastes paucispinis); public comments will be included in _ threatened PS/GB canary rockfish (S. the final agenda that will be posted on apps.nmfs.noaa.gov/preview/preview open_for_comment.cfm. pinniger); threatened PS/GB yelloweye the Baldrige Web site at http:// rockfish (S. ruberrimus). www.nist.gov/baldrige/community/ DATES: Comments or requests for a overseers.cfm. Questions from the public hearing on the applications must Authority public will not be considered during be received at the appropriate address or Scientific research permits are issued this period. Speakers who wish to fax number (see ADDRESSES) no later in accordance with section 10(a)(1)(A) expand upon their oral statements, than 5 p.m. Pacific standard time on of the ESA (16 U.S.C. 1531 et. seq) and those who had wished to speak, but December 19, 2013. regulations governing listed fish and could not be accommodated on the ADDRESSES: Written comments on the wildlife permits (50 CFR parts 222–226). agenda, and those who were unable to applications should be sent to the NMFS issues permits based on findings attend in person are invited to submit Protected Resources Division, NMFS, that such permits: (1) Are applied for in written statements to the Baldrige 1201 NE Lloyd Blvd., Suite 1100, good faith; (2) if granted and exercised, Performance Excellence Program, NIST, Portland, OR 97232–1274. Comments would not operate to the disadvantage 100 Bureau Drive, Mail Stop 1020, may also be sent via fax to 503–230– of the listed species that are the subject Gaithersburg, Maryland, 20899–1020, 5441 or by email to nmfs.nwr.apps@ of the permit; and (3) are consistent via fax at 301–975–4967 or noaa.gov. with the purposes and policy of section electronically by email to nancy.young@ FOR FURTHER INFORMATION CONTACT: Rob 2 of the ESA. The authority to take nist.gov. Clapp, Portland, OR (ph.: 503–231– listed species is subject to conditions set All visitors to the National Institute of 2314), Fax: 503–230–5441, email: forth in the permits. Standards and Technology site will [email protected]). Permit Anyone requesting a hearing on an have to pre-register to be admitted. application instructions are available application listed in this notice should Please submit your name, time of from the address above, or online at set out the specific reasons why a arrival, email address and phone https://apps.nmfs.noaa.gov. hearing on that application would be number to Nancy Young no later than appropriate (see ADDRESSES). Such SUPPLEMENTARY INFORMATION: Monday, December 2, 2013, and she hearings are held at the discretion of the will provide you with instructions for Species Covered in This Notice Assistant Administrator for Fisheries, admittance. Non-U.S. citizens must also NMFS. submit their passport number, country The following listed species are of citizenship, title, employer/sponsor, covered in this notice: Applications Received Chinook salmon (Oncorhynchus address and telephone. Ms. Young’s Permit 1484–6R email address is [email protected] tshawytscha): Threatened California and her phone number is (301) 975– Coastal (CC); threatened Central Valley The Washington Department of 2361. spring-run (CVS); threatened Lower Natural Resources (WDNR) is seeking to Columbia River (LCR); threatened Puget renew permit 1484 for a period of five Dated: November 14, 2013. Sound (PS); endangered Sacramento years. The current permit has been in Willie May, River winter-run (SRW); threatened place for five years with one Associate Director for Laboratory Programs. Snake River (SR) fall-run; threatened SR amendment; it expires on December 31, [FR Doc. 2013–27698 Filed 11–18–13; 8:45 am] spring/summer-run (spr/sum); 2013. Under the new permit, the WDNR BILLING CODE 3510–13–P endangered Upper Columbia River would conduct research that would

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annually take juvenile PS Chinook Snoqualmie, and Stillaguamish river 2-year research permit to annually take salmon, LCR Chinook salmon, LCR coho systems of the Puget Sound. The adult and juvenile HCS chum, PS salmon, LCR steelhead, and CR chum purpose of the study is to identify and Chinook salmon, and PS steelhead, and salmon in WDNR-managed forest lands assess Pacific lamprey distribution in adult PS/GB bocaccio. The researchers in the state of Washington. The purpose these watersheds. The research would may also take adult PS/GB canary of the research is to conduct surveys to benefit the listed species by providing rockfish and PS/GB yelloweye correctly identify stream types. By managers with information about their rockfish—species for which there are correctly identifying stream types, the distribution and numbers. The main currently no ESA take prohibitions. WDNR could potentially benefit listed benefactor of this research would be Sampling would take place throughout species by increasing the size of riparian Pacific lamprey because the information the Puget Sound, the Strait of Juan de zones and thus protecting habitat generated by the research would be used Fuca, and Hood Canal. The purpose of needed for healthy salmonid to help guide conservation measures the study is to determine how much populations. In addition, any new data and land-use activities in ways that genetic variation exists between coastal regarding listed species presence would conserve lamprey and their habitat; and Puget Sound/Georgia Basin DPS be used to inform land management however, because the listed species also populations of bocaccio, canary decisions and better protect species use that habitat, any such measures rockfish, and yelloweye rockfish. The from the effects of those actions. The would also benefit them. The USGS research would benefit rockfish by WDNR proposes to capture the fish proposes to capture fish using backpack increasing our understanding of the (using backpack electrofishing), electrofishing and seines. Sampling connectivity (or lack thereof) between identify, and release them. The WDNR would target silt-mud substrates that are rockfish populations in the Puget Sound does not intend to kill any of the fish preferred habitats for juvenile lamprey. and populations on the outer coast. The being captured, but a small number may The research would take place during NWFSC proposes to capture fish using die as an unintended consequence of the late summer and fall before peak hook and line equipment at depths of the proposed activities. lamprey emigration. Electrofishing 50–100 meters along rocky bottom methods would be modified to target habitat. Fish would slowly be reeled to Permit 14046–2R juvenile lamprey and would thus be the surface to reduce barotrauma. All The King County Department of unlikely to affect, let alone harm, other salmon and steelhead would be Natural Resources and Parks (KCDNRP) fish species. A subsample of the immediately released at the capture site. is seeking to renew a five-year permit to captured lamprey would be measured All captured ESA-listed rockfish would annually take juvenile PS Chinook and weighed (up to 30 per site) and up be measured, sexed, have a tissue salmon and PS steelhead. They would to five fish per site may be tissue sample taken, floy tagged, and returned sample fish in four Puget Sound sub- sampled or sacrificed. All other fish to the water via rapid submersion basins (Snoqualmie, Lake Washington, (including all listed fish) would techniques. If an individual of these Duwamish, and Puyallup) in King immediately be released at the capture species is captured dead or deemed County, Washington. The purposes of site. The researchers do not propose to nonviable, it would be retained for the study are to: (1) Evaluate the kill any of the listed species being genetic analysis. The researchers do not effectiveness of restoration actions, (2) captured, but a small number may die propose to kill any of the listed fish better understand the importance of off- as an unintended result of the proposed being captured, but a small number may channel habitats in providing habitat, activities. die as an unintended result of the and (3) assess salmonid habitat status activities. and trends in small streams with Permit 16984–3M varying degrees of land use. The The ICF International (ICFI) is seeking Permit 18038 research would benefit listed species by to modify a five-year permit that The Pacific States Marine Fisheries guiding future restoration projects so currently allows them to take juvenile Commission (PSMFC) is seeking a five- they might provide the greatest benefit PS Chinook salmon and PS steelhead. year research permit to annually take all to listed species. The KCDNRP proposes The researchers would conduct individuals from all the salmonid to capture fish using beach seines, fyke sampling in the Snohomish River species listed at the beginning of this nets, minnow traps, and both backpack- estuary. The purpose of the study is to notice along with S green sturgeon. and boat-operated electrofishing. The measure restored habitat functionality They may also take S eulachon—a captured fish would be anaesthetized, in the wake of the Smith Island dike species for which there are currently no identified to species, allowed to recover, breaching. The researchers would gauge ESA take prohibitions. All take for and released. The researchers do not species abundance and examine salmon and steelhead would be propose to kill any of the listed juvenile salmonid age classes during subadult and adults, and all take for salmonids being captured, but a small peak outmigration. This research would green sturgeon and eulachon would be number may die as an unintended benefit the affected species by providing adult. The surveys would range from the consequence of the proposed activities. data to guide future estuarine habitat northern California to the Washington restoration and enhancement projects. coast in coastal waters shallower than Permit 16751–2R The ICFI proposes to capture fish using 1,000 meters. The purpose of the study The United States Geological Survey hand-held beach seines and dip nets. is to collaborate with gear researchers (USGS) is seeking to renew a five-year Fish would be identified to species, and fishermen to develop devices and or permit to annually take juvenile and measured, and released. The researchers methods for reducing bycatch in West adult PS Chinook salmon, HCS chum do not propose to kill any of the listed Coast groundfish trawl fisheries. The salmon, and PS steelhead. The USGS’s salmonids being captured, but a small research would benefit listed fish by research may also cause them to take number may die as an unintended result determining the best ways to reduce listed eulachon—a species for which of the activities. bycatch. The PSMFC proposes capturing there are currently no ESA take fish using mid-water and bottom trawls. prohibitions. Sampling sites would be Permit 17062–3M Fish would be identified to species, in the Cedar, Dungeness, Nooksack, The Northwest Fisheries Science have a tissue or scale sample taken, and Skagit, Skykomish, Snohomish, Center (NWFSC) is seeking to modify a be released. The researchers do not

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propose to kill any of the listed species through visual observation or Dated: November 14, 2013. being captured, but given the nature of electrofishing, electrofishing would be Angela Somma, the capture methods, some individuals discontinued. Surveyors would proceed Chief, Endangered Species Division, Office would likely be killed. upstream until a change in habitat of Protected Resources, National Marine parameters is encountered, where Fisheries Service. Permit 18194 electrofishing would be continued. The [FR Doc. 2013–27658 Filed 11–18–13; 8:45 am] The Wild Fish Conservancy (WFC) is researchers do not propose to kill any of BILLING CODE 3510–22–P seeking a five-year permit to annually the listed salmonids being captured, but take juvenile PS Chinook salmon and a small number may die as an juvenile and adult PS steelhead. The unintended result of the activities. DEPARTMENT OF COMMERCE sampling would take place in selected stream channels and floodplain areas Permit 18405 National Oceanic and Atmospheric throughout the Stillaguamish River The Oregon State University (OSU) is Administration watershed in Washington State. The seeking a two-year permit to annually purpose of the study is to classify by take juvenile LCR, PS, and UCR [Docket No. 130926840–3840–01] water type approximately 25 miles of Chinook salmon; CR chum salmon; LCR RIN 0648–XC898 stream channel in selected sub-basins coho salmon; and LCR, MCR, PS, SRB, and floodplain areas of the and UCR steelhead. The OSU research Endangered and Threatened Wildlife; Stillaguamish River with the intent of may also cause them to take adult S 90-Day Finding on a Petition To List 19 verifying and updating Washington eulachon—a species for which there are Species and 3 Subpopulations of Department of Natural Resources, currently no ESA take prohibitions. The Sharks as Threatened or Endangered Snohomish County, and United States sampling would take place in multiple Under the Endangered Species Act Forest Service stream classifications and locations in the Puget Sound hydrological layers. This research (Stillaguamish, Skykomish, Duwamish, AGENCY: National Marine Fisheries would benefit the affected species by and Nisqually watersheds), Washington Service (NMFS), National Oceanic and improving regulatory protection of coast (Sol Duc, Queets, Quinault, Atmospheric Administration (NOAA), sensitive aquatic habitats for ESA listed Chehalis, and Willapa watersheds), and Department of Commerce. Chinook and steelhead, improving our Columbia River basin (Cowlitz, ACTION: Notice of 90-day petition knowledge of Chinook habitat use (and Klickitat, Yakima, Wenatchee, Spokane, finding, request for information. thereby informing various recovery and Palouse watersheds). The purpose strategies), and identifying significant of the study is to determine the SUMMARY: We (NMFS) announce a habitat restoration opportunities. The taxonomic status of Pacific Northwest 90-day finding on a petition to list 19 WFC proposes to capture fish using coastal populations of Speckled Dace species and 3 subpopulations of sharks beach seines, fyke nets, and minnow based on genetic and morphological as threatened or endangered under the traps. Fish would be anesthetized, data. The genetic sequence data would Endangered Species Act (ESA). We find identified to species, measured to size be used to better understand the that the petition presents substantial class, have a tissue sample taken, and historical biogeography of coastal scientific or commercial information released. The researchers do not Speckled Dace, improve the indicating that the petitioned action propose to kill any of the listed understanding of how coastal streams may be warranted for 9 species: salmonids being captured, but a small contribute to local species diversity and Centrophorus harrissoni, Isogomphodon number may die as an unintended result endemism, and to compare coastal to oxyrhynchus, Mustelus fasciatus, of the activities. inland Speckled Dace populations. The Mustelus schmitti, Squatina aculeata, research would benefit the listed species Squatina argentina, Squatina Permit 18331 by providing information on their guggenheim, Squatina oculata, and The WFC is seeking a five-year permit distribution, but the main benefactor of Squatina squatina. Therefore, we will to annually take juvenile PS Chinook this research would be speckled dace by conduct a status review of the nine salmon and PS steelhead in selected providing taxonomical and species to determine if the petitioned stream channels and floodplain areas distributional data for that species. The action is warranted. To ensure that the throughout the Kitsap and Snoqualmie OSU proposes to capture fish using status review is comprehensive, we are sub-basins in Washington State. The small seine nets, dip nets, and minnow soliciting scientific and commercial purpose of the study is to classify traps. All non-target species and listed information pertaining to these existing channels by water type and salmon and steelhead would petitioned species from any interested thereby validate and update Washington immediately be released after capture. party. We find that the petition does not Department of Natural Resources, and The researchers do not propose to kill present substantial scientific or affected county and city, stream any of the listed salmonids being commercial information indicating that classifications and hydrological layers. captured, but a small number may die the petitioned action may be warranted This research would benefit the affected as an unintended result of the activities. for 10 species and 3 subpopulations: species by filling data gaps regarding This notice is provided pursuant to Carcharhinus borneensis, Carcharhinus fish passage impediments (tidegates, section 10(c) of the ESA. NMFS will hemiodon, Carcharias taurus culverts, etc.) and providing fish species evaluate the applications, associated (Southwest Atlantic subpopulation), composition and distribution— documents, and comments submitted to Cetorhinus maximus (North Pacific information needed to identify, determine whether the applications subpopulation), Cetorhinus maximus prioritize, and implement restoration meet the requirements of section 10(a) (Northeast Atlantic subpopulation), projects. The WFC proposes to capture of the ESA and Federal regulations. The Haploblepharus kistnasamyi, fish using backpack electrofishing. Fish final permit decisions will not be made Hemitriakis leucoperiptera, would be identified to species, have a until after the end of the 30-day Holohalaelurus favus, Holohalaelurus tissue sample taken (only steelhead in comment period. NMFS will publish punctatus, Lamiopsis temmincki, the Kitsap sub-basin), and released. notice of its final action in the Federal Squatina formosa, Squatina punctata, Once fish presence is established, either Register. and Triakis acutipinna.

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DATES: Information and comments on considered in this finding are: endangered within the foreseeable the subject action must be received by Carcharhinus borneensis, Carcharhinus future throughout all or a significant January 21, 2014. hemiodon, Carcharias taurus portion of its range (ESA sections 3(6) ADDRESSES: You may submit comments, (Southwest Atlantic Subpopulation), and 3(20), respectively, 16 U.S.C. information, or data on this document, Centrophorus harrissoni, Cetorhinus 1532(6) and (20)). Pursuant to the ESA identified by the code NOAA–NMFS– maximus (North Pacific Subpopulation), and our implementing regulations, we 2013–0519, by any of the following Cetorhinus maximus (Northeast Atlantic determine whether species are methods: Subpopulation), Haploblepharus threatened or endangered based on any • Electronic Submissions: Submit all kistnasamyi, Hemitriakis one or a combination of the following electronic comments via the Federal leucoperiptera, Holohalaelurus favus, five section 4(a)(1) factors: The present eRulemaking Portal. Go to Holohalaelurus punctatus, or threatened destruction, modification, www.regulations.gov/ Isogomphodon oxyrhynchus, Lamiopsis or curtailment of habitat or range; #!docketDetail;D=NOAA-NMFS-2013- temmincki, Mustelus fasciatus, Mustelus overutilization for commercial, 0159, click the ‘‘Comment Now!’’ icon, schmitti, Squatina aculeata, Squatina recreational, scientific, or educational complete the required fields, and enter argentina, Squatina formosa, Squatina purposes; disease or predation; or attach your comments. guggenheim, Squatina oculata, Squatina inadequacy of existing regulatory • Mail: Submit written comments to punctata, Squatina squatina, and mechanisms; and any other natural or Office of Protected Resources, NMFS, Triakis acutipinna. manmade factors affecting the species’ 1315 East-West Highway, Silver Spring, Section 4(b)(3)(A) of the ESA of 1973, existence (16 U.S.C. 1533(a)(1), 50 CFR MD 20910. as amended (U.S.C. 1531 et seq.), 424.11(c)). Instructions: Comments sent by any requires, to the maximum extent ESA-implementing regulations issued other method, to any other address or practicable, that within 90 days of jointly by NMFS and USFWS (50 CFR individual, or received after the end of receipt of a petition to list a species as 424.14(b)) define ‘‘substantial the comment period, may not be threatened or endangered, the Secretary information’’ in the context of reviewing considered by NMFS. All comments of Commerce make a finding on whether a petition to list, delist, or reclassify a received are a part of the public record that petition presents substantial species as the amount of information and will generally be posted for public scientific or commercial information that would lead a reasonable person to viewing on www.regulations.gov indicating that the petitioned action believe that the measure proposed in the without change. All personal identifying may be warranted, and to promptly petition may be warranted. When information (e.g., name, address, etc.), publish the finding in the Federal evaluating whether substantial confidential business information, or Register (16 U.S.C. 1533(b)(3)(A)). When information is contained in a petition, otherwise sensitive information we find that substantial scientific or we must consider whether the petition: submitted voluntarily by the sender will commercial information in a petition (1) Clearly indicates the administrative be publicly accessible. NMFS will indicates the petitioned action may be measure recommended and gives the accept anonymous comments (enter warranted (a ‘‘positive 90-day finding’’), scientific and any common name of the ‘‘N/A’’ in the required fields if you wish we are required to promptly commence species involved; (2) contains detailed to remain anonymous), although a review of the status of the species narrative justification for the submitting comments anonymously will concerned, which includes conducting a recommended measure, describing, prevent NMFS from contacting you if comprehensive review of the best based on available information, past and NMFS has difficulty retrieving your available scientific and commercial present numbers and distribution of the submission. Attachments to electronic information. Within 12 months of species involved and any threats faced comments will be accepted in Microsoft receiving the petition, we must by the species; (3) provides information Word, Excel, or Adobe PDF file formats conclude the review with a finding as to regarding the status of the species over only. whether, in fact, the petitioned action is all or a significant portion of its range; Copies of the petition and related warranted. Because the finding at the and (4) is accompanied by the materials are available upon request 12-month stage is based on a appropriate supporting documentation from the Director, Office of Protected significantly more thorough review of in the form of bibliographic references, Resources, 1315 East West Highway, the available information, a ‘‘may be reprints of pertinent publications, Silver Spring, MD 20910, or online at: warranted’’ finding at the 90-day stage copies of reports or letters from http://www.nmfs.noaa.gov/pr/species/ does not prejudge the outcome of the authorities, and maps (50 CFR petition81.htm. status review. 424.14(b)(2)). Under the ESA, a listing At the 90-day stage, we evaluate the FOR FURTHER INFORMATION CONTACT: determination may address a species, petitioner’s request based upon the Maggie Miller, Office of Protected which is defined to also include information in the petition including its Resources, 301–427–8403. subspecies and, for any vertebrate references, and the information readily SUPPLEMENTARY INFORMATION: species, any DPS that interbreeds when available in our files. We do not conduct mature (16 U.S.C. 1532(16)). A joint additional research, and we do not Background NMFS-U.S. Fish and Wildlife Service solicit information from parties outside On July 15, 2013, we received a (USFWS) (jointly, ‘‘the Services’’) policy the agency to help us in evaluating the petition from the WildEarth Guardians (DPS Policy) clarifies the agencies’ petition. We will accept the petitioner’s to list 81 marine species as threatened interpretation of the phrase ‘‘distinct sources and characterizations of the or endangered under the ESA and to population segment’’ for the purposes of information presented, if they appear to designate critical habitat under the ESA. listing, delisting, and reclassifying a be based on accepted scientific Copies of this petition are available from species under the ESA (61 FR 4722; principles, unless we have specific us (see ADDRESSES). This finding February 7, 1996). A species, information in our files that indicates addresses the 19 species and 3 subspecies, or DPS is ‘‘endangered’’ if it the petition’s information is incorrect, subpopulations of sharks identified as is in danger of extinction throughout all unreliable, obsolete, or otherwise part of this petition. The 19 shark or a significant portion of its range, and irrelevant to the requested action. species and 3 subpopulations ‘‘threatened’’ if it is likely to become Information that is susceptible to more

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than one interpretation or that is fashion; then we assess the potential trawling and human population growth, contradicted by other available significance of that negative response. loss of coral reef habitat, overutilization information will not be dismissed at the Many petitions identify risk by fisheries, disease, lack of adequate 90-day finding stage, so long as it is classifications made by non- existing regulatory mechanisms, reliable and a reasonable person would governmental organizations, such as the biological characteristics that increase conclude that it supports the International Union for Conservation of susceptibility to threats, restricted petitioner’s assertions. Conclusive Nature (IUCN), the American Fisheries ranges, climate change, and synergistic information indicating the species may Society, or NatureServe, as evidence of effects. The species-specific information meet the ESA’s requirements for listing extinction risk for a species. Risk section follows and provides is not required to make a positive 90- classifications by other organizations or information largely from the IUCN day finding. We will not conclude that made under other Federal or state assessment for each species. This a lack of specific information alone statutes may be informative, but such section includes fewer than three pages negates a positive 90-day finding, if a classification alone may not provide the of unique material for over half of the reasonable person would conclude that rationale for a positive 90-day finding petitioned species and provides the unknown information itself suggests under the ESA. For example, as information on the species’ Convention an extinction risk of concern for the explained by NatureServe, their on International Trade in Endangered species at issue. assessments of a species’ conservation Species (CITES) and IUCN status, range, To make a 90-day finding on a status do ‘‘not constitute a and habitat information. Entries for only petition to list a species, we evaluate recommendation by NatureServe for a few species provide species-specific whether the petition presents listing under the U.S. Endangered population status or trend information. substantial scientific or commercial Species Act’’ because NatureServe We consider this information separately information indicating the subject assessments ‘‘have different criteria, in the ‘‘Species-specific information’’ species may be either threatened or evidence requirements, purposes and section below. taxonomic coverage than government endangered, as defined by the ESA. General Information First, we evaluate whether the lists of endangered and threatened The petition clearly indicates the information presented in the petition, species, and therefore these two types of administrative measure recommended along with the information readily lists should not be expected to and gives the scientific and any available in our files, indicates that the coincide’’ (http://www.natureserve.org/ prodServices/statusAssessment.jsp). common name of the species involved. petitioned entity constitutes a ‘‘species’’ Thus, when a petition cites such The petition also contains a narrative eligible for listing under the ESA. Next, classifications, we will evaluate the justification for the recommended we evaluate whether the information source of information that the measure and provides limited indicates that the species at issue faces classification is based upon in light of information on the species’ and extinction risk that is cause for concern; the standards on extinction risk and subpopulations’ geographic distribution, this may be indicated in information impacts or threats discussed above. habitat use, and threats. For a number expressly discussing the species’ status In this petition the petitioner relies of the species and subpopulations, the and trends, or in information describing almost exclusively on the risk petitioner fails to provide any impacts and threats to the species. We classifications of the IUCN as the source information on past and present evaluate any information on specific of information on the status of each numbers or population status. A demographic factors pertinent to petitioned species. All of the petitioned synopsis of our analysis of the evaluating extinction risk for the species species are listed as ‘‘endangered’’ or information provided in the petition at issue (e.g., population abundance and ‘‘critically endangered’’ on the IUCN and readily available in our files is trends, productivity, spatial structure, Redlist and the petitioner notes this as provided below. age structure, sex ratio, diversity, an explicit consideration in offering Based on the information presented in current and historical range, habitat petitions on these species. However, as the petition, along with the information integrity or fragmentation), and the mentioned above, species classifications readily available in our files, we find potential contribution of identified under IUCN and the ESA are not that 20 of the 21 petitioned shark demographic risks to extinction risk for equivalent, and data standards, criteria species constitute taxonomically valid the species. We then evaluate the used to evaluate species, and treatment species eligible for listing under the potential links between these of uncertainty are also not necessarily ESA. demographic risks and the causative the same. Thus, we instead consider the The introductory threats discussion is impacts and threats identified in section information on threats identified by the general, with only occasional references 4(a)(1). petitioners, as well as the data on which to specific petitioned species and Information presented on impacts or they are based, as they pertain to each subpopulations with the threats later threats should be specific to the species petitioned species. repeated in the species-specific section and should reasonably suggest that one (discussed below). Some of the general or more of these factors may be Analysis of the Petition threats discussion are not clearly or operative threats that act or have acted With the exception of the North causally linked to the petitioned species on the species to the point that it may Pacific subpopulation of basking shark (e.g., discussion of dead zones yet no warrant protection under the ESA. (Cetorhinus maximus), the petitioned identification that these occur in the Broad statements about generalized shark species and subpopulations are petitioned species’ ranges; discussion of threats to the species, or identification found exclusively in foreign waters. The the threat of climate change with a focus of factors that could negatively impact introductory part of the shark section of on coral reef habitat loss when only one a species, do not constitute substantial the petition provides a general petitioned species was identified as information that listing may be description of threats following the five found on coral reef habitats warranted. We look for information ESA Section 4(a)(1) factors and is meant (Haploblepharus kistnasamyi)). The indicating that not only is the particular to apply to all of the petitioned species. petition also references worldwide species exposed to a factor, but that the This section discusses the following human population growth as a threat for species may be responding in a negative threats: Habitat destruction from all of the petitioned species. However,

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a rising human population by itself may dolphins, California sea lions and 2003). With no information in our files, not necessarily be a threat to a species, harbor seals’’ (Dewar et al., 2013). or provided by the petitioner, on if, for instance, human activities are Ultimately, we concluded that the baseline concentrations or rate of managed such that habitat is preserved impacts of pollution and disease are not accumulation of pollutants in the or species are not over-exploited. significant threats to the Northeastern petitioned shark species, or even Similarly, human-mediated threats can Pacific DPS of white sharks. As these conclusive evidence of negative effects occur at a level that renders a species in white sharks, which likely have some of of accumulation in terms of survival or danger of extinction in the absence of a the highest levels of contaminants reproductive capacity of the shark growing human population. Thus, compared to sharks found elsewhere in species from the referenced studies, we information that the population is the world, were not found to be find that the petitioner has not provided growing, on its own, does not indicate threatened or endangered due to substantial information that would lead that the growing human population is a pollutants, it is reasonable to conclude a reasonable person to conclude that the threat. that the petitioned species, which are threat of disease from pollutants (Hg, The petition provides a discussion of not found in the SCB and thus likely to persistent organic compounds, heavy disease as a threat, presenting it in terms have lower levels of contaminants, are metals, and other pollutants) is of accumulations of mercury, persistent not at risk of extinction from these contributing to the petitioned shark organic compounds, heavy metals and pollutants. species’ risk of extinction. other pollutants in sharks. However, the Likewise, the petitioner cites Lyle In the regulatory mechanisms (1984; 1986) as evidence of threats to discussion, the petitioner argues that studies that the petition references as the petitioned species based on the there are no adequate regulatory support are based primarily on non- accumulation of Hg; however, the paper mechanisms because the species are petitioned shark species in locations examined shark species that utilize listed as endangered or critically outside of the petitioned shark species’ waters of the Northern Territory of endangered by IUCN, and none of the ranges. For example, in their discussion Australia. None of the petitioned shark populations have increasing or even of the threat of mercury (Hg) species are found in these waters. In stable population trends. However, accumulation, the petitioners cite Mull addition, the Lyle papers made no generalized evidence of declining et al. (2012). This study focused solely mention of the effects of populations per se is neither evidence of on white sharks found in the Southern bioaccumulation on the survival or declines large enough to infer extinction California Bight (SCB). The authors reproductive capacity of the examined risk that may meet the definition of concluded that geographic location is a shark species. Instead, the papers either threatened or endangered under primary driver of the level of observed simply discuss the rate and level of Hg the ESA, nor evidence of inadequate concentrations of contaminants in and selenium concentrations in sharks, regulatory mechanisms, since sharks, with those sharks found in with a focus on human consumption, sustainable management regimes can contamination hot spots (such as the not survival of shark species. have periods of declining populations. SCB and Mediterranean Sea) likely to Finally, the petitioners reference The petition notes that only one have higher tissue concentrations of Storelli et al. (2003) for evidence of species, with two petitioned contaminants. According to the authors, threats to the petitioned species based subpopulations (Cetorhinus maximus), ‘‘Sharks from the SCB exhibited on accumulations of PCBs and arsenic. is listed on CITES Appendix II and elevated muscle levels of total Hg, The Storelli et al. (2003) paper references the limitations inherent in second only to adult Smooth examined hammerhead shark species CITES listings from the coral section of Hammerheads, Gulper Sharks (none of which were petitioned) in the the petition. According to Article II of (Centrophorus granulosus), Longnose Ionian Sea. The Ionian Sea, as CITES, species listed on Appendix II are Spurdog (Squalus blainvilii), and Kitefin mentioned above, is recognized as a those that are ‘‘not necessarily now Sharks (Dalatias licha) from the Ionian geographical location with threatened with extinction but may Sea.’’ Sharks from the SCB also exceptionally high levels of Hg become so unless trade in specimens of exhibited concentrations of contamination due to urban, industrial, such species is subject to strict dichlorodiphenyltrichloroethane (DDT) and natural source inputs (Storelli et al., regulation in order to avoid utilization and polychlorinated biphenyls (PCBs), 2003; Mull et al., 2012). Only three of incompatible with their survival.’’ much higher than those found the petitioned species (Squatina Based on the CITES definitions and elsewhere in the world. However, aculeata, S. oculata, and S. squatina) standards for listing species on according to Mull et al. (2012), it is may have current ranges that extend Appendix II, the species’ actual listing unclear if the high levels of into the Mediterranean Sea. However, on Appendix II is not itself an inherent contaminants in the white sharks are Storelli et al. (2003), state ‘‘[i]t is indication that these species may now causing deleterious physiological effects hypothesed [sic] that the large size of warrant threatened or endangered status or affecting survival or reproduction elasmobranch liver provides a greater under the ESA. Species classifications rates. We recently conducted an ESA ability to eliminate organic toxicants under CITES and the ESA are not status review of the Northeastern Pacific than in other fishes.’’ While the paper equivalent, and criteria used to evaluate DPS of white sharks, and in our mentions that ‘‘the presence of PCBs species are not the same. The petitioner evaluation of threats from pollutants, we and methylmercury, coupled with their also makes generalized statements about noted that no hepatic lesions or other synergistic activity, may make these shark finning bans and other measures visible effects have been observed in the organisms susceptible to long-term toxic of protections in this section, but does DPS (Dewar et al., 2013). Additionally, effects’’, it also states that in marine not provide any details or references. the status review report notes that mammals selenium has a detoxifying We do not consider these general and ‘‘[i]ndications that high tissue effect against Hg intoxication when the unsubstantiated statements as contaminant levels are not causing molar ratio between the two metals is substantial information that listing may problems at a population level are the close to one, and the authors observed be warranted due to an inadequacy of apparent increase in other predators that similar ratios in shark liver ‘‘indicating regulatory mechanisms for all of the have similarly high contaminant levels that this particular mechanism may also petitioned species. Where the petition including the coastal stock of bottlenose be valid for sharks’’ (Storelli et al., provides species-specific information on

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this threat, that information is and neither the petitioner nor the IUCN borneensis is primarily landed in considered in the individual species assessment provides any information on coastal gillnets. In terms of fisheries sections below. Likewise, biological catch statistics or operations of Borneo regulations, Malaysia has a number of characteristics, such as slow growth and fisheries. Instead, the assertion that fishing gear, method, and area reproductive rates, and/or range fishing activities have detrimentally restrictions that have been in place to restrictions, do not automatically pose affected the species seems based solely control the exploitation of fishery threats to all of the petitioned species. on the species’ rarity in historical resources. For example, there is These biological and ecological factors records. However, there could be a currently a complete ban on fishing are examined on a species-specific basis number of other reasons for the species’ methods that are destructive to fish below, if information is available. absence in fishing records, such as: The resources and their environment, such While the information in this species’ range does not coincide with as dynamite, pair trawling, and push introductory section is otherwise largely fishery operations or survey areas; the nets (Department of Fisheries Malaysia, accurate and suggests concern for the fishing gear employed is not effective at 2006). The pukat pari, a drift gill net status of sharks in general, the broad catching the species; the species may with a mesh size larger than 25.4 cm statements and generalizations of threats have been caught but was released if it that was used to catch large sized sharks for all petitioned shark species and was not of commercial value; its life and rays, has been banned since 1990 subpopulations do not constitute history is unknown, so it is possible that (Department of Fisheries Malaysia, substantial information that listing may this species may migrate to other areas 2006). As the Malaysia NPOA notes, be warranted for any of the petitioned during fishing seasons; etc. In other these nationwide bans on fishing gear species or subpopulations. There is little words, a species that is persistently rare and methods have helped reduce the information in this introductory section in the historical records does not exploitation of adult shark and ray indicating that particular petitioned necessarily mean that it has declined or species and provided some conservation species may be responding in a negative is in danger of extinction. In fact, in this benefits to the breeding stocks. fashion to any of the discussed threats. case, recent surveys in the region have Little information is known about the The few instances in the introductory actually found the species in life history and biology of C. borneensis. section which specifically link threats to ‘‘substantial numbers’’ near Mukah in It was previously considered to be a rare a particular petitioned species or Sarawak (White et al., 2010). The 2006 species, with the assumption that its subpopulation will be considered in our Malaysia National Plan of Action absence in records was due to historical discussion of threats to that particular (NPOA) for sharks supports this finding, overutilization of the species; however, species or subpopulation. noting that C. borneensis was the third recent information suggests otherwise. The next part of the petition consists most abundant species landed in In fact, the species is substantially more of individual species accounts for each Mukah, comprising around 9 percent of abundant than previously thought, of the 22 petitioned sharks. For many of the shark landings (Department of indicating that it is either experiencing the species and subpopulations, the Fisheries Malaysia, 2006). This new an increasing population trend or that information is extracted directly from information from our files, not prior sampling of the species was the IUCN assessment, with the considered in the IUCN assessment inadequate. The species is now petitioner providing the assessment as (which relied on information prior to commonly landed in part of its range. an accompanying exhibit and a list of 2006), suggests that the Borneo shark is We, therefore, find no evidence that references cited by the IUCN would suggest that the threat of more common than previously thought. assessment. Below we analyze this overutilization or inadequate regulatory species-specific information in light of The petitioner also contends that measures is putting this species at an the standards of the ESA and our there is a complete lack of protections increased extinction risk and conclude policies as described above. for the species. We do not necessarily that the species-specific information consider a lack of species-specific presented in the petition does not Species Descriptions and Information protections as a threat to the species or constitute substantial information that Carcharhinus borneensis, commonly even problematic in all cases. For listing may be warranted for C. referred to as the Borneo shark, is an example, management measures that borneensis. inshore coastal shark that appears to be regulate other species or fisheries Carcharhinus hemiodon, commonly found exclusively off Sarawak, Malaysia operations may indirectly help to referred to as the Pondicherry shark, is on Borneo. It is a small shark, with an minimize threats to the petitioned a rarely observed shark thought to occur observed maximum size of 87 cm species and may be adequate to prevent inshore on continental and insular (Department of Fisheries Malaysia, it from being at risk of extinction. Again, shelves (Compagno et al., 2003). The 2006). Prior to 1937, it was only known we look for substantial information petitioner, citing the IUCN assessment from five confirmed specimens (four of indicating that not only is the particular (Compagno et al., 2003), notes that the which were collected from Borneo, and species exposed to a factor, but that the species could possibly be extinct, as the one from China) (Compagno, 2009; species may be responding in a negative last record of the shark was in 1979 in White et al., 2010). As such, the life fashion; then we assess the potential India ‘‘despite detailed surveys in history and ecology of this species is significance of that negative response. Borneo, Philippines, and Indonesia.’’ largely unknown (Compagno, 2009; According to the Malaysia NPOA, However, more recent surveys in India’s White et al., 2010). sharks are not targeted by fishermen but economic exclusive zone (EEZ), The petition states that the species is are caught as bycatch with other conducted from 1984–2006, have very rare, and specifically identifies commercially important species identified the species as being present commercial overutilization as a threat (Department of Fisheries Malaysia, in these waters. The petition also states based solely on the general statement in 2006). In fact, shark and ray landings that the species is represented by ‘‘fewer the IUCN assessment that identifies constitute only around 2.2 percent of than twenty specimens in museum Borneo as an area heavily exploited by the total marine landings of the collections, most of which were artisanal and commercial fisheries demersal fishery that operates within captured before 1900.’’ However, it was (Compagno, 2009). No references were Malaysian waters (Department of also recorded for the first time in included as support for this statement, Fisheries Malaysia, 2006). In Mukah, C. Malaysian waters during shark surveys

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conducted from 1999 to 2004 that this species may exhibit migratory NSW. Results showed that 13 of the 15 (Department of Fisheries Malaysia, behavior and may not be limited to examined shark species or species 2006), suggesting the range of the shark certain locations. In conclusion, we find groups saw substantial declines, may be wider than previously assumed. that the species-specific information including Harrison’s dogfish (Graham et Prior to 1990, C. hemiodon was reported presented in the petition does not al., 2001). In three of the 1976 surveys, as common in the Guandong Province constitute substantial information that Harrisson’s dogfish were lumped with and Fujian Province in China, but was listing may be warranted for C. little gulper sharks (C. uyato) and so not recorded during market and hemiodon. were analyzed as a group. These species interview surveys conducted in these Centrophorus harrissoni, commonly were fairly abundant across all depths shark-fishing provinces from 2006 to referred to as Harrison’s dogfish, is a on all grounds, with an average catch 2008 (Lam and de Mitcheson, 2010). demersal shark found on the upper to rate estimated at 126 kg/h (Graham et Similar to C. borneensis, the petition middle continental slope off eastern al., 2001). These species also attributes the rarity of this species to Australia, and on seamounts and ridges represented around 9, 18, and 32 commercial overutilization, although it north of New Zealand (Pogonoski and percent of the total fish catches in the acknowledges that the population trend, Pollard, 2003). The petitioner relies on NSW trawl areas off Sydney, Ulladulla, past and present abundance of the the IUCN assessment (Pogonoski and and Eden, respectively. By 1996–1997, species, and the basic biology and life Pollard, 2003) for its information, noting the two species represented less than 1 history of the species are unknown. As that the population size of this species percent of the total catch weight from mentioned previously, rarity does not is unknown but the trend is decreasing. these areas, with an average catch rate necessarily mean that a species is The IUCN assessment states that the of 0.4 kg/h. This translates to a decline threatened or in danger of extinction. major threats to the species are from of more than 99 percent between 1976– The condition of being rare is an demersal trawling (by Australia’s South 77 and 1996–1997 (Graham et al., 2001). important factor to consider when East Trawl Fishery (SETF)) and Given that the 1976–77 survey was evaluating a species’ risk of extinction; droplining (by the New South Wales conducted when the demersal trawl however, it does not by itself indicate fisheries) along the continental slope. fishery was just beginning, Graham et al. the likelihood of extinction of that (2001) attributes the subsequent decline The shark is commercially valuable and species, nor does the condition of being in Harrison’s dogfish primarily to the sold for its flesh and liver oil (Graham rare constitute substantial information fishing activities of the SETF. The et al., 2001; Pogonoski and Pollard, that listing under the ESA may be authors, and the petitioner, also note 2003). The petition contends that warranted. We look for information that the species’ low fecundity (thought overutilization for commercial purposes indicating that the species is exposed to to produce only one to two pups every has contributed to the decline of the a threat, but also that the species may 1 to 2 years) and assumed late maturity species and currently remains a threat to be responding in a negative fashion to have likely hindered its ability to its existence. According to Graham et al. that threat. While we acknowledge that recover from this decline. fishing has and is occurring in areas (2001), the demersal trawl-fishery on the In terms of current regulatory where this species has been upper continental slope off New South measures, the petition notes that there documented, the petitioner does not Wales (NSW) began in 1968 but rapidly have been some measures implemented provide any information indicating that expanded between 1975 and 1980 that limit the catch of C. harrissoni in this species was (or is) targeted or following exploratory trawling the SETF and require fishermen to land caught as bycatch in these fisheries in conducted by the NSW government’s Centrophorus carcasses with their numbers that would lead a reasonable fisheries research vessel, Kapala. By the livers, but argues that these regulations person to conclude that it has declined early 1980s, more than 100 trawlers are inadequate to protect the species or that listing may be warranted. In fact, were landing around 15,000 mt of fish from extinction. Instead, the petitioner the IUCN assessment even per year, with the majority of fish states that catch should be completely acknowledges that ‘‘market surveys caught on the upper continental slope. prohibited for a species that has have failed to locate it’’ (Compagno et Although sharks were never targeted, exhibited such drastic population al. 2003). In addition, the petition some species were fairly abundant, with declines. claims that there are no conservation the larger species, including the dogfish Based on the best available measures in place for the species, yet sharks, retained as bycatch. By the late information, we find that the threat of this species is currently listed under 1980s, there were substantial declines in overutilization by fisheries, inadequate Schedule I of India’s Wildlife Protection catch rates of certain fish species, and existing regulatory mechanisms, and Act (1972), which provides it absolute in 1992, total allowable catches and other natural factors may be impacting protection in India’s waters (John and transferrable quotas were introduced Harrison’s dogfish populations to a Varghese, 2009). The petitioner has into the fisheries operating in the degree that raises concerns of a risk of failed to provide any information that region. However, no such management extinction, with evidence of severe indicates current regulatory measures measures were created for sharks, which population declines throughout the are a threat to the species. Graham et al. (2001) attributes to their species’ observed range. We conclude Finally, the range of this shark species low abundance and economic value. In that the petition presents substantial is poorly known. As such, the rare an effort to determine the relative scientific information indicating that the occurrence of the shark in historical change in shark abundance, Graham et petitioned action of listing C. harrissoni records may simply be a reflection of al. (2001) examined the Kapala as threatened or endangered may be limited sampling efforts in the assumed exploratory trawl data from 1976–1977 warranted. range of the shark. As mentioned above, and data from stratified surveys from Haploblepharus kistnasamyi is a rare new survey data have in fact recorded 1996–1997 (conducted by the same shark species, known only from three the shark in waters where previously it vessel and gear using equivalent adult specimens, and is thought to be was not known to occur. The IUCN methodology). The surveys were endemic to South Africa (Human, assessment also notes that the species conducted on the upper continental 2009a). These known specimens have has been recorded from a number of slope trawl grounds, between 200 and all occurred inshore, from the intertidal ‘‘widely-separated’’ sites, suggesting 650 m depths, off central and southern zone to 30 m depth, and within a small

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area (less than 100 km2) surrounding thought, and especially highlights the Given this available information, as well Durban, KwaZulu-Natal (Human, need for more sampling and data to as the previous discussion about the 2009a). The species was previously understand the species’ life history and deficiencies of the general threats assumed to be a form of Haploblepharus ecology. information, we conclude that the edwardsii, but in 2006 was named as a As stated previously, broad petition does not present substantial new species based on morphological statements about generalized threats or information indicating that H. differences (Human, 2009a). The identification of factors that could leucoperiptera may warrant listing as petition acknowledges that the negatively impact a species do not endangered or threatened under the population size, trend, and life history constitute substantial information that ESA. of the species are virtually unknown. listing may be warranted. In addition, Holohalaelurus favus, commonly The petition identifies habitat the condition of being rare is an referred to as the honeycomb izak or degradation, overutilization (as bycatch important factor to consider when natal izak, is found within a restricted in fisheries), and inadequacy of existing evaluating a species’ risk of extinction; range along the east African coast, from regulatory mechanisms as the main however, it does not by itself indicate Durban, KwaZulu-Natal, South Africa threats to the species’ continued the likelihood of extinction of that north to southern Mozambique. The existence, and relies primarily on the species, nor does the condition of being petitioner, citing the IUCN assessment information within the IUCN rare constitute substantial information (Human, 2009b) notes that very little assessment (Human, 2009a) for its that listing under the ESA may be information is known about the habitat, warranted. The fact that the species is ecology, population size and status of support. The petition, quoting the IUCN considered rare could also be an invalid the shark, nor is this information assessment, states that Durban is characterization of the species due to available in our files. In the late 1960s experiencing increasing limited sampling. Because of these and early 1970s, H. favus was industrialization and contends that the uncertainties, we look for substantial commonly caught and recorded from resultant industrial waste output, information within the petition and fishing trawls (Human, 2009b). pollution, and land development within our own files indicating that not However, by the mid-1970s, it had activities are degrading the only known only is the particular species exposed to seemingly disappeared; no longer habitat of H. kistnasamyi to the point a certain factor, but that the species may showing up in trawl catches (Human, where its continued existence is at risk. be responding in a negative fashion, and 2009b). The cause of the disappearance The petitioner also notes that the sharks’ then we assess the potential significance is unknown. Furthermore, a number of restricted range leaves it vulnerable to of that negative response. We had no extensive surveys that have been these localized activities and stochastic information on H. kistnasamyi or threats conducted in the known range of H. events. However, neither the IUCN to the species in our own files. After favus, including biodiversity research assessment nor the petition provides evaluation of the species-specific cruises in 2002 and 2003, a survey any supporting information (or information presented in the petition, cruise off Mozambique in 2007, and references) for these statements, such as we find that the petition does not other more recent biodiversity trawl information on the level of development present substantial scientific or surveys, have failed to capture any in the area, the amount of waste or commercial information indicating that specimens of the species (Human, pollutants entering the waters listing may be warranted for H. 2009b), indicating that the species may surrounding Durban (or water quality kistnasamyi. no longer be found in the wild. data), or evidence that the shark species Hemitriakis leucoperiptera, The purpose of the ESA is to conserve is responding in a negative fashion to commonly referred to as the whitefin species that are in danger of or this threat. Likewise, the petitioner topeshark, is an inshore tropical shark threatened with extinction. The states that bycatch is a threat to the from Philippine waters. It is known only definition of an endangered species is species and cites the IUCN assessment, from two free-swimming individuals ‘‘any species which is in danger of which notes that the area around and, as such, there is little to no extinction throughout all or a significant Durban is heavily fished, especially by information regarding its life history, portion of its range’’ (Section 3(6)). the prawn fisheries, but provides no range, or population numbers. No other Species that are already extinct are not additional information, references, or information is provided in the petition protected by the ESA. A review of the data on this fishery. Without further or available to us regarding past or best available scientific information information on these fisheries, such as present numbers or status of this provided by the petitioner suggests that their areas of operation, gear and species. Additionally, according to the H. favus may no longer exist in the wild methods, or data on catch and bycatch, IUCN assessment (Compagno, 2005), and may already be extinct. Given this it is unclear how the petitioner came to there have been no confirmed records of available information, as well as the the conclusion that these fisheries are the species’ occurrence in over 50 years, previous discussion about the negatively affecting the abundance of H. indicating that the species may no deficiencies of the general threats kistnasamyi, especially in light of the longer be found in the wild. The information, we conclude that the significant unknowns surrounding the purpose of the ESA is to conserve petition does not present substantial life history of H. kistnasamyi. In fact, species that are in danger of or information indicating that H. favus there have recently been questions threatened with extinction. The may warrant listing as endangered or regarding the exact range of this species, definition of an endangered species is threatened under the ESA. as the IUCN assessment states that ‘‘any species which is in danger of Holohalaelurus punctatus, commonly possible juveniles of the species have extinction throughout all or a significant referred to as the whitespotted izak or been recorded, but not yet verified, from portion of its range’’ (Section 3(6)). African spotted catshark, is endemic to the Eastern Cape to west of Mossel Bay, Species that are already extinct are not the southwestern Indian Ocean. It may both also in South Africa. If these protected by the ESA. A review of the be found in depths of around 220–420 juveniles are identified as H. best available scientific information m off the coasts of KwaZulu-Natal, kistnasamyi, then this would provide provided by the petitioner suggests that South Africa, southern Mozambique, evidence that the species is not as H. leucoperiptera may no longer exist in and Madagascar. The petitioner, citing restricted in its range as previously the wild and may already be extinct. the IUCN assessment (Human, 2009c),

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notes that very little information is population of H. punctatus found in of 71 kg/km/h for the species. known about the life history of the waters off Madagascar may possibly be Unfortunately, we were unable to species and the population status stable and protected, suggesting this review these studies, as they are not in throughout its range. Historically, the population is not currently at risk of our files and were not provided by the species was commonly caught by extinction. In addition, broad statements petitioner. commercial and research bottom trawls about generalized threats or The petitioner asserts that the off South Africa and Mozambique in the identification of factors that could daggernose shark’s continued existence late 1960s and early 1970s. However, negatively impact a species do not is threatened by the synergistic effects of similar to H. favus, catch of the species constitute substantial information that habitat destruction, overutilization for abruptly declined. The cause of this listing may be warranted. Thus, after commercial purposes, inadequate decline in catch is unknown. Only a evaluation of the species-specific regulatory measures, and the species’ single specimen has been collected information presented in the petition, biological characteristics. In terms of since 1972, despite recent biodiversity we find that the petition does not threats to the species’ habitat, the trawl surveys that have been conducted present substantial scientific or petitioner notes that population growth off Mozambique (Human, 2009c). commercial information indicating that and subsequent coastal development However, the IUCN assessment notes listing may be warranted for H. within the range of the species is that the species also occurs off punctatus. degrading the species’ habitat and Madagascar and its population status Isogomphodon oxyrhynchus, leading to increased pollutants in the and structure in this part of its range is commonly referred to as the daggernose coastal waters. The petitioner provides shark, is found in the western Atlantic, unknown (Human, 2009c). It also states general information about population ranging from the Caribbean (Trinidad, that given the species’ presumed depth density within Latin America and the Guyana, Suriname, and French Guiana) range, it may be protected from local growth of the global population. to northern Brazil and possibly in Madagascar fishermen, with the deep However, information that the waters off central Brazil (Lessa et al., waters off Madagascar thus serving as a population is growing, on its own, does 2006). The shark occurs in highly possible refuge for this species. not indicate that the growing human turbid, inshore waters, preferring However, due to a ‘‘complete lack of population is a threat to the species. The indented coasts with shallow banks, information from this part of its range’’ petition continues by discussing some muddy bottoms, and mangrove forests the IUCN assessment concluded that the potential negative effects from this (Lessa et al., 2006). It has been caught species could not be assessed in growth for coastal ecosystems, including Madagascar (Human, 2009c). Even with in depths of 4–40 m off northern Brazil and is thought to spend most of its life increased inputs of nutrients and this substantial lack of information on chemical wastes from run-off pollution, the species, including its basic life cycle within its range, as no long distance movements have been observed increased sedimentation, deforestation, history, population size, structure, and the physical destruction of coastal status, and likely range, the petitioner (Lessa et al., 2006). Annual rate of population increase, natural mortality, shorelines. While we acknowledge that contends that the species is in danger of these may be potential effects of a extinction from threats of inadequate average reproductive age, and longevity are unknown (Lessa et al., 2006). The growing human population, we look to regulatory measures (due to a lack of see if the species is directly exposed to conservation measures for the species) species is believed to reach maturity at 6–7 years for females, and 5–6 years for and responding in a negative fashion to and threats that have yet to be males, with maximum observed sizes of any of these factors. The petitioner does identified. 160 cm total length (TL) and 144 cm TL, not provide any information to indicate As stated previously, we do not respectively (Lessa et al., 2000). Average the species is exposed or negatively necessarily consider a lack of species- litter sizes range from 3 to 8 pups, with responding to any of the identified specific protections as a threat to the a gestation time of 12 months and an factors, nor do we have that information species. For example, management unknown but possible biennial in our files. For example, the petition measures that regulate other species or reproductive periodicity (Lessa et al., mentions the increasing number of dead fisheries operations may indirectly help 2006). zones worldwide but does not provide to minimize threats to the petitioned The shark is primarily caught as any evidence that these dead zones species and may be adequate to prevent bycatch in artisanal floating gillnet occur in areas within the daggernose its extinction. The petition has not fisheries in northern Brazil (Lessa et al., shark’s range, or information on the provided any information that would 2006). It is also taken in small numbers species’ likely response to hypoxic lead a reasonable person to assume the by artisanal fishermen in Venezuela, conditions. The petition provides no abrupt decline in catch was due to a Trinidad, Guyana, Suriname, and information on water quality within the lack of adequate regulatory measures, French Guiana; however, data are daggernose shark’s range, or the species’ nor do we have that information in our currently lacking for these areas (Lessa response to factors such as increased files. Additionally, the IUCN et al., 2006). According to a study sedimentation or nutrients. The petition assessment, cited by the petitioner, referenced by the IUCN assessment notes that the daggernose shark occurs highlights the uncertainty surrounding (Lessa et al., 2006), the population off in mangrove systems within its range, the cause of the observed reduction in northern Brazil is thought to be and cites the destruction of these catches of the shark off Mozambique decreasing at a rate of 18.4 percent per mangroves as a threat to the species. We when it states ‘‘[i]t is not known year, with substantial declines (>90 reviewed the citation that the petition whether the reduced population percent) over the past 10 years. From used as support for this statement (FAO, numbers are due to fisheries pressure, November 1983 to February 1985, a 2007) but found no evidence that would habitat loss, pollution, or an as yet survey conducted off northern Brazil suggest this is a significant threat to the unidentified threat.’’ The petition uses showed the species represented around species’ continued existence in its this statement as support that listing 10 percent of the floating gillnet range. The FAO (2007) study examined may be warranted for the entire species. elasmobranch catch (Lessa, 1986), while the status and trends of the world’s However, the information provided by a later survey (Stride et al., 1992) mangrove areas, including those likely the IUCN assessment indicates that the reported a catch per unit effort (CPUE) to be within the daggernose shark’s

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range. For each country with mangrove considered a prime food fish,’’ and the and represents a significant threat. It is areas, the study provided the annual species’ fins are not valued in the unclear on what information the change in mangrove area for three time international fin trade (Lessa et al., petition (or the IUCN assessment) bases periods: 1980–1990, 1990–2000, and 2006). this assertion. Likewise, the petition 2000–2005. In Brazil, the study found However, given the substantial makes general assumptions regarding that the annual change in mangrove area declines that have been observed in the the species’ extinction risk from the was ¥0.3 percent, ¥0.1 percent, and 0 population (>90 percent) and ongoing other threats it identifies, such as its life percent for the three periods, but that declines off northern Brazil, the fact that history traits and the lack of species- the majority of this loss was along the the species is recorded in artisanal catch specific protections, but provides no southern coast, an area that is outside of throughout its restricted range and, evidence or information that shows the the daggernose shark range. For French although not targeted, does enter the species is responding in a negative Guiana, the change was 0 percent for all market, and coupled with its known life fashion to these threats. We do not three periods and the FAO (2007) notes history traits which increase its consider general assumptions and that ‘‘no serious threats seem to pressure susceptibility to depletion (such as low assertions made by the petitioner as the mangroves’’ there. For Trinidad, the reproductive rate), we find that the substantial information that listing may change was ¥0.4 percent, ¥0.2 percent, petition presents substantial scientific be warranted. As such, we find that the and 0 percent. For Guyana, the change or commercial information indicating petition does not present substantial was ¥1 percent, ¥0.3 percent, and 0 that I. oxyrhynchus may be threatened scientific or commercial information percent, with activities that include due to overutilization and that listing indicating that listing may be warranted afforestation and reforestation currently may be warranted. for L. temmincki. being undertaken (FAO, 2007). In Lamiopsis temmincki, commonly Mustelus fasciatus, commonly Suriname, the change was noted as ‘‘not referred to as the broadfin shark, is referred to as the striped smooth-hound, significant,’’ with mangroves protected known to occur in the Indian Ocean and is endemic to the Southwest Atlantic, in multiple-use management areas Western Pacific, off India, Pakistan, found on the inner continental shelf (FAO, 2007). Given the above Myanmar, Indonesia, eastern Malaysia, from south Brazil to Argentina information, which indicates very little and China. According to Compagno (estimated 1,500 km of coastline) loss of mangrove forests within the (1984b), it is unknown whether its (Hozbor et al., 2004). In southern Brazil, daggernose shark range, we do not find distribution is sporadic or continuous. It gravid females occur at depths greater the petitioner’s assertion of mangrove is a continental, inshore shark, and was than 20 m (up to 250 m deep) but destruction to be a significant threat to once common on the west coast of India migrate to shallower, inshore waters in the species’ continued existence. (Bombay region) but is now found only the spring to give birth (Hozbor et al., in low numbers throughout its range. 2004). Neonates and small juveniles will The petitioner also contends that However, according to the IUCN remain in these shallow waters, using overutilization for commercial purposes assessment (White et al., 2009), the them as nursery grounds. Little other is placing the species at an increased species ‘‘is taken regularly (but in low life history information is known for risk of extinction. Specifically, the numbers) by local fishermen in India this species. petitioner notes that the daggernose (Bombay), Pakistan (Karachi), Sarawak The petition identifies overutilization shark is caught as bycatch in artisanal and Kalimantan (Indonesia),’’ with its for commercial purposes and floating gillnets in northern Brazil, and meat used for human consumption, fins inadequate regulatory mechanisms as repeats the information about CPUE traded, and livers used for vitamin oil. threats to the species. According to the from the Stride et al. (1992) survey and Information from our own files also IUCN assessment (Hozbor et al., 2004), the observed decreases in the northern indicates that the species is commonly fishing is intense in the coastal nursery Brazil population as support that the taken in fisheries operating within its areas of southern Brazil, with evidence species is being overutilized. The range. In Mukah (Sarawak, Malaysia), L. the species is caught as bycatch in the petitioner provides general information temmincki was the 10th most landed shrimp and multi-species fisheries about bycatch and the dangers facing shark from July 2003 to August 2004 (Haimovici and Mendonca, 1996). These shark populations. The petition makes (Department of Fisheries Malaysia, fisheries, which operate using trawl, the assumption that fishing pressures 2006). However, we do not have gillnet, and beach seine gear, catch are similar throughout all of the species’ information on population abundance gravid females during their seasonal range and, therefore, similar declines (historical or current) or catch inshore migration and juveniles all year- are likely, but provides no information information (numbers or trends), nor are round. In the 1980s, neonates were on effort or catch elsewhere. The these data provided in the petition. frequently caught in large numbers (10– petition also asserts that the species’ Without this type of information on 100 per gillnet set) off the beach in the biological characteristics, such as slow historical or current abundance or summer, but in 2003 their occurrence intrinsic population growth and high population trends, it is difficult to was characterized as sporadic (Hozbor natural mortality (neither of which have assess whether the population is at a et al., 2004). In 2002, the state been estimated) have resulted in a risk of extinction that may warrant government of Rio Grande do Sul population that cannot rebound from listing. (Brazil) classified M. fasciatus as a this fishing pressure. The petition also The petition contends that the species species threatened with extinction provides general information on the use is threatened by destruction of habitat, (Hozbor et al., 2004). Farther south, in and trade of shark meat and fins, overutilization by fisheries, inadequate Uruguay, M. fasciatus is caught as including import and export data from regulatory measures, and synergistic bycatch in industrial and artisanal the countries in the daggernose shark’s effects, but provides very little to no fisheries. According to Hozbor et al. range. These trade data are for all shark information or data to support these (2004), the biomass of M. fasciatus in species and products and do not show statements. For example, the petition the coastal region of the Bonaerensean the relative importance of the does not provide any references related District (northern Argentina and daggernose shark in trade. As Compagno to habitat destruction or degradation, Uruguay) decreased by 96 percent (1984b) notes, the daggernose shark just to state that it is ‘‘prolific’’ between 1994 and 1999, as measured by meat is ‘‘occasionally marketed but not throughout most of the species’ range trawl surveys.

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In terms of regulatory measures, the common in waters of south Brazil, has the species’ current existence. As such, petition indicates that existing apparently disappeared. A summer we find that the petition presents regulatory mechanisms are inadequate shore fishery survey, conducted in 2003, substantial scientific or commercial and have failed to protect the species failed to record any members of the information indicating that listing may from both targeted and bycatch local population, despite the once be warranted for M. schmitti. mortality. It highlights Brazil’s trawl common occurrence of neonates in The petition requests that we list fishing regulation, which prohibits beach seines and bottom trawls in the three species of angel sharks that have trawling at distances less than 3 nautical 1980s (Massa et al., 2006). The IUCN similar ranges and are found in coastal miles (5.56 km) from the shore (which assessment (Massa et al., 2006) and outer continental shelf sediment would be in depths of less than around attributes this disappearance to intense habitats in the Mediterranean Sea and 10 m). However, the petition and IUCN and continual fishing efforts in the eastern Atlantic. These three species are assessment contend that enforcement of inshore pupping and nursery grounds. Squatina aculeata, S. oculata, and S. the law is difficult and that trawling In Argentina, M. schmitti is a squatina. Angel sharks are bottom continues to occur in these nursery commercially important species dwellers, preferring to spend most of areas (Hozbor et al., 2004). In addition, (Chiaramonte, 1998), mainly caught in their time buried in the sand or mud. gillnetting, which has historically been the multi-species trawl fishery, and its Squatina squatina can be found from the primary method to catch neonates demand in the market has increased close inshore (5 m) to at least 150 m in within these inshore areas, remains (Massa et al., 2006). From 1992 to 1996, depth (Morey et al., 2006). S. aculeata unregulated (Hozbor et al., 2004). Thus, total declared landings of the species in can be found in depths of 30 to 500 m, the petition suggests that it is the largely Argentina more than doubled, from and S. oculata occurs in depths of over unregulated overutilization of the 5,047.6 mt to 10,271.3 mt (Chiaramonte, 20 to 500 m (Morey et al., 2007a; 2007b). species that has put the species in 1998). From 1993 to 1996, a survey that The historical range of S. squatina danger of extinction. examined shark species in 454 extended along the eastern Atlantic, Given the occurrence of the species in Patagonian coastal fishery trawls found from Scandinavia to Mauritania and the fisheries catch and bycatch data, M. schmitti to be the most frequently Canary Islands, and included the evidence of substantial declines in caught species (found in 28 percent of Mediterranean and Black seas. The biomass (96 percent) and observed the trawls) and it was recorded within historical range of S. aculeata extended decreases in abundance in some areas, all trawling areas (Molen et al., 1998). from the Mediterranean Sea (western as well as information indicating However, between 1998 and 2002, and central basins) to the eastern current regulations may be inadequate national Argentinian landings of the Atlantic, from Morocco to Namibia, and to protect the species from species decreased by 30 percent (Massa the historical range of S. oculata overutilization, we find that the petition et al., 2006, citing unpublished data). In extended throughout the Mediterranean presents substantial scientific or Uruguay, the species is taken as bycatch and in the eastern Atlantic, from commercial information indicating that in industrial and artisanal fisheries. southern Portugal to Namibia. Many of listing may be warranted for M. Estimated annual capture of both M. the life history traits of these angel fasciatus. schmitti and M. fasciatus was 900 mt sharks are unknown, including the age Mustelus schmitti, commonly referred from 2000–2002 (although M. schmitti at maturity, reproductive periodicity, to as the narrownose smooth-hound, is was the main species in the catch; productivity, and natural mortality. endemic to the southwest Atlantic, and (Massa et al., 2006)). Between 1998 and Squatina aculeata is thought to mature is found in waters off of southwest 2002, biomass of the species decreased around 124 cm, with maximum size Brazil, Argentina, and Uruguay by 22 percent in the main fishing areas achieved at around 188 cm (Morey et (between latitudes 22° S and 48° S) off Uruguay and Argentina (Massa et al., al., 2007a). Squatina oculata sizes at (Massa et al., 2006). It is found in 2006, citing unpublished data). maturity range from 71 to 100 cm, with coastal waters to depths of 140 m. A In terms of fishery regulations, the maximum size of 160 cm, and S. large population is known to migrate petition contends that the only current squatina mature at sizes of 80 to 169 cm seasonally, wintering off southern Brazil conservation measure in place for the (depending on sex), with a maximum and moving south to spend summers off species is a permitted maximum catch, size of up to 244 cm (Morey et al., 2006; Uruguay and/or Argentina (Massa et al., established by the Argentine fisheries 2007b). 2006). There was also a smaller, local authority, but argues that catch should The petition identifies bottom population that was known to breed in be set at zero to ensure the species’ trawling, human population growth, south Brazil during the spring, but is survival. overutilization, inadequacy of existing now thought to be extirpated (Massa et Declines of 20 to 30 percent in regulatory measures, and isolation of al., 2006). biomass and landings do not necessarily populations as potential threats to the The petition identifies overutilization indicate that a population is at risk of existence of these species. The petition and the inadequacy of existing extinction or that catch must be notes that identifying angel sharks down regulatory mechanisms as threats to the prohibited (especially without to species is difficult and so many of the species’ continued existence. The additional information regarding the fishing records identify catch only to the petition notes that the species population size or maximum genus level. In the Mediterranean, experiences heavy fishing pressure sustainable yield). However, based on historical records from the late 1800s to throughout its entire range, including in the above information provided which early 1900s show a decline in the its nursery grounds. In south Brazil, the shows the species is commercially number of angel sharks caught in tuna wintering population is targeted and important, taken in substantial numbers traps that were operating in Baratti also caught as a component of the in fisheries within its range, including (Northern Tyrrhenian Sea) (Morey et al., mixed-species fishery. Based on bottom in nursery grounds and pupping areas, 2006; 2007a; 2007b). From 1898 to 1905, trawl CPUE data, the winter migrant and has experienced large declines (85 catches of angel sharks averaged 134 population of south Brazil has percent) in parts of its range, with a sharks per year, but from 1914–1933, decreased by 85 percent between 1985 potential extirpation of a local this average declined to only 15 sharks and 1997 (Massa et al., 2006). The small population, we find overutilization for per year (Morey et al., 2006; 2007a; resident population, that was once commercial purposes may be a threat to 2007b). As these years coincided with

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the beginning of trawling activity in the sharks (likely S. aculeata or S. oculata) which essentially prohibits the capture area, the IUCN assessments (Morey et caught on a daily basis (Morey et al., or trade of the species by Spanish al., 2006; 2007a; 2007b) attribute the 2007a; 2007b). However, since the mid- citizens (Morey et al., 2007a). Squatina decline in catch specifically to trawl 1990s, there have been no records of squatina is listed as a prohibited species fishing, noting that angel sharks, which Squatina sharks around the Balearic by the European Union. This listing dwell near or on the bottom, are Islands, despite a bottom trawl fishing prohibits EU and third country vessels especially susceptible to this type of survey that was conducted at depths from fishing for, transporting, or landing fishing activity. where the sharks should be present the species in EU waters (Morey et al., The petition notes that this bottom (between 46 and 1800 m) (Morey et al., 2006). Likewise, S. squatina is also trawling activity has continued to 2007a; 2007b). The petition points to protected from fishing activities within increase in both intensity and efficiency evidence that Squatina sharks were three nautical miles of English coastal on the Mediterranean shelf and slope once targeted and caught by a special baselines by the UK Wildlife and over the last 50 years, and, as such, is net called an ‘escaterea’ in these waters Countryside Act (Morey et al., 2006). a threat to the angel shark species (Morey et al., 2007a), but reports from However, as the petition notes, these existence. The petition states that the fishermen indicate that all species of regulations provide protections for these three species are now rare or absent Squatina have undergone dramatic species in only parts of their ranges, from most of the northern declines over the last 20 years and are including in some areas where the Mediterranean coastline (Morey et al., likely extirpated from the area (Morey et species are no longer found (northern 2006; 2007a; 2007b), as evidenced by al., 2006; 2007a; 2007b). Mediterranean, northeast Atlantic). species-specific catch data from two Off the coast of West Africa, these Based on the above information major trawl surveys that were angel shark species are primarily taken provided by the petition, which shows conducted in the north Mediterranean: as bycatch in industrial demersal trawl that these three species were once the Mediterranean International Trawl fisheries and inshore bottom set gillnets. common and frequently taken in various Survey (MEDITS) and the Italian The IUCN assessments (Morey et al., fisheries but have now noticeably National Project. During the MEDITS 2007a; 2007b) provide Portuguese declined in abundance throughout their program (1995–1999), tows were made landings data from a fleet fishing in ranges, with evidence of possible local in depths of 10–800 m along the north Moroccan and Mauritanian waters that extirpations, we find that the threats of Mediterranean coastline, from west showed landings of the three species overutilization and inadequate Morocco to the Aegean Sea. Out of the peaking in 1990 at 35 t and then regulatory measures as described above 9,095 tows, S. squatina appeared in two, decreasing by 95 percent to 1.7 t in may be putting the species at an S. aculeata appeared in one, and S. 1998, when the fishery subsequently increased risk of extinction. As such, we oculata was not present in any of the closed. However, the IUCN assessments find that the petition presents tows (Morey et al., 2006; 2007a; 2007b). caution that the level of fishing effort substantial scientific or commercial Biomass estimates were only provided associated with these data is unknown. information indicating that listing may for S. squatina, with total biomass Citing various personal be warranted for S. aculeata, S. oculata, estimated to be 14 mt throughout the communications, the IUCN assessments and S. squatina. survey area, equating to about 1,400 also note that the Squatina sharks were The petition also requests that we list sharks (Morey et al., 2006). The Italian common in these waters in the 1970s three species of angel sharks that are National Project survey (1985–1998) did and 1980s, frequently caught by lines endemic to the southwest Atlantic: not report any catches of S. aculeata or and gillnets; however, according to both Squatina argentina, S. punctata, and S. S. oculata from the 9,281 hauls artisanal fishermen and observers of the guggenheim. According to the IUCN conducted in the northern industrial demersal trawl fleets, the assessments (Vooren and Chiaramonte, Mediterranean (Morey et al., 2007a; species has been depleted and is now 2006; Chiaramonte and Vooren, 2007; 2007b). S. squatina were caught in only only very rarely observed. Morey et al., IUCN SSG, 2007), there is some 0.41 percent of the hauls (Morey et al., (2007a) and (2007b) also mention controversy regarding the taxonomy of 2006). research surveys that were conducted these southwest Atlantic Squatina Squatina aculeata is now considered along the coast of West Africa and species. In one study, for example, the to be absent from the Black Sea and rare previously reported catches of Squatina authors analyzed mitochondrial DNA in the eastern part of the Mediterranean species, but noted that no specimens and indicated that there are only three (Morey et al., 2007a). Squatina squatina have been captured since 1998 for S. species of Squatina in southern Brazil: has also become rare within its range, aculeata and since 2002 for S. oculata. S. argentina, S. guggenheim, and S. with evidence of possible local The petition identifies existing occulta (Furtado-Neto and Carr, 2002). extirpations. For example, it was once regulations that aim to protect these In another study (Vooren and Silva, recorded in trawl surveys in the three species from further declines, but 1991), S. punctata was characterized as Adriatic Sea (in 1948), but the MEDIT contends that these current regulations being the same species as S. surveys conducted in 1998 found no are either insufficient or ineffective to guggenheim. Based on the information evidence of the species in this area protect the existing populations of the provided in the petition, species- (Morey et al., 2006). In addition, the last three species from extinction. For specific data are available for both S. reported landing of the species in the example, the petition notes that argentina, whose validity as a species northeast Atlantic was in 1998 Squatina sharks are protected from and occurrence is ‘‘generally agreed (compiled from landings records dated fishing within six Balearic Islands upon’’ (Vooren and Chiaramonte, 2006), 1978 to 2002 for all International marine reserves, but suggests that local and S. guggenheim, whose Council for the Exploration of the Sea extirpation of the species are likely in nomenclature and taxonomy are areas), and is now considered extinct in this part of the Squatina range, and, questionable, but whose occurrence and the North Sea (Morey et al., 2006). therefore, the regulation is not effective information on its abundance are Off the Balearic Islands (Spain), in minimizing extinction risk to the represented in the available fisheries Squatina sharks were fairly common existing populations. In 2012, S. data. Although the petition requests us until the mid-1980s, with records from aculeata was added to Spain’s List of to list S. punctata, it provides no a lobster gillnet fishery that show angel Wild Species under Special Protection, specific-specific population or

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abundance data, or evidence of its ∼92 cm total length, TL), and occurs almost entirely consisting of S. occurrence. The only species-specific from 24° S, in Rio de Janeiro, southern guggenheim (Vooren and Chiaramonte, information for S. punctata provided in Brazil, to 43° S, northern Patagonia, 2006; Chiaramonte and Vooren, 2007). the petition corresponds to some life Argentina) (Chiaramonte and Vooren, Citing a study from 1982, Chiaramonte history data from Vooren and Silva 2007). It is also a bottom-dweller and is and Vooren (2007) state that annual (1991), the paper in which the authors found at depths of 10 to 80 m in Brazil biomass for angel sharks on the Buenos synonymize S. punctata with S. and from the coast to 150 m in Aires coast (in 1981/82) was estimated guggenheim, so it is unclear whether Argentinian waters (Chiaramonte and to be around 4,050 mt, with total this information actually corresponds to Vooren, 2007). captures of Squatina sharks wavering S. punctata or S. guggenheim. The petition identifies overutilization around 1,000 mt between 1979 and In terms of threats, the petition as a threat to the continued existence of 1984. However, by the 1990s, landings identifies overutilization of S. punctata both species. These angel sharks are had increased to over 4,000 mt, with and provides general angel shark both targeted and caught as bycatch in maximum landings recorded in 1997 landing statistics and information on fisheries operating from southern Brazil and 1998. Chiaramonte and Vooren CPUE declines. However, Vooren and to Uruguay. Landing statistics from (2007) and Vooren and Chaiaramonte Chiaramonte (2006) and Chiaramonte southern Brazil are combined for S. (2006) note that these landings and Vooren (2007) note that the landing argentina, S. guggenheim, and S. consisted almost entirely of S. statistics in southern Brazil (referenced occulta as they are hard to distinguish. guggenheim (and that S. argentina is in the petition) refer to S. guggenheim, They show variable catches throughout rare in commercial landings data); S. occulta, and S. argentina combined, the years, with peaks of around 2,000 mt however, Molen (1998), citing an but make no mention of S. punctata. for the species assemblage in 1986–1989 anonymous reference, stated that The petition notes that the sharp decline and 1993 and then a decrease in catch landings of S. argentina were 4,300 mt in landings is ‘‘attributed to recruitment to around 900 mt in 2003 (Vooren and in 1997. In addition, a bottom trawl overfishing due to the bottom gillnet Chiaramonte, 2006; Chiaramonte and survey conducted between 1993 and fishery;’’ however, the citations it uses, Vooren, 2007). No data are cited in the 1996 found S. argentina to be of which are also referenced by Vooren petition or available in our files since medium frequency in Patagonian coastal and Chiaramonte (2006) and 2003. From 1984 to 2002, CPUE of these trawl fisheries, showing up as bycatch Chiaramonte and Vooren (2007), angel sharks in otter and pair trawls on in 15.4 percent of the 454 trawls (Molen, specifically refer to the decline in the continental shelf declined by around 1998). Therefore, it appears that both S. abundance of S. argentina and S. 85 percent (Vooren and Chiaramonte, argentina and S. guggenheim may have guggenheim on the outer shelf of Brazil, 2006; Chiaramonte and Vooren, 2007). been present and fairly abundant in the not S. punctata. The petition also cites Research trawl surveys conducted on late 1990s in Argentine waters. In 1998, declines in angel shark catch in the outer shelf of southern Brazil in the gillnet fleet of Puerto Quequen Argentine waters, but the IUCN 1986/97 and 2001/02 also found considered angel sharks to be the assessments (Vooren and Chiaramonte, significant declines in angel shark second most important fish in their 2006; Chiaramonte and Vooren, 2007; abundance, with S. guggenheim and S. catch (Chiaramonte and Vooren, 2007). IUCN SSG, 2007) note that the majority argentina estimated to be at 15 percent Landings of these angel sharks have of these landings consist almost entirely of their original abundance levels since decreased from the 1997/98 peak of S. guggenheim. In Uruguay, the IUCN (Vooren and Chiaramonte, 2006; levels, dropping to 3,550 mt in 2003 assessments (Vooren and Chiaramonte, Chiaramonte and Vooren, 2007). The (Chiaramonte and Vooren, 2007). The 2006; Chiaramonte and Vooren, 2007; petition references the IUCN petition indicates that the overall IUCN SSG, 2007), citing a personal assessments (Vooren and Chiaramonte, negative trend in these landings data communication, state that species- 2006; Chiaramonte and Vooren, 2007) (from 1998 to 2003) is also reflected in specific statistics are not known, but which attribute these decreases to the 58 percent decline in CPUE of the that the largest catches most likely recruitment overfishing specifically by a angel shark that was calculated for the correspond to S. guggenheim and S. bottom gillnet fishery that began in 1990 coastal bottom trawl fleet in Argentina argentina. Given the available and continues to operate on the outer (Chiaramonte and Vooren, 2007). information provided by the petitioner, continental shelf, targeting and taking In Uruguay, species-specific statistics we do not find that the petition has large numbers of Squatina sharks. In are unavailable, but the petition notes presented substantial evidence that S. addition to being targeted catch, the that angel sharks are taken as bycatch in punctata is a taxonomically valid petition notes that S. argentina is also industrial and artisanal fisheries. Total species for listing. caught (and retained) in significant Squatina shark captures have been We will now evaluate the petition’s numbers as bycatch in the trawl and estimated at 300 to 400 mt per year request to list the other two angel shark gillnet fishery for monkfish (Lophius since 1997, with the majority likely S. species in the southwest Atlantic, S. gastrophysus), which operates on the guggenheim and S. argentina (based on argentina and S. guggenheim. Squatina shelf edge and upper slope (Vooren and personal communications provided to argentina is a bottom-dwelling species Chiaramonte, 2006). In 2001, the Chiaramonte and Vooren (2007) and that occurs from 32° S in Rio Grande, estimated bycatch of S. argentina in the Vooren and Chiaramonte (2006)). southern Brazil, to 43° S, in northern monkfish gillnet fishery was 1.052 The petition also identifies Patagonia, Argentina (Vooren and sharks per 100 nets, which equates to a inadequate regulatory measures and the Chiaramonte, 2006). It is found offshore, total of 8,689 individuals (Vooren and species’ low reproductive potential as on the shelf and upper continental slope Chiaramonte, 2006). Vooren and threats to the continued existence of in depths of 120 to 320 m, but has Chiaramonte (2006) note that S. both species. The petition, citing the occasionally been observed in 50 m argentina was ‘‘one of the most retained IUCN assessments, states that there are depths (Vooren and Chiaramonte, 2006). bycatch species’’ in the monkfish gillnet currently no regulations to manage the It has an estimated maximum size of fishery. angel shark fishery that operates on the 138 cm TL (Vooren and Chiaramonte, In Argentina, angel shark landings continental shelf off southern Brazil. 2006). Squatina guggenheim is a smaller have been decreasing since reaching However, a management plan for the angel shark species (maximum size is maximum levels in 1998, with landings gillnet monkfish fishery, which takes

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substantial numbers of S. argentina as to overutilization of the species to the evidence that listing may be warranted bycatch, was approved in 2005 and thus point where the species is threatened for S. formosa. may help to minimize the threat of with extinction, the petition provides no Triakis acutipinna, commonly overutilization to the species in this area information on catch numbers, referred to as the sharpfin houndshark, (Vooren and Chiaramonte, 2006). The population status, or abundance trends is found only in the tropical, continental petition also notes that Argentina has for the species. Instead, the petition waters off Manabi Province, Ecuador. set the maximum permitted catch for refers to other angel shark species in Little is known about the species’ life angel sharks at 4,000 mt (down from different parts of the world that have history, habitat, or ecology. It was first 6,000 mt in the years 1995 to 1999), a undergone population declines from recorded 40 years ago, in waters off Isla quota that appears to be similar to the intense fishing pressure, and uses this de La Plata, and has since been peak landings of the Squatina species information as a surrogate for evidence identified in artisanal coastal gillnet during the 1990s. However, with of threats to S. formosa. While we agree fishery landings from the coastal fishing declining trends evident in the landings that extensive fishing is occurring port of Daniel Lo´pez, Ecuador. However, and CPUE of angel sharks, this within the range of S. formosa, the its occurrence is rare and it is unknown management measure may not be petition has not provided any whether the species is taken in other adequate to protect the species from information on the level of directed artisanal inshore fisheries. The petition threats such as overutilization. In fishing or level of bycatch of this states that the current population size is addition, the petition asserts that the particular shark. The petition only notes estimated to be less than 2,500 low reproductive potential of both that there are no catch records of the individuals, based on very few records, species makes them especially slow to species but that it is present in the and cites the IUCN assessment recover from overutilization and market place. The petition also argues (Compagno et al., 2009); however, it is depletion, and thus poses an additional that the triennial reproductive cycle and unclear how this number was threat to the species’ existence. For small litter sizes makes several species calculated. Neither the IUCN assessment example, the petition states that of angel sharks more vulnerable to nor the petition provides any references pregnant females of S. guggenheim are depletion, but specific reproductive to population size data, records of known to abort embryos upon capture information for S. formosa is not abundance or occurrence, or in fishing gear, thus further decreasing currently known (although it is likely information on how the population total their reproductive potential even if similar to other angel shark species). We was calculated. It appears that the size released alive (Chiaramonte and Vooren, do not find that the available of the species is only known from two 2007). information is substantial information documented adult specimens, a male of After a review of the species-specific indicating that overutilization is a threat 90 cm and a female of 102 cm information provided in the petition, to this species such that listing may be (Compagno et al., 2009). All other life which shows that S. argentina and S. warranted. history parameters are unknown. guggenheim have and continue to be The petition acknowledges that little The petition also contends that there targeted and taken in various fisheries, is known about the species and its are no conservation measures in place with limited regulation of these fisheries occurrence in fisheries catch, but for the species, but states that there are and evidence of significant population contends that the species is landed and some areas of Chinese waters that are declines for both species in part of their perhaps targeted and thus fishing protected from trawling activities. The range, we find that the threats of pressure is likely causing a decline and overutilization and inadequate petition does not provide any additional is a threat to its continued existence. In regulatory measures as described above information on these regulations except 2004, Ecuador banned directed fishing may be putting the two angel shark to note that these areas may or may not for sharks in all of its waters; therefore, species at an increased risk of be within S. formosa’s range and may it is illegal to target the species. extinction. As such, we find that the not be effectively enforced and therefore Although fishermen can catch sharks as petition presents substantial scientific ‘‘provide no certain protection’’ for the bycatch, information provided in the or commercial information indicating species. It is unclear how the petitioner petition indicates that the species is that listing may be warranted for S. came to such a conclusion. The petition only rarely caught as bycatch, and has argentina and S. guggenheim. specifically identifies bottom trawling only been observed in landings from the Squatina formosa, commonly referred as a threat to the species, so if this artisanal coastal gillnet fishery in the to as the Taiwan angel shark, occurs in activity were prohibited within certain fishing port of Daniel Lo´pez (Compagno the northwest Pacific Ocean and East areas of the species’ range, this threat et al., 2009). As such, we do not find China Sea and is primarily found in would be decreased and provide some that the available information indicates waters around northern Taiwan and the protection to the species. that overutilization is a threat to the East Taiwan Strait (Walsh and Ebert, The petition fails to provide any species. In addition, the petition states 2009). It is found on the continental information on the species’ abundance, that regulatory measures are inadequate shelf, in depths of around 100–300 m, life history, status, or trends throughout to protect the species from extinction with a maximum recorded size of 150 all or a significant portion of the because trade in shark fins is still cm TL (Walsh and Ebert, 2009). There species’ range, nor do we have any allowed, which will ‘‘ensure that the are no life history details for this species information in our files. The petition sharpfin houndshark will continue to be or information on its population size. provides no evidence that the species is a utilized bycatch species.’’ However, Although it is found in local Taiwanese or has been in decline. The petition the petitioner provides no evidence that fish markets, there have been no catch provides only general statements and sharpfin houndshark fins even enter (or records of this species (possibly due to assumptions regarding threats to the are valued in) the shark fin trade. It also the difficulty in distinguishing the species but does not provide evidence to states that the meat of sharpfin species from other angel sharks in the suggest these threats are acting upon the houndsharks has a higher value than area) (Walsh and Ebert, 2009). species to the point where it may meet most other species, but does not provide Although the petition contends that the definition of threatened or a reference for the statement or any the extensive bottom trawling occurring endangered. As such, we find that the further information that would support within the range of S. formosa has led petition does not provide substantial the claim that the sharpfin houndshark

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is valued in trade, nor do we have that provides no other information, such as provided by the petitioner suggests the type of information on its trade in our tagging studies, to support its claim of Southwest Atlantic population of C. files. isolation. Additionally, this depth taurus shares many of its biological and Although the sharpfin houndshark barrier does not explain why mixing life history characteristics with may be a rare species, the petition has would not occur between the Southwest populations of C. taurus found not provided any evidence to indicate Atlantic population and those sharks elsewhere. We therefore find that that the species is currently in decline found in the Caribbean as well as the petitioner has not provided substantial or that there are any threats that are Northwest Atlantic. information to indicate that the acting upon the species to the point The petition also states that the Southwest Atlantic population of C. where it may meet the definition of Southwest Atlantic population is taurus may qualify as a discrete threatened or endangered. As such, we behaviorally unique because it is more population based on physical, find that the petition does not provide migratory than other C. taurus physiological, behavioral, or substantial evidence that listing may be populations, yet does not mix with morphological factors. warranted for T. acutipinna. these other populations, and cites Citing the same information it provided for the discreteness factor Species-Specific Information for Sardowsky (1970) and Compagno (2001) discussed above, the petitioner asserts Requested DPSs as support. These references are also that the Southwest Atlantic population This petition also requests that we used as support for the petitioner’s claim that the Southwest Atlantic segment is significant to the taxon. identify three subpopulations of shark However, based on our above analysis, subpopulation is a ‘closed group,’ with species as DPSs and subsequently list we do not find that the petitioner has dentition that differs from all other these subpopulations as threatened or provided substantial information that subpopulations. However, it is unclear endangered under the ESA. In this specific population has biological how the petitioner came to these evaluating this request, we must first or ecological significance to the taxon. conclusions based on the results of consider whether the petition provides The available information does not these studies. The study by Sardowsky substantial information that the indicate that the population exists in an (1970) examined the dentition of requested populations may qualify as unusual or unique ecological setting, or specimens of C. taurus caught in waters DPSs under the discreteness and that loss of the population would result off Canane´ia, Brazil, and compared their significance criteria of our joint DPS in a significant gap in the range of the Policy (as noted above in the dental characteristics to sandtigers from taxon, or that it differs markedly from ‘‘Background’’ section). If we find that other regions. Based on these other populations of the species in its the petition presents substantial comparisons, the authors concluded genetic characteristics. information that the requested that the sandtiger sharks found off the In conclusion, we find that the populations may qualify as DPSs, we coast of southern Brazil are not petitioner has failed to provide must then determine whether the taxonomically distinct from sandtigers substantial information that the petitioner provides substantial found elsewhere in the world. Southwest Atlantic population of information that listing may be Sardowsky (1970) also states that the sandtiger sharks may qualify as a DPS warranted for those DPSs. Our analyses northwest Atlantic population and under the discreteness and significance and conclusions regarding the Brazilian populations are not isolated criteria of our joint DPS Policy. As such, information presented by the petitioner from each other and share some dental we deny the petitioner’s request to list and available in our files for these character combinations. The Compagno the Southwest Atlantic subpopulation of petitioned subpopulations are provided (2001) reference mentions that the C. taurus as threatened or endangered below. sandtiger shark is strongly migratory in because the available information in our Carcharias taurus, commonly referred certain parts of its range, and lists files and provided by the petitioner to as the sandtiger shark, is found in all populations found off Australia, the east suggests it is not a ‘‘species’’ eligible for warm and temperate seas, except the coast of the USA, and the east coast of listing under the ESA. eastern Pacific. They occur in the surf South Africa as sharing this behavior. Cetorhinus maximus, commonly zone, in shallow bays and around coral Lucifora et al. (2002) notes that this referred to as the basking shark, is the and rocky reefs, but are also found in migratory behavior is likely linked to second largest shark species (reaching depths as great as 191 m on the outer reproduction and also observed it in lengths of 10 m) and is circumglobal in continental shelf (Compagno, 1984a). sandtigers in the Southwest Atlantic. In distribution (Compagno, 2001), The petitioner requests that we list the fact, the reproductive migration patterns observed in boreal to tropical waters Southwest Atlantic subpopulation of of the Southwest Atlantic sandtigers (Skomal et al., 2009; Compagno, 2001). sandtiger shark as threatened or were noted as similar to those of Seasonal changes in abundance have endangered, arguing that it satisfies both sandtigers in the northwest Atlantic been noted for the species, as well as the ‘‘discreteness’’ and ‘‘significance’’ (Lucifora et al., 2002). Although the strong sexual segregation in parts of its requirements under our DPS policy, and petition contends that the Southwest range (NMFS, 2010). Tagging studies in thus qualifies as a DPS. Atlantic sandtiger population has ‘‘its the Atlantic have discovered that this The petition contends that the own unique maturation age and size’’, species is capable of large, trans- Southwest Atlantic subpopulation of Lucifora et al. (2002) states that the oceanic, and trans-equatorial sandtiger shark is discrete based on estimates of maturity size for sandtigers migrations, and may occasionally dive physical, physiological, behavioral, and found off Brazil (females = 218–235 cm to meso-pelagic depths (200 to 1000 m) morphological factors. In terms of TL and males = 193 cm TL) are (Gore et al., 2008; Skomal et al., 2009). physical barriers, the petition states that comparable to those for sandtigers off These sharks are filter-feeders and are the population rarely occurs in deep the east coast of the USA (females = commonly observed foraging at the water (greater than 200 m depth; 220–229 cm TL; males = 190–195 cm surface on zooplankton (NMFS, 2010). Compagno, 1984a) and uses this as TL), South Africa (females = 220 cm TL; The petitioner requests that we list both evidence that the species does not mix males = 202–220 cm TL), and Australia the North Pacific subpopulation as well with the sandtiger sharks found (females = 220 cm TL). Thus, the as the Northeast Atlantic subpopulation elsewhere. However, the petitioner available information in our files and of basking sharks as threatened or

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endangered, asserting that these but also suggested it could be explained influence abundance and distribution of subpopulations satisfy both the by female mediated gene flow over the the species over long and short time ‘‘discreteness’’ and ‘‘significance’’ entire range of the species (Hoelzel et scales. The basking shark will remain on requirements under our DPS policy, and al., 2006). The latter theory of our ‘‘Species of Concern’’ list until more thus qualify as DPSs. worldwide panmixia of basking sharks data become available. For both subpopulations, the has recently been supported by tagging Petition Finding petitioner claims that these populations studies conducted by Gore et al. (2008) are discrete because they are and Skomal et al. (2009). These studies After reviewing the information geographically isolated from other have revealed that basking sharks are contained in the petition, as well as populations of the taxon. The petitioner capable of making trans-oceanic information readily available in our cites a statement in the IUCN migrations (with an observed trans- files, including the sections of the assessments (Fowler, 2009a; 2009b) atlantic distance of 9,589 km; Gore et petition applicable to all of the which reads: ‘‘[t]he different al., 2008) across dynamic oceanographic petitioned species and subpopulations morphological characteristics of Basking conditions, from boreal and temperate as well as the species-specific Sharks in the Pacific and the north and latitudes to tropical waters (Skomal et information, we conclude the petition in south Atlantic oceans are not thought to al., 2009). As Skomal et al. (2009) notes, its entirety does not present substantial indicate separate species (Compagno these new data raise ‘‘the possibility scientific or commercial information 1984), but are geographically isolated that there may also be migratory indicating the petitioned action may be subpopulations.’’ The petitioner uses connectivity of basking sharks on global warranted for 13 of the 22 species and this quote as the only source of spatial scales.’’ subpopulations of sharks. These 13 information to support the claim of Based on this information, we do not species and subpopulations are: discreteness through geographic find evidence that indicates that the Carcharhinus borneensis, Carcharhinus isolation. In addition, the petitioner North Pacific or Northeast Atlantic hemiodon, Carcharias taurus uses the above statement as the only subpopulations may qualify as discrete (Southwest Atlantic subpopulation), support to show that these two populations under our DPS policy based Cetorhinus maximus (North Pacific subpopulations are also significant to on physical, physiological, behavioral, subpopulation), Cetorhinus maximus the species. According to the petitioner, or morphological factors, or may qualify (Northeast Atlantic subpopulation), the geographic isolation mentioned in as significant populations under our Haploblepharus kistnasamyi, the quote is evidence that loss of either DPS policy based on differences in Hemitriakis leucoperiptera, subpopulation would result in a genetic characteristics. We also find that Holohalaelurus favus, Holohalaelurus significant gap in the range of the taxon, the petitioner has failed to provide punctatus, Lamiopsis temmincki, and the morphological differences substantial information that would Squatina formosa, Squatina punctata, mentioned in the quote is evidence that indicate otherwise. As such, we deny and Triakis acutipinna. In contrast, as the subpopulations are markedly the petitioner’s request to list the North described above, we find that there is different from other populations of the Pacific or Northeast Atlantic substantial scientific or commercial species based on genetic characteristics. subpopulation of C. maximus as information indicating the petitioned However, the IUCN assessments from threatened or endangered because the action may be warranted for 9 of the 22 which this quote is taken (Fowler, available information in our files species and subpopulations of sharks 2009a; 2009b) do not provide any suggests these subpopulations are not and we hereby announce the initiation details regarding the different ‘‘species’’ eligible for listing under the of a status review for each of these morphological characteristics, such as ESA. species to determine whether the what they are or which populations Currently, the basking shark is a petition action is warranted. These 9 exhibit these traits, or explain how these NMFS ‘‘Species of Concern’’, with a species are: Centrophorus harrissoni, apparent differences indicate geographic focus on the eastern North Pacific part Isogomphodon oxyrhynchus, Mustelus isolation. In addition, we reviewed the of its range. ‘‘Species of Concern’’ are fasciatus, Mustelus schmitti, Squatina information on C. maximus presented in those species about which NMFS has aculeata, Squatina argentina, Squatina Compagno (1984a) and found no some concerns regarding status and guggenheim, Squatina oculata, and discussion of morphological differences threats, but for which insufficient Squatina squatina. information is available to indicate a between the Pacific and the north and Information Solicited south Atlantic basking shark need to list the species under the ESA. populations. As noted on the basking shark ‘‘Species To ensure that the status review is In our own files, we reviewed a paper of Concern’’ fact sheet, ‘‘[t]here is no based on the best available scientific by Hoelzel et al. (2006), which aspect of the movements, behaviors, and commercial data, we are soliciting examined the global genetic diversity of population size or structure, or life information relevant to whether the basking sharks by comparing samples of history that isn’t data deficient for nine species we believe may be C. maximus mitochondrial DNA basking sharks in the eastern North warranted for listing (Centrophorus (mtDNA) taken from the western North Pacific’’ (NMFS, 2010). There is a lack harrissoni, Isogomphodon oxyrhynchus, Atlantic, eastern North Atlantic, of information on habitat requirements Mustelus fasciatus, Mustelus schmitti, Mediterranean Sea, Indian Ocean and for different life stages of basking sharks Squatina aculeata, Squatina argentina, western Pacific. The results of this study and there are still questions regarding Squatina guggenheim, Squatina oculata, showed that there is low genetic key life history characteristics, and Squatina squatina) are threatened diversity in the global basking shark including age at first reproduction, or endangered. Specifically, we are population and no significant genetic gestation period, littler size, and mating soliciting information, including differentiation between ocean basins. frequency. Population dynamics, unpublished information, in the The authors suggested that this lack of structure, size, geographic range, and following areas: (1) Historical and genetic structure in the global basking genetics are still largely unknown. current distribution and abundance of shark population is likely a result of a Without this type of basic information, each species throughout its range; (2) population bottleneck event that it is difficult to assess the potential historical and current population occurred within the Holocene epoch, threats to the species and how they may trends; (3) life history information; (4)

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data on trade of these species, including ADDRESSES: You may submit written either the Mid-Atlantic or New England products such as fins, jaws, meat, and comments by any of the following Council. teeth; (5) historical and current data on methods. Alternatives under consideration in catch, bycatch, retention, and discards • Email: nmfs.ner.draftSBRM@ the omnibus SBRM amendment address in fisheries; (6) ongoing or planned noaa.gov. Include in the subject line bycatch reporting and monitoring efforts to protect and restore these ‘‘Comments on draft SBRM.’’ mechanisms, analytical techniques, and species and their habitats; (7) any • Mail: John K. Bullard, Regional allocation of at-sea fishery observers current or planned activities that may Administrator, NMFS, Northeast when funding limits the recommended adversely impact these species; and (8) Regional Office, 55 Great Republic level of observer coverage; management, regulatory, and Drive, Gloucester, MA 01930. Mark the establishment of a target level for enforcement information. We request outside of the envelope ‘‘Comments on precision of bycatch estimates; and that all information be accompanied by: draft SBRM.’’ requirements for reviewing and (1) Supporting documentation such as • Fax: (978) 281–9135. reporting on the efficacy of the SBRM. maps, bibliographic references, or Copies of the draft SBRM amendment NMFS and the Councils will consider reprints of pertinent publications; and may be obtained by contacting the all comments received on the draft (2) the submitter’s name, address, and NMFS Northeast Regional Office at the SBRM amendment and the alternatives any association, institution, or business above address. The documents are also for incorporation into the final that the person represents. available via the internet at: http:// document until the end of the comment period on December 19, 2013. The References Cited nero.noaa.gov/mediacenter/2013/09/ draftsbrmamendment.html. public will have several additional A complete list of references is opportunities to comment on the SBRM. available upon request to the Office of FOR FURTHER INFORMATION CONTACT: The final amendment will be considered Protected Resources (see ADDRESSES). Douglas Potts, Fishery Policy Analyst, for approval by the Councils at public (978) 281–9341. Authority meetings in early 2014. Once submitted SUPPLEMENTARY INFORMATION: Section to NMFS, the final SBRM Amendment The authority for this action is the 303(a)(11) of the Magnuson-Stevens will be made available for public review Endangered Species Act of 1973, as Fishery Conservation and Management and comment, and regulations will be amended (16 U.S.C. 1531 et seq.). Act (Magnuson-Stevens Act) requires proposed for review and comment. Dated: November 13, 2013. each fishery management plan (FMP) to Authority: 16 U.S.C. 1801 et seq. Alan D. Risenhoover, include provisions establishing ‘‘a Dated: November 13, 2013. standardized reporting methodology to Director, Office of Sustainable Fisheries, Kelly Denit, performing the functions and duties of the assess the amount and type of bycatch Deputy Assistant Administrator for occurring in the fishery.’’ The Councils Acting Deputy Director, Office of Sustainable Fisheries, National Marine Fisheries Service. Regulatory Programs, National Marine and NMFS are considering an omnibus Fisheries Service. amendment to establish a standardized [FR Doc. 2013–27570 Filed 11–18–13; 8:45 am] [FR Doc. 2013–27718 Filed 11–18–13; 8:45 am] bycatch reporting methodology (SBRM) BILLING CODE 3510–22–P BILLING CODE 3510–22–P or modify existing SBRMs under every Northeast Region FMP. NMFS had previously implemented an omnibus DEPARTMENT OF DEFENSE DEPARTMENT OF COMMERCE SBRM amendment recommended by the Office of the Secretary Councils. That amendment was vacated National Oceanic and Atmospheric by a Federal Court and remanded to [Docket ID: DoD–2013–OS–0106] Administration NMFS and the Councils in order to develop and implement another SBRM Submission for OMB Review; RIN 0648–XC968 amendment consistent with the Court’s Comment Request findings, see Oceana v. Locke et al. (No. New England and Mid-Atlantic Fishery ACTION: Notice. Management Councils; Public 10–5299). The purpose of the Comment amendment is to respond to the remand; SUMMARY: The Department of Defense particularly the appellate court’s finding has submitted to OMB for clearance, the AGENCY: National Marine Fisheries that the level of observer coverage was following proposal for collection of Service (NMFS), National Oceanic and too dependent on the discretion of information under the provisions of the Atmospheric Administration (NOAA), NMFS. This amendment also would Paperwork Reduction Act (44 U.S.C. Commerce. explain the methods and processes by Chapter 35). ACTION: Notice; request for comments. which bycatch is currently monitored DATES: Consideration will be given to all and assessed for Northeast Region comments received by December 19, SUMMARY: The New England and Mid- fisheries, determine whether these 2013. Atlantic Fishery Management Councils methods and processes need to be seek public comment on a draft modified and/or supplemented, FOR FURTHER INFORMATION CONTACT: Fred amendment to all the fishery establish standards of precision for Licari, 571–372–0493. management plans under their purview. bycatch estimation for all Northeast SUPPLEMENTARY INFORMATION: The omnibus amendment would Region fisheries and, thereby, to Title, Associated Form and OMB establish a standardized bycatch document the SBRM established for all Number: DOD Loan Repayment Program reporting methodology for each fishery fisheries managed through the FMPs of (LRP); DD Form 2475; OMB Number management plan, as required by the the Northeast Region. The scope of the 0704–0152. Magnuson-Stevens Fishery omnibus amendment is limited to those Type of Request: Extension. Conservation and Management Act. fisheries prosecuted in the Federal Number of Respondents: 22,391. DATES: Comments must be received by waters of the Northeast Region and Responses per Respondent: 1. December 19, 2013. managed through an FMP developed by Annual Responses: 22,391.

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Average Burden per Response: 10 Dated: November 14, 2013. Policy, Office of the Under Secretary of minutes Aaron Siegel, Defense (Personnel and Readiness), Annual Burden Hours: 3,732. Alternate OSD Federal Register Liaison Room 3D1066, The Pentagon, Needs and Uses: This information Officer, Department of Defense. Washington, DC 20301–4000, telephone collection requirement is necessary [FR Doc. 2013–27668 Filed 11–18–13; 8:45 am] (703) 697–9271. because the Military Services are BILLING CODE 5001–06–P Persons desiring to make oral authorized to repay student loans for presentations or submit written individuals who meet certain criteria statements for consideration at the and who enlist for active military DEPARTMENT OF DEFENSE Committee meeting must contact Dr. service or who enter Reserve service for Jane M. Arabian at the address or a specific obligated period. Applicants Office of the Secretary telephone number in FOR FURTHER who qualify for the program forward the INFORMATION CONTACT no later than DD Form 2475 ‘‘DOD Loan Repayment Defense Advisory Committee on December 3, 2013. Program (LRP) Annual Application,’’ to Military Personnel Testing; Notice of Federal Advisory Committee Meeting Dated: November 14, 2013. their Military Service Personnel Office Aaron Siegel, for processing. The Military Service AGENCY: Under Secretary of Defense for Alternate OSD Federal Register Liaison Personnel Office verifies the Personnel and Readiness, DoD. Officer, Department of Defense. information and fills in the loan ACTION: Meeting notice. [FR Doc. 2013–27664 Filed 11–18–13; 8:45 am] repayment date, address, and phone number. For the Reserve Components, SUMMARY: The Department of Defense is BILLING CODE 5001–06–P the Military Service Personnel Office publishing this notice to announce the forwards the DD Form 2475 to the following Federal advisory committee DEPARTMENT OF DEFENSE lending institution. For active-duty meeting of the Defense Advisory service, the Service mails the form to Committee on Military Personnel Office of the Secretary the lending institution. The lending Testing. The purpose of the meeting is institution confirms the loan status and to review planned changes and progress [Docket ID: DoD–2013–OS–0219] certification and mails the form back to in developing computerized tests for Privacy Act of 1974; System of the Military Service Personnel Office. military enlistment screening. Records Affected Public: Business or other for- DATES: Thursday, December 12, 2013, profit; individuals. from 9:00 a.m. to 4:00 p.m. and Friday, AGENCY: Defense Finance and Frequency: On occasion. December 13, 2013, from 9:00 a.m. to Accounting Service, DoD. Respondent’s Obligation: Required to 12:00 p.m. ACTION: Notice to delete a system of Obtain or Retain Benefits. ADDRESSES: The Embassy Suites Hotel records. OMB Desk Officer: Ms. Jasmeet O’Hare-Rosemont, 555 North River SUMMARY: Seehra. Road, Rosemont, Illinois, 60018. The Defense Finance and Accounting Service is deleting a system Written comments and FOR FURTHER INFORMATION CONTACT: Dr. of records notices in its existing recommendations on the proposed Jane M. Arabian, Assistant Director, inventory of record systems subject to information collection should be sent to Accession Policy, Office of the Under the Privacy Act of 1974, as amended. Ms. Jasmeet Seehra at the Office of Secretary of Defense (Personnel and The system of records being deleted is Management and Budget, Desk Officer Readiness), Room 3D1066, The T7108, Base Accounts Receivable for DoD, Room 10236, New Executive Pentagon, Washington, DC 20301–4000, System (BARS). Office Building, Washington, DC 20503. telephone (703) 697–9271. DATES: This proposed action will be You may also submit comments, SUPPLEMENTARY INFORMATION: This effective on December 20, 2013 unless identified by docket number and title, meeting is being held under the comments are received which result in by the following method: provisions of the Federal Advisory • a contrary determination. Comments Federal eRulemaking Portal: http:// Committee Act of 1972 (5 U.S.C., will be accepted on or before December www.regulations.gov. Follow the Appendix, as amended), the 19, 2013. instructions for submitting comments. Government in the Sunshine Act of Instructions: All submissions received 1976 (5 U.S.C. 552b, as amended), and ADDRESSES: You may submit comments, must include the agency name, docket 41 CFR 102–3.150. identified by docket number and title, number and title for this Federal Purpose of the Meeting: The purpose by any of the following methods: Register document. The general policy of the meeting is to review planned * Federal Rulemaking Portal: http:// for comments and other submissions changes and progress in developing www.regulations.gov. Follow the from members of the public is to make computerized tests for military instructions for submitting comments. these submissions available for public enlistment screening. * Mail: Federal Docket Management viewing on the Internet at http:// Agenda: The agenda includes an System Office, 4800 Mark Center Drive, www.regulations.gov as they are overview of current enlistment test East Tower, 2nd Floor, Suite 02G09, received without change, including any development timelines, test Alexandria, VA 22350–3100. personal identifiers or contact development strategies, and planned Instructions: All submissions received information. research for the next 3 years. must include the agency name and DOD Clearance Officer: Ms. Patricia Public’s Accessibility to the Meeting: docket number for this Federal Register Toppings. Pursuant to 5 U.S.C. § 552b and 41 CFR document. The general policy for Written requests for copies of the §§ 102–3.140 through 102–3.165, and comments and other submissions from information collection proposal should the availability of space, this meeting is members of the public is to make these be sent to Ms. Toppings at WHS/ESD open to the public. submissions available for public Information Management Division, 4800 Committee’s Designated Federal viewing on the Internet at http:// Mark Center Drive, East Tower, Suite Officer or Point of Contact: Dr. Jane M. www.regulations.gov as they are 02G09, Alexandria, VA 22350–3100. Arabian, Assistant Director, Accession received without change, including any

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personal identifiers or contact will be accepted on or before December SYSTEM MANAGER(S) AND ADDRESS: information. 19, 2013. Delete entry and replace with FOR FURTHER INFORMATION CONTACT: Mr. ADDRESSES: You may submit comments, ‘‘Human Development Directorate, Gregory Outlaw, (317) 212–4591. identified by docket number and title, National Geospatial-Intelligence Agency, 7500 GEOINT Drive, SUPPLEMENTARY INFORMATION: by any of the following methods: The • Springfield, VA 22150.’’ Defense Finance and Accounting Federal Rulemaking Portal: http:// Service systems of records notices www.regulations.gov. Follow the * * * * * subject to the Privacy Act of 1974 (5 instructions for submitting comments. • Mail: Federal Docket Management EXEMPTIONS CLAIMED FOR THE SYSTEM: U.S.C. 552a), as amended, have been System Office, 4800 Mark Center Drive, Delete entry and replace with published in the Federal Register and East Tower, 2nd Floor, Suite 02G09, ‘‘Information specifically authorized to are available from the address in FOR Alexandria, VA 22350–3100. be classified under E.O. 12958, as FURTHER INFORMATION CONTACT. The Instructions: All submissions received implemented by DoD 5200.1–R, may be proposed deletion is not within the must include the agency name and exempt pursuant to 5 U.S.C. 552a(k)(1). purview of subsection (r) of the Privacy docket number for this Federal Register Investigatory material compiled for Act of 1974 (5 U.S.C. 552a), as amended, document. The general policy for law enforcement purposes, other than which requires the submission of a new comments and other submissions from material within the scope of subsection or altered system report. members of the public is to make these 5 U.S.C. 552a(j)(2), may be exempt Dated: November 14, 2013. submissions available for public pursuant to 5 U.S.C. 552a(k)(2). Aaron Siegel, viewing on the Internet at http:// However, if an individual is denied any Alternate OSD Federal Register Liaison www.regulations.gov as they are right, privilege, or benefit for which he Officer, Department of Defense. received without change, including any would otherwise be entitled by Federal personal identifiers or contact law or for which he would otherwise be Deletion: information. eligible, as a result of the maintenance T7108 of the information, the individual will FOR FURTHER INFORMATION CONTACT: SYSTEM NAME: be provided access to the information National Geospatial-Intelligence Agency exempt to the extent that disclosure Base Accounts Receivable System (NGA), ATTN: Human Development (BARS) (June 16, 2009, 74 FR 28478). would reveal the identity of a Directorate, 7500 GEOINT Drive, confidential source. Note: When REASON: Springfield, VA 22150. claimed, this exemption allows limited System was decommissioned June 13, SUPPLEMENTARY INFORMATION: The protection of investigative reports 2011. All data was archived into an National Geospatial-Intelligence Agency maintained in a system of records used offline database for two years then notices for systems of records subject to in personnel or administrative actions. destroyed, therefore; T7108, Base the Privacy Act of 1974 (5 U.S.C. 552a), An exemption rule for this system has Accounts Receivable System (BARS) as amended, have been published in the been promulgated in accordance with can be deleted. Federal Register and are available from requirements of 5 U.S.C. 552a(b)(1), (2), the address in FOR FURTHER INFORMATION and (3), (c) and (e) published in 32 CFR [FR Doc. 2013–27647 Filed 11–18–13; 8:45 am] CONTACT or at the Defense Privacy and part 320. For additional information, BILLING CODE 5001–06–P Civil Liberties Office Web site at contact the system manager.’’ http://dpclo.defense.gov/privacy/ [FR Doc. 2013–27463 Filed 11–18–13; 8:45 am] SORNs/component/ngia/index.html. DEPARTMENT OF DEFENSE BILLING CODE 5001–06–P The proposed system report, as Office of the Secretary required by 5 U.S.C. 552a(r) of the Privacy Act of 1974, as amended, was DEPARTMENT OF DEFENSE [Docket ID DoD–2013–OS–0212] submitted on July 29, 2013, to the House Committee on Oversight and Office of the Secretary Privacy Act of 1974; System of Government Reform, the Senate [Docket ID: DoD–2013–OS–0213] Records Committee on Governmental Affairs, and the Office of Management and AGENCY: National Geospatial- Privacy Act of 1974; System of Intelligence Agency, DoD. Budget (OMB) pursuant to paragraph 4c Records of Appendix I to OMB Circular No. A– ACTION: Notice to alter a System of 130, ‘‘Federal Agency Responsibilities AGENCY: National Geospatial- Records. for Maintaining Records About Intelligence Agency, DoD. ACTION: Notice to add a new System of SUMMARY: The National Geospatial- Individuals,’’ dated February 8, 1996 Records. Intelligence Agency is altering an (February 20, 1996, 61 FR 6427). existing system of records in its Dated: November 12, 2013. SUMMARY: The National Geospatial- inventory of record systems subject to Aaron Siegel, Intelligence Agency is establishing a the Privacy Act of 1974, as amended. Alternate OSD Federal Register Liaison new system of records in its inventory The blanket (k)(1) and (k)(2) exemptions Officer, Department of Defense. of record systems subject to the Privacy apply to this systems of records to NGA–003 Act of 1974, as amended. The National accurately describe the basis for Geospatial-Intelligence Agency proposes exempting disclosure of classified SYSTEM NAME: to add a new system of records notice, information that is or may be contained National Geospatial-Intelligence NGA–008, National Geospatial- in the records. Agency Enterprise Workforce System Intelligence Agency Polygraph Records DATES: This proposed action will be (May 24, 2013, 78 FR 31526) System, to its existing inventory of effective on December 20, 2013 unless records systems subject to the Privacy comments are received which result in CHANGES: Act of 1974, as amended. This system a contrary determination. Comments * * * * * ensures the integrity in the polygraph

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examination process, documents Dated: November 12, 2013. Information; and E.O. 9397 (SSN), as polygraph results, assists with security Aaron Siegel, amended. eligibility determinations and Alternate OSD Federal Register Liaison PURPOSE(S): employment or assignment suitability Officer, Department of Defense. decisions in accordance with applicable To ensure the integrity in the NGA–008 laws, regulations and guidance. polygraph examination process, document polygraph results, assist with SYSTEM NAME: DATES: This proposed action will be security eligibility determinations and effective on December 20, 2013 unless National Geospatial-Intelligence employment or assignment suitability comments are received which result in Agency Polygraph Records System. decisions in accordance with applicable a contrary determination. Comments SYSTEM LOCATION: laws, regulations and guidance. To will be accepted on or before December Records are maintained at National assist with investigations into possible 19, 2013. Geospatial-Intelligence Agency (NGA) violations of NGA rules and regulations, including the possible loss or ADDRESSES: You may submit comments, Headquarters in Washington, DC metro compromise of classified or protected identified by docket number and title, facilities. NGA information. by any of the following methods: CATEGORIES OF INDIVIDUALS COVERED BY THE * Federal Rulemaking Portal: http:// SYSTEM: ROUTINE USES OF RECORDS MAINTAINED IN THE www.regulations.gov. Follow the SYSTEM, INCLUDING CATEGORIES OF USES AND Current and former NGA employees, THE PURPOSES OF SUCH USES: instructions for submitting comments. military personnel, contractors, In addition to those disclosures employed by or assigned to NGA * Mail: Federal Docket Management generally permitted under 5 U.S.C. facilities. System Office, 4800 Mark Center Drive, 552a(b) of the Privacy Act of 1974, as East Tower, 2nd Floor, Suite 02G09, CATEGORIES OF RECORDS IN THE SYSTEM: amended, these records may be Alexandria, VA 22350–3100. Polygraph reports, polygraph charts, specifically disclosed outside of the Instructions: All submissions received polygraph tapes, and notes from DoD as a routine use pursuant to 5 must include the agency name and polygraph interviews or activities U.S.C. a(b)(3) as follows: docket number for this Federal Register related to polygraph interviews. The DoD Blanket Routine Uses set document. The general policy for Identifying information such as, name, forth at the beginning of NGA’s comments and other submissions from date of birth, place of birth, Social compilation or systems of records members of the public is to make these Security Number (SSN), company name, notices may apply to this system. submissions available for public contract number, disability data, POLICIES AND PRACTICES FOR STORING, viewing on the Internet at http:// medical information, gender, grade/ RETRIEVING, ACCESSING, RETAINING, AND www.regulations.gov as they are rank, employee identification number, DISPOSING OF RECORDS IN THE SYSTEM: received without change, including any and foreign contacts. STORAGE: personal identifiers or contact information. AUTHORITY FOR MAINTENANCE OF THE SYSTEM: Electronic storage media. 50 U.S.C. 402a; Coordination of RETRIEVABILITY: FOR FURTHER INFORMATION CONTACT: counterintelligence activities; E.O. National Geospatial-Intelligence Agency 10450, Security requirements for Records may be retrieved by name, (NGA), ATTN: Security Specialist, Government employment; E.O. 12968, employee identification number or SSN. Mission Support, MSRS P–12, 7500 as amended, Access to classified SAFEGUARDS: GEOINT Drive, Springfield, VA 22150. information; 5 CFR part 732, National Records in this system are security positions; 5 CFR part 736, SUPPLEMENTARY INFORMATION: The safeguarded in accordance with Personnel investigations; 32 CFR part National Geospatial-Intelligence Agency applicable rules and policies, including 147, Adjudicative Guidelines for notices for systems of records subject to all applicable NGA automated systems Determining Eligibility for Classified the Privacy Act of 1974 (5 U.S.C. 552a), security and access policies. Strict Information; Director of Central as amended, have been published in the controls have been imposed to minimize Intelligence Directive (DCID) 6/4, Federal Register and are available from the risk of compromising the Personnel Security Standards and the address in FOR FURTHER INFORMATION information that is being stored. Access Procedures Governing Eligibility for CONTACT or at the Defense Privacy and to the computer system containing the Access to Sensitive Compartmented Civil Liberties Web site at http:// records in this system is strictly limited Information; 5 U.S.C. 301 Departmental dpclo.defense.gov/privacy/SORNs/ to those individuals who have a need to Regulations; DoDD 5105.60, National component/ngia/index.html. know the information for the Geospatial-Intelligence Agency (NGA); 5 performance of their official duties and The proposed system report, as U.S.C. 7532, Suspension and Removal; who have appropriate clearances or required by 5 U.S.C. 552a(r) of the E.O. 12958, Classified National Security permissions. Some of the technical Privacy Act of 1974, as amended, was Information; DoD 5200.2–R, DoD controls include, limited, role based submitted on May 17, 2013, to the Personnel Security Program; Director of access as well as profiles based access House Committee on Oversight and Central Intelligence Directive No. 1/14, to limit users to only data that is needed Government Reform, the Senate Personnel Security Standards and for the performance of their official Committee on Governmental Affairs, Procedures Governing Eligibility for duties. The system is located in a secure and the Office of Management and Access to Sensitive Compartmented data center and operated by Federal Budget (OMB) pursuant to paragraph 4c Information (SCI); E.O. 13467, personnel and contractors. of Appendix I to OMB Circular No. A– Reforming Processes Related to 130, ‘‘Federal Agency Responsibilities Suitability for Government RETENTION AND DISPOSAL: for Maintaining Records About Employment, Fitness for Contractor NGA will transfer the records to the Individuals,’’ dated February 8, 1996 Employees, and Eligibility for Access to National Archives and Records (February 20, 1996, 61 FR 6427). Classified National Security Administration when no longer needed

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and destroyed/deleted when 10 years If executed outside the United States: would reveal the identity of a old. ‘I declare (or certify, verify, or state) confidential source. NOTE: When under penalty of perjury under the laws claimed, this exemption allows limited SYSTEM MANAGER(S) AND ADDRESS: of the United States of America that the protection of investigative reports Polygraph Branch Chief, Security and foregoing is true and correct. Executed maintained in a system of records used Installations Division, Personnel on (date). (Signature)’. in personnel or administrative actions. Security, National Geospatial- If executed within the United States, Intelligence Agency (NGA). An exemption rule for this system has its territories, possessions, or been promulgated in accordance with NOTIFICATION PROCEDURE: commonwealths: ‘I declare (or certify, requirements of 5 U.S.C. 552a(b)(1), (2), Individuals seeking to determine verify, or state) under penalty of perjury and (3), (c) and (e) published in 32 CFR whether information about themselves that the foregoing is true and correct. Part 320. For additional information, is contained in this system of records Executed on (date). Signature)’. contact the system manager. should address written inquiries to the CONTESTING RECORDS PROCEDURES: [FR Doc. 2013–27461 Filed 11–18–13; 8:45 am] National Geospatial-Intelligence Agency Individuals contesting the accuracy of BILLING CODE 5001–06–P (NGA), Freedom of Information Act/ records contained in this system of Privacy Act Office, 7500 GEOINT Drive, records about themselves should Springfield, VA 22150–7500. DEPARTMENT OF DEFENSE The request envelope and letter address written inquiries to the National Geospatial-Intelligence Agency (NGA), should both be clearly marked ‘‘Privacy Department of the Navy Act Inquiry.’’ Freedom of Information Act/Privacy Act The written request must contain your Office, 7500 Geoint Drive, Springfield, Meeting of the Ocean Research full name, current address, and date and VA 22150–7500. Advisory Panel place of birth. Also include an The request envelope and letter explanation of why you believe NGA should both be clearly marked ‘‘Privacy AGENCY: Department of the Navy, DoD. would have information on you and Act Inquiry.’’ ACTION: Notice of Open Meeting. specify when you believe the records The written request must contain your would have been created. full name, current address, and date and SUMMARY: The Ocean Research Advisory You must sign your request and your place of birth. Also include an Panel will hold a regularly scheduled signature must either be notarized or an explanation of why you believe NGA meeting. The meeting will be open to unsworn declaration made in would have information on you and the public. Members of the public who accordance with 28 U.S.C. 1746, in the specify when you believe the records expect to attend are asked to provide following format: would have been created. If executed outside the United States: You must sign your request and your name and citizenship in advance in ‘I declare (or certify, verify, or state) signature must either be notarized or an order to facilitate entry into the office under penalty of perjury under the laws unsworn declaration made in suite. accordance with 28 U.S.C. 1746, in the of the United States of America that the DATES: The meeting will be held on following format: foregoing is true and correct. Executed Tuesday, December 3, 2013, from 9:00 If executed outside the United States: on (date). (Signature)’. a.m. to 5:30 p.m. and Wednesday, ‘I declare (or certify, verify, or state) If executed within the United States, December 4, 2013, from 9:00 a.m. to under penalty of perjury under the laws its territories, possessions, or 12:30 p.m. Members of the public of the United States of America that the commonwealths: ‘I declare (or certify, should submit their comments in foregoing is true and correct. Executed verify, or state) under penalty of perjury advance of the meeting to the meeting on (date). (Signature)’. that the foregoing is true and correct. Point of Contact. Executed on (date). Signature)’. If executed within the United States, its territories, possessions, or ADDRESSES: The meeting will be held at RECORD ACCESS PROCEDURES: commonwealths: ‘I declare (or certify, QinetiQ-North America, 4100 Fairfax Individuals seeking access to verify, or state) under penalty of perjury Drive, Suite 800, Arlington, VA, 22203. information about themselves contained that the foregoing is true and correct. FOR FURTHER INFORMATION CONTACT: in this system of records should address Executed on (date). Signature)’. Dr. written inquiries to the National Joan S. Cleveland, Office of Naval Geospatial-Intelligence Agency (NGA), RECORD SOURCE CATEGORIES: Research, 875 North Randolph Street, Freedom of Information Act/Privacy Act Information originates from the Suite 1425, Arlington, VA 22203–1995, Office, 7500 GEOINT Drive, Springfield, individual prior to and during the telephone 703–696–4532. VA 22150–7500. examination. SUPPLEMENTARY INFORMATION: This The request envelope and letter EXEMPTIONS CLAIMED FOR THE SYSTEM: notice of open meeting is provided in should both be clearly marked ‘‘Privacy accordance with the Federal Advisory Investigatory material compiled for Act Inquiry.’’ Committee Act (5 U.S.C. App. 2). The law enforcement purposes, other than The written request must contain your meeting will include discussions on material within the scope of subsection full name, current address, and date and ocean research, resource management, 5 U.S.C. 552a(j)(2), may be exempt place of birth. Also include an and other current issues in the ocean pursuant to 5 U.S.C. 552a(k)(2). explanation of why you believe NGA science and management communities. would have information on you and However, if an individual is denied any specify when you believe the records right, privilege, or benefit for which he Dated: November 8, 2013. would have been created. would otherwise be entitled by Federal N.A. Hagerty-Ford, You must sign your request and your law or for which he would otherwise be Commander, Office of the Judge Advocate signature must either be notarized or an eligible, as a result of the maintenance General, U.S. Navy, Federal Register Liaison unsworn declaration made in of the information, the individual will Officer. accordance with 28 U.S.C. 1746, in the be provided access to the information [FR Doc. 2013–27726 Filed 11–18–13; 8:45 am] following format: exempt to the extent that disclosure BILLING CODE 3810–FF–P

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DEPARTMENT OF EDUCATION Education is especially interested in DEPARTMENT OF EDUCATION public comment addressing the [Docket No.: ED–2013–ICCD–0122] [Docket No.: ED–2013–ICCD–0141] following issues: (1) Is this collection Agency Information Collection necessary to the proper functions of the Agency Information Collection Activities; Submission to the Office of Department; (2) will this information be Activities; Submission to the Office of Management and Budget for Review processed and used in a timely manner; Management and Budget for Review and Approval; Comment Request; (3) is the estimate of burden accurate; and Approval; Comment Request; Impact Aid Program Application for (4) how might the Department enhance Application for Grants Under the Credit Section 8003 Assistance the quality, utility, and clarity of the Enhancement for Charter School information to be collected; and (5) how Facilities Program AGENCY: (Insert Principal Office (insert might the Department minimize the PO acronym), Department of Education AGENCY: Office of Innovation and (ED). burden of this collection on the Improvement (OII), Department of respondents, including through the use ACTION: Notice. Education (ED). of information technology. Please note ACTION: Notice. SUMMARY: In accordance with the that written comments received in Paperwork Reduction Act of 1995 (44 response to this notice will be SUMMARY: In accordance with the U.S.C. chapter 3501 et seq.), ED is considered public records. Paperwork Reduction Act of 1995 (44 proposing [insert one of the following Title of Collection: Impact Aid U.S.C. chapter 3501 et seq.), ED is options; a revision of an existing Program Application for Section 8003 proposing; an extension of an existing information collection. Assistance. information collection. DATES: Interested persons are invited to DATES: Interested persons are invited to submit comments on or before OMB Control Number: 1810–0687. submit comments on or before December 19, 2013. Type of Review: Revision of an December 19, 2013. ADDRESSES: Comments submitted in existing collection of information. ADDRESSES: Comments submitted in response to this notice should be Respondents/Affected Public: State, response to this notice should be submitted electronically through the Local and Tribal Governments. submitted electronically through the Federal eRulemaking Portal at http:// Federal eRulemaking Portal at http:// Total Estimated Number of Annual www.regulations.gov by selecting www.regulations.gov by selecting Responses: 501,264. Docket ID number ED–2013–ICCD–0122 Docket ID number ED–2013–ICCD– or via postal mail, commercial delivery, Total Estimated Number of Annual 0141or via postal mail, commercial or hand delivery. Please note that Burden Hours: 140,676. delivery, or hand delivery. Please note comments submitted by fax or email Abstract: The U.S. Department of that comments submitted by fax or and those submitted after the comment Education is requesting approval for the email and those submitted after the period will not be accepted. Written Application for Assistance under comment period will not be accepted. requests for information or comments Section 8003 of Title VIII of the Written requests for information or submitted by postal mail or delivery Elementary and Secondary Education comments submitted by postal mail or should be addressed to the Director of Act as amended by No Child Left delivery should be addressed to the the Information Collection Clearance Director of the Information Collection Behind. This application is otherwise Division, U.S. Department of Education, Clearance Division, U.S. Department of known as Impact Aid Basic Support 400 Maryland Avenue SW., LBJ, Room Education, 400 Maryland Avenue SW., Payments. Local Educational Agencies 2E115, Washington, DC 20202–4537. LBJ, Room 2E115, Washington, DC whose enrollments are adversely FOR FURTHER INFORMATION CONTACT: For 20202–4537. affected by Federal activities use this questions related to collection activities FOR FURTHER INFORMATION CONTACT: For form to request financial assistance. or burden, please call Tomakie questions related to collection activities Washington, 202–401–1097 or Regulations for the Impact Aid Program or burden, please call Tomakie electronically mail are found at 34 CFR part 222. The Washington, 202–401–1097 or [email protected]. Please do not statute and regulations for this program electronically mail send comments here. require a variety of data from applicants [email protected]. Please do not annually to determine eligibility for the SUPPLEMENTARY INFORMATION: The send comments here. Department of Education (ED), in grants and the amount of grant payment SUPPLEMENTARY INFORMATION: The accordance with the Paperwork under the statutory formula. The least Department of Education (ED), in Reduction Act of 1995 (PRA) (44 U.S.C. burdensome method of collecting this accordance with the Paperwork 3506(c)(2)(A)), provides the general required information is for each Reduction Act of 1995 (PRA) (44 U.S.C. public and Federal agencies with an applicant to submit these data through 3506(c)(2)(A)), provides the general opportunity to comment on proposed, a web-based electronic application public and Federal agencies with an revised, and continuing collections of hosted on the Department of opportunity to comment on proposed, information. This helps the Department Education’s e-Grants Web site. revised, and continuing collections of assess the impact of its information Dated: November 14, 2013. information. This helps the Department collection requirements and minimize assess the impact of its information Tomakie Washington, the public’s reporting burden. It also collection requirements and minimize helps the public understand the Acting Director, Information Collection the public’s reporting burden. It also Department’s information collection Clearance Division, Privacy, Information and helps the public understand the Records Management Services, Office of requirements and provide the requested Department’s information collection Management. data in the desired format. ED is requirements and provide the requested soliciting comments on the proposed [FR Doc. 2013–27669 Filed 11–18–13; 8:45 am] data in the desired format. ED is information collection request (ICR) that BILLING CODE 4000–01–P soliciting comments on the proposed is described below. The Department of information collection request (ICR) that

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is described below. The Department of SUMMARY: In accordance with the Title of Collection: Implementation Education is especially interested in Paperwork Reduction Act of 1995 Study of the Ramp Up to Readiness public comment addressing the (44 U.S.C. chapter 3501 et seq.), ED is Program following issues: (1) Is this collection proposing a new information collection. OMB Control Number: 1850—NEW Type of Review: A new information necessary to the proper functions of the DATES: Interested persons are invited to Department; (2) will this information be collection. submit comments on or before January Respondents/Affected Public: processed and used in a timely manner; 21, 2014. (3) is the estimate of burden accurate; Individuals or households (4) how might the Department enhance ADDRESSES: Comments submitted in Total Estimated Number of Annual the quality, utility, and clarity of the response to this notice should be Responses: 6,534 Total Estimated Number of Annual information to be collected; and (5) how submitted electronically through the Burden Hours: 1,338 might the Department minimize the Federal eRulemaking Portal at http:// Abstract: This study will examine the burden of this collection on the www.regulations.gov by selecting Docket ID number ED–2013–ICCD–0142 implementation of Ramp-Up to respondents, including through the use Readiness, a school wide guidance of information technology. Please note or via postal mail, commercial delivery, or hand delivery. Please note that intervention aimed at increasing the that written comments received in college readiness of students. The response to this notice will be comments submitted by fax or email and those submitted after the comment intervention is at present being considered public records. implemented in 34 high schools in Title of Collection: Application for period will not be accepted. Written requests for information or comments Minnesota, and the developers intend to Grants under the Credit Enhancement make the intervention available to a for Charter School Facilities Program. submitted by postal mail or delivery should be addressed to the Director of much larger set of Minnesota schools. OMB Control Number: 1855–0007. No independently gathered high-quality Type of Review: Extension without the Information Collection Clearance Division, U.S. Department of Education, evidence exists, however, on whether change of an existing collection of schools are able to implement this information. 400 Maryland Avenue SW., LBJ, Room 2E107, Washington, DC 20202–4537. comprehensive intervention as intended Respondents/Affected Public: Private or how its core components compare to Sector: Not-for-Profit Institutions. FOR FURTHER INFORMATION CONTACT: For the college-readiness supports in other Total Estimated Number of Annual questions related to collection activities high schools. The project for which Responses: 20. or burden, please call Katrina Ingalls, OMB clearance is requested will attempt Total Estimated Number of Annual 703–620–3655 or electronically mail to gather such evidence from 22 public Burden Hours: 1600. [email protected]. Please do not Minnesota high schools through the Abstract: ED will use the application send comments here. least burdensome means. The school- to award grants under the Credit SUPPLEMENTARY INFORMATION: The level implementation study will focus Enhancement for Charter School Department of Education (ED), in on assessing whether Ramp-Up school Facilities Program (formerly known as accordance with the Paperwork staff implement the program as the Charter School Facilities Financing Reduction Act of 1995 (PRA) (44 U.S.C. intended, on identifying the extent to Demonstration Program) grants. These 3506(c)(2)(A)), provides the general which the Ramp-Up program differs grants are made to private, non-profits; public and Federal agencies with an from the college-readiness supports public entities; governmental entities; opportunity to comment on proposed, offered in schools without Ramp-Up, and consortia of these organizations. revised, and continuing collections of and on the validity of a measure of The funds are to be deposited into a information. This helps the Department personal college readiness, which the reserve account that will be used to assess the impact of its information developers hypothesize is a key leverage private funds on behalf of collection requirements and minimize mechanism through which the program charter schools to acquire, construct, the public’s reporting burden. It also impacts later outcomes. The study will and renovate school facilities. helps the public understand the collect data from school staff in the Dated: November 14, 2013. Department’s information collection following activities: Administrative data Tomakie Washington, requirements and provide the requested collection, focus groups in January and Acting Director, Information Collection data in the desired format. ED is June, extant document collection, Clearance Division, Privacy, Information and soliciting comments on the proposed instructional logs, student and staff Records Management Services, Office of information collection request (ICR) that surveys, and student personal readiness Management. is described below. The Department of assessment. The findings produced [FR Doc. 2013–27670 Filed 11–18–13; 8:45 am] Education is especially interested in through analysis of these data will help BILLING CODE 4000–01–P public comment addressing the (1) State education agencies seeking following issues: (1) Is this collection strategies and programs to endorse as a necessary to the proper functions of the potential means of improving students DEPARTMENT OF EDUCATION Department; (2) will this information be college readiness and college processed and used in a timely manner; enrollment, (2) local education agencies [Docket No. ED–2013–ICCD–0142] (3) is the estimate of burden accurate; that are considering the challenges of (4) how might the Department enhance implementing Ramp-Up, (3) the Agency Information Collection the quality, utility, and clarity of the developer of this intervention (the Activities; Comment Request; information to be collected; and (5) how College Readiness Consortium at the Implementation Study of the Ramp Up might the Department minimize the University of Minnesota) and to Readiness Program burden of this collection on the developers of other college readiness AGENCY: Institute of Education Sciences/ respondents, including through the use interventions who continually seek to National Center for Education Statistics of information technology. Please note improve their programs by using (IES), Department of Education (ED). that written comments received in information from studies like this, and response to this notice will be (4) a group of education stakeholders in ACTION: Notice. considered public records. the Midwest interested in considering

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whether to conduct a study of the disability and rehabilitation research by II. Award Information impacts of the Ramp-Up intervention on limiting eligibility for FI Projects grants Type of Award: Discretionary grants. student outcomes. to minority entities and Indian tribes. Estimated Available Funds: The Dated: November 14, 2013. Section 21(b)(2)(A) of the Act authorizes Administration has requested Tomakie Washington, NIDRR to make awards to minority $110,000,000 for the NIDRR program for entities and Indian tribes to carry out Acting Director, Information Collection FY 2014, of which we intend to use an Clearance Division, Privacy, Information and activities authorized under Title II of the estimated $200,000 for the MSI FI Records Management Services, Office of Act. Projects competition. The actual level of Management. NIDRR makes two types of awards funding, if any, depends on final [FR Doc. 2013–27671 Filed 11–18–13; 8:45 am] under the FI Projects program: Research congressional action. However, we are BILLING CODE 4000–01–P grants and development grants. The MSI inviting applications to allow enough FI Projects research grants will be time to complete the grant process if awarded under CFDA 84.133G–4, and Congress appropriates funds for this DEPARTMENT OF EDUCATION the development grants will be awarded program. under CFDA 84.133G–5. Contingent upon the availability of Applications for New Awards; National Note: Different selection criteria are used funds and the quality of applications, Institute on Disability and for FI Projects research grants and we may make additional awards in FY Rehabilitation Research—Disability development grants. An applicant must 2014 or subsequent years from the list and Rehabilitation Research Projects clearly indicate in the application whether it of unfunded applicants from this and Centers Program—Minority- is applying for a research grant (84.133G–4) competition. Serving Institution Field-Initiated or a development grant (84.133G–5) and must Maximum Award: We will reject any Projects Program address the selection criteria relevant for its grant type. Without exception, NIDRR will application that proposes a budget AGENCY: Office of Special Education and review each application based on the grant exceeding $200,000 for a single budget Rehabilitative Services, Department of designation made by the applicant. period of 12 months. The Assistant Education. Applications will be determined ineligible Secretary for Special Education and and will not be reviewed if they do not Rehabilitative Services may change the ACTION: Notice. include a clear designation as a research maximum amount through a notice Overview Information: grant or a development grant. published in the Federal Register. National Institute on Disability and In carrying out a research activity Note: The maximum amount includes Rehabilitation Research (NIDRR)— under an FI Projects research grant, a direct and indirect costs. Disability and Rehabilitation Research grantee must identify one or more Estimated Number of Awards: 1. Projects and Centers Program— hypotheses or research questions and, Minority-Serving Institution (MSI) based on the hypotheses or research Note: The Department is not bound by any Field-Initiated Projects Program. questions identified, perform an estimates in this notice. Notice inviting applications for new intensive, systematic study directed Project Period: Up to 36 months. We awards for fiscal year (FY) 2014. toward producing (1) new or full will reject any application that proposes Catalog of Federal Domestic Assistance scientific knowledge, or (2) better a project period exceeding 36 months. (CFDA) Numbers: 84.133G–4 (Research) and understanding of the subject, problem The Assistant Secretary for Special 84.133G–5 (Development). studied, or body of knowledge. Education and Rehabilitative Services In carrying out a development activity may change the project period through DATES: under an FI Projects development grant, a notice published in the Federal Applications Available: November 19, a grantee must use knowledge and Register. 2013. understanding gained from research to Date of Pre-Application Meeting: III. Eligibility Information create materials, devices, systems, or December 10, 2013. methods beneficial to the target 1. Eligible Applicants: Parties eligible Deadline for Transmittal of to apply for MSI FI Projects grants are Applications: February 18, 2014. population, including design and development of prototypes and limited to minority entities and Indian Full Text of Announcement processes. ‘‘Target population’’ means tribes as authorized by section 21(b)(2)(A) of the Act. A minority entity I. Funding Opportunity Description the group of individuals, organizations, or other entities expected to be affected is defined as a historically black college Purpose of Program: The purpose of by the project. More than one group may or university (a part B institution, as the Field-Initiated (FI) Projects program be involved since a project may affect defined in section 322(2) of the Higher is to develop methods, procedures, and those who receive services, provide Education Act of 1965, as amended), a rehabilitation technology that maximize services, or administer services. Hispanic-serving institution of higher the full inclusion and integration into education, an American Indian tribal society, employment, independent Program Authority: 29 U.S.C. 764 and 29 U.S.C. 718. college or university, or another IHE living, family support, and economic whose minority student enrollment is at and social self-sufficiency of individuals Applicable Regulations: (a) The least 50 percent. with disabilities, especially individuals Education Department General 2. Cost Sharing or Matching: Cost with the most severe disabilities. Administrative Regulations in 34 CFR sharing is required by 34 CFR 350.62 Another purpose of the FI Projects parts 74, 75, 77, 80, 81, 82, 84, 86, and and will be negotiated at the time of the program is to improve the effectiveness 97. (b) The Education Department grant award. of services authorized under the debarment and suspension regulations Rehabilitation Act of 1973, as amended in 2 CFR part 3485. (c) The regulations IV. Application and Submission (Act). for this program in 34 CFR part 350. Information The purpose of this competition is to Note: The regulations in 34 CFR part 86 1. Address to Request Application improve the capacity of minority apply to institutions of higher education Package: You can obtain an application entities to conduct high-quality (IHEs) only. package via the Internet or from the

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Education Publications Center (ED components to be included in the the Department provides an Pubs). To obtain a copy via the Internet, application. Each application must accommodation or auxiliary aid to an use the following address: www.ed.gov/ include a cover sheet (Standard Form individual with a disability in fund/grant/apply/grantapps/index.html. 424); budget requirements (ED Form connection with the application To obtain a copy from ED Pubs, write, 524) and narrative justification; other process, the individual’s application fax, or call the following: ED Pubs, U.S. required forms; an abstract, Human remains subject to all other Department of Education, P.O. Box Subjects narrative, and Part III narrative; requirements and limitations in this 22207, Alexandria, VA 22304. resumes of staff; and other related notice. Telephone, toll free: 1–877–433–7827. materials, if applicable. 4. Intergovernmental Review: This FAX: (703) 605–6794. If you use a An applicant should consult NIDRR’s program is not subject to Executive telecommunications device for the deaf Long-Range Plan for Fiscal Years 2013– Order 12372 and the regulations in 34 (TDD) or a text telephone (TTY), call, 2017 (78 FR 20299) (the Plan) when CFR part 79. toll free: 1–877–576–7734. preparing its application. The Plan is 5. Funding Restrictions: We reference You can contact ED Pubs at its Web organized around the following research regulations outlining funding site, also: www.EDPubs.gov or at its domains: (1) Community Living and restrictions in the Applicable email address: [email protected]. Participation; (2) Health and Function; Regulations section of this notice. If you request an application from ED and (3) Employment. 6. Data Universal Numbering System Pubs, be sure to identify this 3. Submission Dates and Times: Number, Taxpayer Identification competition as follows: CFDA number Applications Available: November 19, Number, and System for Award 84.133G–4 or 84.133G–5. 2013. Management: To do business with the Individuals with disabilities can Date of Pre-Application Meeting: Department of Education, you must— obtain a copy of the application package Interested parties are invited to a. Have a Data Universal Numbering in an accessible format (e.g., braille, participate in a pre-application meeting System (DUNS) number and a Taxpayer large print, audiotape, or compact disc) and to receive information and technical Identification Number (TIN); by contacting the team listed under assistance through individual b. Register both your DUNS number Accessible Format in section VIII of this consultation with NIDRR staff. The pre- and TIN with the System for Award notice. application meeting will be held on Management (SAM) (formerly the 2. Content and Form of Application December 10, 2013. Interested parties Central Contractor Registry (CCR)), the Submission: Requirements concerning may participate in this meeting by Government’s primary registrant the content of an application, together conference call with NIDRR staff from database; with the forms you must submit, are in the Office of Special Education and c. Provide your DUNS number and the application package for this Rehabilitative Services between 1:00 TIN on your application; and competition. p.m. and 3:00 p.m., Washington, DC d. Maintain an active SAM Page Limit: The application narrative time. NIDRR staff also will be available registration with current information (Part III of the application) is where you, from 3:30 p.m. to 4:30 p.m., while your application is under review the applicant, address the selection Washington, DC time, on the same day, by the Department and, if you are criteria that reviewers use to evaluate by telephone, to provide information awarded a grant, during the project your application. We recommend that and technical assistance through period. you limit Part III to the equivalent of no individual consultation. For further You can obtain a DUNS number from more than 50 pages, using the following information or to make arrangements to Dun and Bradstreet. A DUNS number standards: participate in the meeting via can be created within one-to-two • A ‘‘page’’ is 8.5″ x 11″, on one side conference call or to arrange for an business days. only, with 1’’ margins at the top, individual consultation, contact the If you are a corporate entity, agency, bottom, and both sides. person listed under For Further institution, or organization, you can • Double space (no more than three Information Contact in section VII of obtain a TIN from the Internal Revenue lines per vertical inch) all text in the this notice. Service. If you are an individual, you application narrative, including titles, Deadline for Transmittal of can obtain a TIN from the Internal headings, footnotes, quotations, Applications: January 21, 2014. Revenue Service or the Social Security references, and captions, as well as all Applications for grants under this Administration. If you need a new TIN, text in charts, tables, figures, and competition must be submitted please allow 2–5 weeks for your TIN to graphs. electronically using the Grants.gov become active. • Use a font that is either 12 point or Apply site (Grants.gov). For information The SAM registration process can take larger or no smaller than 10 pitch (including dates and times) about how approximately seven business days, but (characters per inch). to submit your application may take upwards of several weeks, • Use one of the following fonts: electronically, or in paper format by depending on the completeness and Times New Roman, Courier, Courier mail or hand delivery if you qualify for accuracy of the data entered into the New, or Arial. an exception to the electronic SAM database by an entity. Thus, if you The recommended page limit does not submission requirement, please refer to think you might want to apply for apply to Part I, the cover sheet; Part II, section IV. 7. Other Submission Federal financial assistance under a the budget section, including the Requirements of this notice. program administered by the narrative budget justification; Part IV, We do not consider an application Department, please allow sufficient time the assurances and certifications; or the that does not comply with the deadline to obtain and register your DUNS one-page abstract, the resumes, the requirements. number and TIN. We strongly bibliography, or the letters of support. Individuals with disabilities who recommend that you register early. However, the recommended page limit need an accommodation or auxiliary aid Note: Once your SAM registration is active, does apply to all of the application in connection with the application you will need to allow 24 to 48 hours for the narrative (Part III). process should contact the person listed information to be available in Grants.gov. and The application package will provide under FOR FURTHER INFORMATION before you can submit an application through instructions for completing all CONTACT in section VII of this notice. If Grants.gov.

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If you are currently registered with application package for this program by Construction Programs (ED 524), and all SAM, you may not need to make any the CFDA number. Do not include the necessary assurances and certifications. changes. However, please make certain CFDA number’s alpha suffix in your • You must upload any narrative that the TIN associated with your DUNS search (e.g., search for 84.133, not sections and all other attachments to number is correct. Also note that you 84.133G). your application as files in a PDF will need to update your registration Please note the following: (Portable Document) read-only, non- annually. This may take three or more • When you enter the Grants.gov site, modifiable format. Do not upload an business days. you will find information about interactive or fillable PDF file. If you Information about SAM is available at submitting an application electronically upload a file type other than a read- www.SAM.gov. To further assist you through the site, as well as the hours of only, non-modifiable PDF or submit a with obtaining and registering your operation. password-protected file, we will not DUNS number and TIN in SAM or • Applications received by Grants.gov review that material. Additional, updating your existing SAM account, are date and time stamped. Your detailed information on how to attach we have prepared a SAM.gov Tip Sheet, application must be fully uploaded and files is in the application instructions. which you can find at: http:// submitted and must be date and time • Your electronic application must www2.ed.gov/fund/grant/apply/sam- stamped by the Grants.gov system no comply with any page-limit faqs.html. later than 4:30:00 p.m., Washington, DC requirements described in this notice. In addition, if you are submitting your time, on the application deadline date. • After you electronically submit application via Grants.gov, you must (1) Except as otherwise noted in this your application, you will receive from be designated by your organization as an section, we will not accept your Grants.gov an automatic notification of Authorized Organization Representative application if it is received—that is, date receipt that contains a Grants.gov (AOR); and (2) register yourself with and time stamped by the Grants.gov tracking number. (This notification Grants.gov as an AOR. Details on these system—after 4:30:00 p.m., Washington, indicates receipt by Grants.gov only, not steps are outlined at the following DC time, on the application deadline receipt by the Department.) The Grants.gov Web page: www.grants.gov/ date. We do not consider an application Department then will retrieve your applicants/get_registered.jsp. that does not comply with the deadline application from Grants.gov and send a 7. Other Submission Requirements: requirements. When we retrieve your second notification to you by email. Applications for grants under the application from Grants.gov, we will This second notification indicates that program must be submitted notify you if we are rejecting your the Department has received your electronically unless you qualify for an application because it was date and time application and has assigned your exception to this requirement in stamped by the Grants.gov system after application a PR/Award number (an ED- accordance with the instructions in this 4:30:00 p.m., Washington, DC time, on specified identifying number unique to section. the application deadline date. your application). a. Electronic Submission of • The amount of time it can take to • We may request that you provide us Applications. upload an application will vary original signatures on forms at a later Applications for grants under the MSI depending on a variety of factors, date. FI Projects program, CFDA Number including the size of the application and Application Deadline Date Extension 84.133G–4 (Research) or 84.133G–5 the speed of your Internet connection. in Case of Technical Issues with the (Development), must be submitted Therefore, we strongly recommend that Grants.gov System: If you are electronically using the you do not wait until the application experiencing problems submitting your Governmentwide Grants.gov Apply site deadline date to begin the submission application through Grants.gov, please at www.Grants.gov. Through this site, process through Grants.gov. contact the Grants.gov Support Desk, you will be able to download a copy of • You should review and follow the toll free, at 1–800–518–4726. You must the application package, complete it Education Submission Procedures for obtain a Grants.gov Support Desk Case offline, and then upload and submit submitting an application through Number and must keep a record of it. your application. You may not email an Grants.gov that are included in the If you are prevented from electronic copy of a grant application to application package for this program to electronically submitting your us. ensure that you submit your application application on the application deadline We will reject your application if you in a timely manner to the Grants.gov date because of technical problems with submit it in paper format unless, as system. You can also find the Education the Grants.gov system, we will grant you described elsewhere in this section, you Submission Procedures pertaining to an extension until 4:30:00 p.m., qualify for one of the exceptions to the Grants.gov under News and Events on Washington, DC time, the following electronic submission requirement and the Department’s G5 system home page business day to enable you to transmit submit, no later than two weeks before at www.G5.gov. your application electronically or by the application deadline date, a written • You will not receive additional hand delivery. You also may mail your statement to the Department that you point value because you submit your application by following the mailing qualify for one of these exceptions. application in electronic format, nor instructions described elsewhere in this Further information regarding will we penalize you if you qualify for notice. calculation of the date that is two weeks an exception to the electronic If you submit an application after before the application deadline date is submission requirement, as described 4:30:00 p.m., Washington, DC time, on provided later in this section under elsewhere in this section, and submit the application deadline date, please Exception to Electronic Submission your application in paper format. contact the person listed under FOR Requirement. • You must submit all documents FURTHER INFORMATION CONTACT in You may access the electronic grant electronically, including all information section VII of this notice and provide an application for the MSI FI Projects you typically provide on the following explanation of the technical problem program, CFDA Number 84.133G–4 forms: The Application for Federal you experienced with Grants.gov, along (Research) or 84.133G–5 Assistance (SF 424), the Department of with the Grants.gov Support Desk Case (Development)—at www.Grants.gov. Education Supplemental Information for Number. We will accept your You must search for the downloadable SF 424, Budget Information—Non- application if we can confirm that a

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technical problem occurred with the Department at the following address: the U.S. Department of Education Grants.gov system and that that problem U.S. Department of Education, Application Control Center at (202) 245– affected your ability to submit your Application Control Center, Attention: 6288. application by 4:30:00 p.m., (CFDA Number 84.133G–4 (Research) or V. Application Review Information Washington, DC time, on the 84.133G–5 (Development)), LBJ application deadline date. The Basement Level 1, 400 Maryland 1. Selection Criteria: The selection Department will contact you after a Avenue SW., Washington, DC 20202– criteria for this program are from 34 CFR determination is made on whether your 4260. 350.54 and 350.55 and are listed in the application will be accepted. You must show proof of mailing application package. Note: The extensions to which we refer in consisting of one of the following: Note: Different selection criteria are used this section apply only to the unavailability (1) A legibly dated U.S. Postal Service for FI Projects research grants and of, or technical problems with, the Grants.gov postmark. development grants. An applicant must system. We will not grant you an extension (2) A legible mail receipt with the clearly indicate in the application whether it if you failed to fully register to submit your date of mailing stamped by the U.S. is applying for a research grant (84.133G–4) application to Grants.gov before the Postal Service. or a development grant (84.133G–5) and must application deadline date and time or if the address the selection criteria applicable to its (3) A dated shipping label, invoice, or grant type. technical problem you experienced is receipt from a commercial carrier. unrelated to the Grants.gov system. (4) Any other proof of mailing 2. Review and Selection Process: We Exception to Electronic Submission acceptable to the Secretary of the U.S. remind potential applicants that in Requirement: You qualify for an Department of Education. reviewing applications in any exception to the electronic submission If you mail your application through discretionary grant competition, the requirement, and may submit your the U.S. Postal Service, we do not Secretary may consider, under 34 CFR application in paper format, if you are accept either of the following as proof 75.217(d)(3), the past performance of the unable to submit an application through of mailing: applicant in carrying out a previous the Grants.gov system because— (1) A private metered postmark. award, such as the applicant’s use of • You do not have access to the (2) A mail receipt that is not dated by funds, achievement of project Internet; or the U.S. Postal Service. objectives, and compliance with grant • You do not have the capacity to If your application is postmarked after conditions. The Secretary may also upload large documents to the the application deadline date, we will consider whether the applicant failed to Grants.gov system; and not consider your application. submit a timely performance report or • No later than two weeks before the submitted a report of unacceptable application deadline date (14 calendar Note: The U.S. Postal Service does not quality. uniformly provide a dated postmark. Before days or, if the fourteenth calendar day In addition, in making a competitive relying on this method, you should check grant award, the Secretary also requires before the application deadline date with your local post office. falls on a Federal holiday, the next various assurances including those business day following the Federal c. Submission of Paper Applications applicable to Federal civil rights laws holiday), you mail or fax a written by Hand Delivery. that prohibit discrimination in programs statement to the Department, explaining If you qualify for an exception to the or activities receiving Federal financial which of the two grounds for an electronic submission requirement, you assistance from the Department of exception prevents you from using the (or a courier service) may deliver your Education (34 CFR 100.4, 104.5, 106.4, Internet to submit your application. paper application to the Department by 108.8, and 110.23). If you mail your written statement to hand. You must deliver the original and Additional factors we consider in the Department, it must be postmarked two copies of your application by hand, selecting an application for an award are no later than two weeks before the on or before the application deadline as follows: application deadline date. If you fax date, to the Department at the following The Secretary is interested in your written statement to the address: U.S. Department of Education, outcomes-oriented research or Department, we must receive the faxed Application Control Center, Attention: development projects that use rigorous statement no later than two weeks (CFDA Number 84.133G–4 (Research) or scientific methodologies. To address before the application deadline date. 84.133G–5 (Development)), 550 12th this interest, applicants are encouraged Address and mail or fax your Street SW., Room 7041, PCP, to articulate goals, objectives, and statement to: Marlene Spencer, U.S. Washington, DC 20202–4260. expected outcomes for the proposed Department of Education, 400 Maryland The Application Control Center research or development activities. Avenue SW., Room 5133, Potomac accepts hand deliveries daily between Proposals should describe how results Center Plaza (PCP), Washington, DC 8:00 a.m. and 4:30:00 p.m., Washington, and planned outputs are expected to 20202–2700. FAX: (202) 245–7323. DC time, except Saturdays, Sundays, contribute to advances in knowledge, Your paper application must be and Federal holidays. improvements in policy and practice, submitted in accordance with the mail Note for Mail or Hand Delivery of Paper and public benefits for individuals with or hand delivery instructions described Applications: If you mail or hand deliver disabilities. Applicants should propose in this notice. your application to the Department— projects that are designed to be b. Submission of Paper Applications (1) You must indicate on the envelope consistent with these goals. We by Mail. and—if not provided by the Department—in encourage applicants to include in their If you qualify for an exception to the Item 11 of the SF 424 the CFDA number, application a description of how results electronic submission requirement, you including suffix letter, if any, of the program will measure progress towards may mail (through the U.S. Postal under which you are submitting your achievement of anticipated outcomes application; and Service or a commercial carrier) your (2) The Application Control Center will (including a discussion of measures of application to the Department. You mail to you a notification of receipt of your effectiveness), the mechanisms that will must mail the original and two copies grant application. If you do not receive this be used to evaluate outcomes associated of your application, on or before the notification within 15 business days from the with specific problems or issues, and application deadline date, to the application deadline date, you should call how the proposed activities will support

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new intervention approaches and 4. Performance Measures: To evaluate VIII. Other Information strategies. Submission of the the overall success of its research Accessible Format: Individuals with information identified in this section is program, NIDRR assesses the quality of disabilities can obtain this document voluntary, except where required by the its funded projects through a review of and a copy of the application package in selection criteria listed in the grantee performance and products. Each an accessible format (e.g., braille, large application package. year, NIDRR examines a portion of its print, audiotape, or compact disc) by 3. Special Conditions: Under 34 CFR grantees to determine: contacting the Grants and Contracts 74.14 and 80.12, the Secretary may • The number of products (e.g., new Services Team, U.S. Department of impose special conditions on a grant if or improved tools, methods, discoveries, Education, 400 Maryland Avenue SW., the applicant or grantee is not standards, interventions, programs, or financially stable; has a history of room 5075, PCP, Washington, DC devices) developed or tested with 20202–2550. Telephone: (202) 245– unsatisfactory performance; has a NIDRR funding that have been judged financial or other management system 7363. If you use a TDD or a TTY, call by expert panels to be of high quality that does not meet the standards in 34 the FRS, toll free, at 1–800–877–8339. and to advance the field. CFR parts 74 or 80, as applicable; has Electronic Access to This Document: • not fulfilled the conditions of a prior The average number of publications The official version of this document is grant; or is otherwise not responsible. per award based on NIDRR-funded the document published in the Federal research and development activities in Register. Free Internet access to the VI. Award Administration Information refereed journals. official edition of the Federal Register 1. Award Notices: If your application • The percentage of new NIDRR and the Code of Federal Regulations is is successful, we notify your U.S. grants that assess the effectiveness of available via the Federal Digital System Representative and U.S. Senators and interventions, programs, and devices at: www.gpo.gov/fdsys. At this site you send you a Grant Award Notification using rigorous methods. can view this document, as well as all (GAN); or we may send you an email other documents of this Department For these reviews, NIDRR uses containing a link to access an electronic published in the Federal Register, in information submitted by grantees as version of your GAN. We may notify text or Adobe Portable Document part of their Annual Performance you informally, also. Format (PDF). To use PDF you must Reports. If your application is not evaluated or have Adobe Acrobat Reader, which is not selected for funding, we notify you. Department of Education program available free at the site. 2. Administrative and National Policy performance reports, which include You may also access documents of the Requirements: We identify information on NIDRR programs, are Department published in the Federal administrative and national policy available on the Department’s Web site: Register by using the article search requirements in the application package www.ed.gov/about/offices/list/opepd/ feature at: www.federalregister.gov. and reference these and other sas/index.html. Specifically, through the advanced requirements in the Applicable 5. Continuation Awards: In making a search feature at this site, you can limit Regulations section of this notice. continuation award, the Secretary may your search to documents published by We reference the regulations outlining consider, under 34 CFR 75.253, the the Department. the terms and conditions of an award in extent to which a grantee has made Michael K. Yudin, the Applicable Regulations section of ‘‘substantial progress toward meeting this notice and include these and other Acting Assistant Secretary for Special the objectives in its approved Education and Rehabilitative Services. specific conditions in the GAN. The application.’’ This consideration [FR Doc. 2013–27559 Filed 11–18–13; 8:45 am] GAN also incorporates your approved includes the review of a grantee’s application as part of your binding progress in meeting the targets and BILLING CODE 4000–01–P commitments under the grant. projected outcomes in its approved 3. Reporting: (a) If you apply for a application, and whether the grantee grant under this competition, you must has expended funds in a manner that is DEPARTMENT OF ENERGY ensure that you have in place the consistent with its approved application necessary processes and systems to and budget. In making a continuation Federal Energy Regulatory comply with the reporting requirements grant, the Secretary also considers Commission in 2 CFR part 170 should you receive whether the grantee is operating in funding under the competition. This compliance with the assurances in its [Project No. 539–013] does not apply if you have an exception approved application, including those under 2 CFR 170.110(b). applicable to Federal civil rights laws Lock 7 Hydro Partners, LLC; Notice of (b) At the end of your project period, that prohibit discrimination in programs Application for Amendment of License you must submit a final performance or activities receiving Federal financial and Soliciting Comments, Motions To report, including financial information, assistance from the Department (34 CFR Intervene, and Protests as directed by the Secretary. If you 100.4, 104.5, 106.4, 108.8, and 110.23). receive a multi-year award, you must Take notice that the following submit an annual performance report VII. Agency Contact hydroelectric application has been filed that provides the most current with the Commission and is available performance and financial expenditure FOR FURTHER INFORMATION CONTACT: for public inspection: information as directed by the Secretary Marlene Spencer, U.S. Department of a. Application Type: Amendment of under 34 CFR 75.118. The Secretary Education, 400 Maryland Avenue SW., License. may also require more frequent Room 5133, PCP, Washington, DC b. Project No: 539–013. performance reports under 34 CFR 20202–2700. Telephone: (202) 245–7532 c. Date Filed: September 23, 2013. 75.720(c). For specific requirements on or by email: [email protected]. d. Applicant: Lock 7 Hydro Partners, reporting, please go to www.ed.gov/ If you use a TDD or a TTY, call the LLC. fund/grant/apply/appforms/ Federal Relay Service (FRS), toll free, at e. Name of Project: Mother Ann Lee appforms.html. 1–800–877–8339. Hydroelectric Project.

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f. Location: On the Kentucky River in reproduction at the address in item (h) Commission in this proceeding, in Mercer and Jessamine Counties, above and at the Commission’s Public accordance with 18 CFR 4.34(b) and Kentucky. Reference Room, located at 888 First 385.2010. g. Filed Pursuant to: Federal Power Street NE., Room 2A, Washington, DC Dated: November 12, 2013. Act, 16 U.S.C. 791a–825r. 20426, or by calling (202) 502–8371. Kimberly D. Bose, h. Applicant Contact: David Brown m. Individuals desiring to be included Secretary. Kinloch, President/CEO, Lock 7 Hydro on the Commission’s mailing list should Partners, LLC, 414 S. Wenzel Street, so indicate by writing to the Secretary [FR Doc. 2013–27609 Filed 11–18–13; 8:45 am] Louisville, KY 40204, (502) 589–0975. of the Commission. BILLING CODE 6717–01–P i. FERC Contact: M. Joseph Fayyad at n. Comments, Protests, or Motions To (202) 502–8759, or email: mo.fayyad@ Intervene: Anyone may submit DEPARTMENT OF ENERGY ferc.gov. comments, a protest, or a motion to j. Deadline for filing comments, intervene in accordance with the motions to intervene, and protests: 30 Federal Energy Regulatory requirements of Rules of Practice and days from issuance date of this notice by Commission Procedure, 18 CFR 385.210, .211, .214, the Commission. respectively. In determining the The Commission strongly encourages [Docket No. CD14–7–000] electronic filing. Please file any motion appropriate action to take, the to intervene, protest, comments, and/or Commission will consider all protests or South Tahoe Public Utility District; recommendations using the other comments filed, but only those Notice of Preliminary Determination of Commission’s eFiling system at http:// who file a motion to intervene in a Qualifying Conduit Hydropower www.ferc.gov/docs-filing/efiling.asp. accordance with the Commission’s Facility and Soliciting Comments and Commenters can submit brief comments Rules may become a party to the Motions To Intervene up to 6,000 characters, without prior proceeding. Any comments, protests, or registration, using the eComment system motions to intervene must be received On November 4, 2013, the South at http://www.ferc.gov/docs-filing/ on or before the specified comment date Tahoe Public Utility District filed a ecomment.asp. You must include your for the particular application. notice of intent to construct a qualifying name and contact information at the end o. Filing and Service of Responsive conduit hydropower facility, pursuant of your comments. For assistance, Documents: Any filing must (1) bear in to section 30 of the Federal Power Act, please contact FERC Online Support at all capital letters the title as amended by section 4 of the [email protected], (866) ‘‘COMMENTS’’, ‘‘PROTEST’’, or Hydropower Regulatory Efficiency Act 208–3676 (toll free), or (202) 502–8659 ‘‘MOTION TO INTERVENE’’ as of 2013 (HREA). The CHYDRO Project (TTY). In lieu of electronic filing, please applicable; (2) set forth in the heading would be located along the existing C- send a paper copy to: Secretary, Federal the name of the applicant and the Line export pipeline in South Tahoe Energy Regulatory Commission, 888 project number of the application to Public Utility District’s wastewater First Street NE., Washington, DC 20426. which the filing responds; (3) furnish treatment system in Alpine County, The first page of any filing should the name, address, and telephone California. include docket number P–539–013. number of the person protesting or Applicant Contact: Richard Solbrig, k. Description of Request: Lock 7 intervening; and (4) otherwise comply South Tahoe Public Utility District, Hydro Partners, LLC, requests with the requirements of 18 CFR 1275 Meadow Crest Drive, South Lake Commission approval to replace the 385.2001 through 385.2005. All Tahoe, CA 96150, Phone No. (530) 544– turbine runner for generating unit No. 2. comments, motions to intervene, or 6474. The runner replacement would increase protests must set forth their evidentiary FERC Contact: Christopher Chaney, the installed and hydraulic capacities of basis and otherwise comply with the Phone No. (202) 502–6778, email: the unit by 170 kilowatts (kW) and 157 requirements of 18 CFR 4.34(b). All [email protected]. cubic feet per second (cfs), respectively. comments, motions to intervene, or Qualifying Conduit Hydropower The project’s total installed capacity protests should relate to project works Facility Description: The proposed would change from 2,040 kW to 2,210 which are the subject of the license project would consist of: (1) A 12-inch- kW and its hydraulic capacity from amendment. Agencies may obtain diameter intake pipe branching off the 2,229 cfs to 2,386 cfs. copies of the application directly from unconstructed, 18-inch-diameter l. Locations of the Application: This the applicant. A copy of any protest or Diamond Valley Ranch Loop pipeline; filing may be viewed on the motion to intervene must be served (2) an approximately 22-foot-wide by Commission’s Web site at http:// upon each representative of the 35-foot-long powerhouse, containing www.ferc.gov/docs-filing/elibrary.asp. applicant specified in the particular one 55-kilowatt turbine/generating unit; Enter the docket number P–539 in the application. If an intervener files (3) a 12-inch-diameter discharge pipe docket number field to access the comments or documents with the returning flow to the 18-inch-diameter document. You may also register online Commission relating to the merits of an Diamond Valley Ranch Loop; and (4) at http://www.ferc.gov/docs-filing/ issue that may affect the responsibilities appurtenant facilities. The proposed esubscription.asp to be notified via of a particular resource agency, they project would have an estimated annual email of new filings and issuances must also serve a copy of the document generating capacity of 2,135 megawatt- related to this or other pending projects. on that resource agency. A copy of all hours. For assistance, call 1–866–208–3676 or other filings in reference to this A qualifying conduit hydropower email [email protected], for application must be accompanied by facility is one that is determined or TTY, call (202) 502–8659. A copy is also proof of service on all persons listed in deemed to meet all of the criteria shown available for inspection and the service list prepared by the in the table below.

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TABLE 1—CRITERIA FOR QUALIFYING CONDUIT HYDROPOWER FACILITY

Satisfies Statutory provision Description (Y/N)

FPA 30(a)(3)(A), as amended The conduit the facility uses is a tunnel, canal, pipeline, aqueduct, flume, ditch, or similar man- Y by HREA. made water conveyance that is operated for the distribution of water for agricultural, munic- ipal, or industrial consumption and not primarily for the generation of electricity. FPA 30(a)(3)(C)(i), as amended The facility is constructed, operated, or maintained for the generation of electric power and Y by HREA. uses for such generation only the hydroelectric potential of a non-federally owned conduit. FPA 30(a)(3)(C)(ii), as amended The facility has an installed capacity that does not exceed 5 megawatts ...... Y by HREA. FPA 30(a)(3)(C)(iii), as amend- On or before August 9, 2013, the facility is not licensed, or exempted from the licensing re- Y ed by HREA. quirements of Part I of the FPA.

Preliminary Determination: Based name and contact information at the end DEPARTMENT OF ENERGY upon the above criteria, Commission of your comments. For assistance, staff preliminarily determines that the please contact FERC Online Support at Federal Energy Regulatory proposal satisfies the requirements for a [email protected], (866) Commission qualifying conduit hydropower facility 208–3676 (toll free), or (202) 502–8659 not required to be licensed or exempted (TTY). In lieu of electronic filing, please [Docket No. CD14–8–000] from licensing. send a paper copy to: Secretary, Federal Massachusetts Water Resources Comments and Motions To Intervene: Energy Regulatory Commission, 888 Deadline for filing comments contesting Authority; Notice of Preliminary First Street NE., Washington, DC 20426. whether the facility meets the qualifying Determination of a Qualifying Conduit A copy of all other filings in reference criteria is 45 days from the issuance Hydropower Facility and Soliciting date of this notice. to this application must be accompanied Comments and Motions To Intervene Deadline for filing motions to by proof of service on all persons listed intervene is 30 days from the issuance in the service list prepared by the On November 5, 2013, the date of this notice. Commission in this proceeding, in Massachusetts Water Resources Anyone may submit comments or a accordance with 18 CFR 4.34(b) and Authority filed a notice of intent to motion to intervene in accordance with 385.2010. construct a qualifying conduit hydropower facility, pursuant to section the requirements of Rules of Practice Locations of Notice of Intent: Copies and Procedure, 18 CFR 385.210 and 30 of the Federal Power Act, as of the notice of intent can be obtained amended by section 4 of the 385.214. Any motions to intervene must directly from the applicant or such be received on or before the specified Hydropower Regulatory Efficiency Act copies can be viewed and reproduced at deadline date for the particular of 2013 (HREA). The Chicopee Valley the Commission in its Public Reference proceeding. Aqueduct—Fish Hatchery Pipeline Filing and Service of Responsive Room, Room 2A, 888 First Street NE., Project would be located along the Documents: All filings must (1) bear in Washington, DC 20426. The filing may proposed McLaughlin Fish Hatchery all capital letters the ‘‘COMMENTS also be viewed on the Web at http:// Pipeline at the Massachusetts Water CONTESTING QUALIFICATION FOR A www.ferc.gov/docs-filing/elibrary.asp Resources Authority’s Ware Disinfection CONDUIT HYDROPOWER FACILITY’’ using the ‘‘eLibrary’’ link. Enter the Facility in Hampshire County, or ‘‘MOTION TO INTERVENE,’’ as docket number (e.g., CD14–7) in the Massachusetts. applicable; (2) state in the heading the docket number field to access the Applicant Contact: Pamela Heidell, name of the applicant and the project document. For assistance, call toll-free Massachusetts Water Resources number of the application to which the 1–866–208–3676 or email Authority, 100 First Avenue, filing responds; (3) state the name, [email protected]. For TTY, Charlestown Navy Yard, Boston, MA address, and telephone number of the call (202) 502–8659. 02129, Phone No. (617) 788–1102. person filing; and (4) otherwise comply FERC Contact: Christopher Chaney, with the requirements of sections Dated: November 12, 2013. Phone No. (202) 502–6778, email: 385.2001 through 385.2005 of the Kimberly D. Bose, [email protected]. Commission’s regulations.1 All Secretary. Qualifying Conduit Hydropower comments contesting Commission staff’s [FR Doc. 2013–27608 Filed 11–18–13; 8:45 am] Facility Description: The proposed preliminary determination that the BILLING CODE 6717–01–P project would consist of: (1) An facility meets the qualifying criteria approximately 21-feet-wide by 38-feet- must set forth their evidentiary basis. long underground powerhouse vault, The Commission strongly encourages containing one 59-kilowatt turbine/ electronic filing. Please file motions to generating unit in line with the intervene and comments using the proposed 20-inch-diameter McLaughlin Commission’s eFiling system at http:// Fish Hatchery Pipeline; and (2) www.ferc.gov/docs-filing/efiling.asp. appurtenant facilities. The proposed Commenters can submit brief comments project would have an estimated annual up to 6,000 characters, without prior generating capacity of 447 megawatt- registration, using the eComment system hours. at http://www.ferc.gov/docs-filing/ A qualifying conduit hydropower ecomment.asp. You must include your facility is one that is determined or

1 18 CFR 385.2001–2005 (2013).

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deemed to meet all of the criteria shown in the table below.

TABLE 1—CRITERIA FOR QUALIFYING CONDUIT HYDROPOWER FACILITY

Satisfies Statutory provision Description (Y/N)

FPA 30(a)(3)(A), as amended The conduit the facility uses is a tunnel, canal, pipeline, aqueduct, flume, ditch, or similar man- Y by HREA. made water conveyance that is operated for the distribution of water for agricultural, munic- ipal, or industrial consumption and not primarily for the generation of electricity. FPA 30(a)(3)(C)(i), as amended The facility is constructed, operated, or maintained for the generation of electric power and Y by HREA. uses for such generation only the hydroelectric potential of a non-federally owned conduit. FPA 30(a)(3)(C)(ii), as amended The facility has an installed capacity that does not exceed 5 megawatts ...... Y by HREA. FPA 30(a)(3)(C)(iii), as amend- On or before August 9, 2013, the facility is not licensed, or exempted from the licensing re- Y ed by HREA. quirements of Part I of the FPA.

Preliminary Determination: Based registration, using the eComment system DEPARTMENT OF ENERGY upon the above criteria, Commission at http://www.ferc.gov/docs-filing/ staff preliminarily determines that the ecomment.asp. You must include your Federal Energy Regulatory proposal satisfies the requirements for a name and contact information at the end Commission qualifying conduit hydropower facility of your comments. For assistance, [Docket No. CP14–14–000] not required to be licensed or exempted please contact FERC Online Support at from licensing. [email protected], (866) Enable Gas Transmission, LLC; Notice Comments and Motions To Intervene: 208–3676 (toll free), or (202) 502–8659 of Application Deadline for filing comments contesting (TTY). In lieu of electronic filing, please whether the facility meets the qualifying Take notice that on October 28, 2013, send a paper copy to: Secretary, Federal criteria is 45 days from the issuance Enable Gas Transmission, LLC (Enable), date of this notice. Energy Regulatory Commission, 888 1111 Louisiana Street, Houston, Texas Deadline for filing motions to First Street NE., Washington, DC 20426. 77002, filed in Docket No. CP14–14–000 intervene is 30 days from the issuance A copy of all other filings in reference an application pursuant to section 7(b) date of this notice. to this application must be accompanied of the Natural Gas Act (NGA) requesting Anyone may submit comments or a by proof of service on all persons listed the Commission authorize the motion to intervene in accordance with in the service list prepared by the abandonment, by sell and transfer from the requirements of Rules of Practice Commission in this proceeding, in Enable to Enable Midstream Partners, and Procedure, 18 CFR 385.210 and accordance with 18 CFR 4.34(b) and LP (EMP), certain facilities and 385.214. Any motions to intervene must 385.2010. associated appurtenances located in the be received on or before the specified Locations of Notice of Intent: Copies state of Oklahoma, and to abandon in deadline date for the particular of the notice of intent can be obtained place the Leedey Purification Facility, also located in the state of Oklahoma, all proceeding. directly from the applicant or such Filing and Service of Responsive as more fully set forth in the application copies can be viewed and reproduced at Documents: All filings must (1) bear in which is on file with the Commission all capital letters the ‘‘COMMENTS the Commission in its Public Reference and open to public inspection. The CONTESTING QUALIFICATION FOR A Room, Room 2A, 888 First Street NE., filing may also be viewed on the Web CONDUIT HYDROPOWER FACILITY’’ Washington, DC 20426. The filing may at http://www.ferc.gov using the or ‘‘MOTION TO INTERVENE,’’ as also be viewed on the Web at http:// ‘‘eLibrary’’ link. Enter the docket applicable; (2) state in the heading the www.ferc.gov/docs-filing/elibrary.asp number excluding the last three digits in name of the applicant and the project using the ‘‘eLibrary’’ link. Enter the the docket number field to access the number of the application to which the docket number (e.g., CD14–8) in the document. For assistance, please contact filing responds; (3) state the name, docket number field to access the FERC Online Support at address, and telephone number of the document. For assistance, call toll-free [email protected] or toll person filing; and (4) otherwise comply 1–866–208–3676 or email free at (866) 208–3676, or TTY, contact with the requirements of sections [email protected]. For TTY, (202) 502–8659. 385.2001 through 385.2005 of the call (202) 502–8659. Any questions concerning this 1 application may be directed to B. Commission’s regulations. All Dated: November 12, 2013. comments contesting Commission staff’s Michelle Willis, Manager—Regulatory & preliminary determination that the Kimberly D. Bose, Compliance, Enable Gas Transmission, facility meets the qualifying criteria Secretary. LLC, P.O. Box 21734, Shreveport, LA must set forth their evidentiary basis. [FR Doc. 2013–27605 Filed 11–18–13; 8:45 am] 71151 at (318) 429–3708 or by email at The Commission strongly encourages BILLING CODE 6717–01–P [email protected]. electronic filing. Please file motions to Specifically, Enable proposes to intervene and comments using the abandon in place the Leedey Commission’s eFiling system at http:// Purification Facility and to abandon by www.ferc.gov/docs-filing/efiling.asp. sale to EMP the following facilities in Commenters can submit brief comments Oklahoma: (1) The Leedey Compressor up to 6,000 characters, without prior Station, (2) Line AD–36, (3) Line ADT– 7, (4) Line ADT–5, and Line ADT–14. 1 18 CFR 385.2001–2005 (2013). Also, Enable seeks a determination that

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the facilities will operate as gathering provide copies of their protests only to Docket Numbers: ER10–3246–002; facilities exempt from the Commission the party or parties directly involved in ER13–1266–002. jurisdiction under NGA section 1(b). the protest. Applicants: PacifiCorp, CalEnergy, Pursuant to section 157.9 of the Persons who wish to comment only LLC. Commission’s rules, 18 CFR 157.9, on the environmental review of this Description: Supplement to June 28, within 90 days of this Notice the project should submit an original and 2013 Triennial Market Power Update of Commission staff will either complete two copies of their comments to the PacifiCorp, et al. its environmental assessment (EA) and Secretary of the Commission. Filed Date: 11/8/13. place it into the Commission’s public Environmental commentors will be Accession Number: 20131108–5028. record (eLibrary) for this proceeding; or placed on the Commission’s Comments Due: 5 p.m. ET 11/29/13. issue a Notice of Schedule for environmental mailing list, will receive Docket Numbers: ER12–1179–004. Environmental Review. If a Notice of copies of the environmental documents, Applicants: Southwest Power Pool, Schedule for Environmental Review is and will be notified of meetings Inc. issued, it will indicate, among other associated with the Commission’s Description: Southwest Power Pool, milestones, the anticipated date for the environmental review process. Inc.’s Informational Filing of Revised Commission staff’s issuance of the final Environmental commentors will not be Readiness Metrics for Integrated environmental impact statement (FEIS) required to serve copies of filed Marketplace. or EA for this proposal. The filing of the documents on all other parties. Filed Date: 11/1/13. EA in the Commission’s public record However, the non-party commentors Accession Number: 20131101–5148. for this proceeding or the issuance of a will not receive copies of all documents Comments Due: 5 p.m. ET 11/22/13. Notice of Schedule for Environmental filed by other parties or issued by the Docket Numbers: ER13–1857–000. Review will serve to notify federal and Commission (except for the mailing of Applicants: Idaho Power Company. state agencies of the timing for the environmental documents issued by the Description: Idaho Power Company completion of all necessary reviews, and Commission) and will not have the right submits November 2013 Supplement to the subsequent need to complete all to seek court review of the Triennial (DPT) to be effective N/A. federal authorizations within 90 days of Commission’s final order. Filed Date: 11/7/13. the date of issuance of the Commission The Commission strongly encourages Accession Number: 20131107–5100. staff’s FEIS or EA. Comments Due: 5 p.m. ET 11/29/13. There are two ways to become electronic filings of comments, protests Docket Numbers: ER14–343–000. involved in the Commission’s review of and interventions in lieu of paper using the ‘‘eFiling’’ link at http:// Applicants: NV Energy, Inc. this project. First, any person wishing to Description: OATT Order No. 764, obtain legal status by becoming a party www.ferc.gov. Persons unable to file 764–A Compliance—Section 13.8, 14.6, to the proceedings for this project electronically should submit an original Attachment N to be effective 11/12/ should, on or before the comment date and 14 copies of the protest or 2013. stated below, file with the Federal intervention to the Federal Energy Filed Date: 11/7/13. Energy Regulatory Commission, 888 Regulatory Commission, 888 First Street NE., Washington, DC 20426. Accession Number: 20131107–5074. First Street NE., Washington, DC 20426, Comments Due: 5 p.m. ET 11/29/13. a motion to intervene in accordance This filing is accessible on-line at with the requirements of the http://www.ferc.gov, using the Docket Numbers: ER14–344–000. Commission’s Rules of Practice and ‘‘eLibrary’’ link and is available for Applicants: Southwest Power Pool, Procedure (18 CFR 385.214 or 385.211) review in the Commission’s Public Inc. and the Regulations under the NGA (18 Reference Room in Washington, DC. Description: 549R6 Board of Public CFR 157.10). A person obtaining party There is an ‘‘eSubscription’’ link on the Utilities, Springfield, MO NITSA and status will be placed on the service list Web site that enables subscribers to NOA Notice of Cancell to be effective maintained by the Secretary of the receive email notification when a 10/1/2013. Commission and will receive copies of document is added to a subscribed Filed Date: 11/7/13. all documents filed by the applicant and docket(s). For assistance with any FERC Accession Number: 20131107–5077. Comments Due: 5 p.m. ET 11/29/13. by all other parties. A party must submit Online service, please email original and 7 copies of filings made [email protected], or call Docket Numbers: ER14–345–000. with the Commission and must mail a (866) 208–3676 (toll free). For TTY, call Applicants: Scotia Commodities Inc. copy to the applicant and to every other (202) 502–8659. Description: Scotia Commodities Inc. party in the proceeding. Only parties to Comment Date: December 3, 2013. submits Notice of Cancellation to be effective 11/8/2013. the proceeding can ask for court review Dated: November 12, 2013. of Commission orders in the proceeding. Filed Date: 11/7/13. However, a person does not have to Kimberly D. Bose, Accession Number: 20131107–5104. intervene in order to have comments Secretary. Comments Due: 5 p.m. ET 11/29/13. considered. The second way to [FR Doc. 2013–27606 Filed 11–18–13; 8:45 am] Docket Numbers: ER14–346–000. participate is by filing with the BILLING CODE 6717–01–P Applicants: MATL LLP. Secretary of the Commission, as soon as Description: MATL LLP submits possible, an original and two copies of Order 1000 Compliance—Attachment K comments in support of or in opposition DEPARTMENT OF ENERGY to be effective 12/31/9998. to this project. The Commission will Filed Date: 11/7/13. Federal Energy Regulatory consider these comments in Accession Number: 20131107–5105. Commission determining the appropriate action to be Comments Due: 5 p.m. ET 11/29/13. taken, but the filing of a comment alone Combined Notice of Filings #1 Docket Numbers: ER14–347–000. will not serve to make the filer a party Applicants: Pacific Gas and Electric to the proceeding. The Commission’s Take notice that the Commission Company. rules require that persons filing received the following electric rate Description: Notice of Termination of comments in opposition to the project filings: Service Agreement No. 95, Electric

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Tariff Volume No. 5 of Pacific Gas and Compliance Filing of Florida Power & DEPARTMENT OF ENERGY Electric Company. Light Company to be effective 1/13/ Filed Date: 11/7/13. 2014. Federal Energy Regulatory Accession Number: 20131107–5127. Filed Date: 11/8/13. Commission Comments Due: 5 p.m. ET 11/29/13. Accession Number: 20131108–5067. Combined Notice of Filings #1 Docket Numbers: ER14–348–000. Comments Due: 5 p.m. ET 11/29/13. Applicants: Louisville Gas and Docket Numbers: ER14–355–000. Take notice that the Commission Electric Company. Applicants: Startrans IO, LLC. received the following electric corporate Description: Louisville Gas and Description: Startrans IO, LLC submits filings: Electric Company submits Order No. 2014 Update to TRBAA in Appendix I Docket Numbers: EC14–24–000. 764 Compliance Filing to be effective to be effective 1/1/2014. Applicants: Steele Flats Wind Project, 11/12/2013. Filed Date: 11/8/13. LLC, Tuscola Wind II, LLC. Filed Date: 11/8/13. Description: Application for Accession Number: 20131108–5016. Accession Number: 20131108–5076. Comments Due: 5 p.m. ET 11/29/13. Authorization under Section 203 of the Comments Due: 5 p.m. ET 11/29/13. Federal Power Act and Request for Docket Numbers: ER14–349–000. Take notice that the Commission Expedited Action of Steele Flats Wind Applicants: Tampa Electric Company. received the following electric securities Project, LLC, et al. Description: Tampa Electric Company filings: Filed Date: 11/6/13. submits OATT Order No. 764 Docket Numbers: ES14–10–000. Accession Number: 20131106–5165. Compliance Filing to be effective 11/12/ Applicants: Portland General Electric Comments Due: 5 p.m. ET 11/27/13. 2013. Company. Docket Numbers: EC14–25–000. Filed Date: 11/8/13. Description: Application of Portland Applicants: CPV Shore, LLC. Accession Number: 20131108–5019. General Electric Company for Authority Description: CPV Shore, LLC’s Section Comments Due: 5 p.m. ET 11/29/13. to Issue Short-Term Debt Securities. 203 Application for Disposition of Docket Numbers: ER14–350–000. Filed Date: 11/7/13. Jurisdictional Facilities. Applicants: NorthWestern Accession Number: 20131107–5126. Filed Date: 11/7/13. Corporation. Comments Due: 5 p.m. ET 11/29/13. Accession Number: 20131107–5043. Description: NorthWestern Comments Due: 5 p.m. ET 11/29/13. Take notice that the Commission Corporation submits OATT Order No. Take notice that the Commission received the following public utility 764 Compliance Filing (Montana) to be received the following electric rate holding company filings: effective 1/7/2014. filings: Docket Numbers: PH14–1–000. Filed Date: 11/8/13. Docket Numbers: ER10–1818–004; Accession Number: 20131108–5020. Applicants: Isolux Infrastructure ER10–1819–005; ER10–1820–007; Comments Due: 5 p.m. ET 11/29/13. Netherlands, B.V. ER10–1817–005. Docket Numbers: ER14–351–000. Description: Isolux Infrastructure Applicants: Public Service Company Applicants: Louisville Gas and Netherlands, B.V. submits FERC–65–B of Colorado. Electric Company. Waiver Notification. Description: Public Service Company Description: Louisville Gas and Filed Date: 11/8/13. of Colorado submits additional Electric Company submits EKPC 2d Accession Number: 20131108–5033. information related to the Updated Amd IA to be effective 12/1/2013. Comments Due: 5 p.m. ET 11/29/13. Market Power Analysis for the Filed Date: 11/8/13. The filings are accessible in the Northwest Region. Accession Number: 20131108–5021. Commission’s eLibrary system by Filed Date: 11/7/13. Comments Due: 5 p.m. ET 11/29/13. clicking on the links or querying the Accession Number: 20131107–5054. Docket Numbers: ER14–352–000. docket number. Comments Due: 5 p.m. ET 11/29/13. Applicants: Public Service Company Any person desiring to intervene or Docket Numbers: ER12–2274–003. of New Mexico. protest in any of the above proceedings Applicants: Public Service Electric Description: Public Service Company must file in accordance with Rules 211 and Gas Company, PJM Interconnection, of New Mexico submits Order No. 764 and 214 of the Commission’s L.L.C. Compliance Filing to be effective 11/12/ Regulations (18 CFR 385.211 and Description: Public Service Electric 2013. 385.214) on or before 5:00 p.m. Eastern and Gas Company submits PSE&G Filed Date: 11/8/13. time on the specified comment date. submits compliance filing per 8/30/2013 Accession Number: 20131108–5032. Protests may be considered, but Order in ER12–2274 to be effective 9/ Comments Due: 5 p.m. ET 11/29/13. intervention is necessary to become a 17/2012. Docket Numbers: ER14–353–000. party to the proceeding. Filed Date: 11/6/13. Applicants: NorthWestern eFiling is encouraged. More detailed Accession Number: 20131106–5164. Corporation. information relating to filing Comments Due: 5 p.m. ET 11/27/13. Description: NorthWestern requirements, interventions, protests, Docket Numbers: ER14–340–000. Corporation submits OATT Order No. service, and qualifying facilities filings Applicants: Southwestern Public 764 Compliance Filing (South Dakota) can be found at: http://www.ferc.gov/ Service Company. _ to be effective 1/7/2014. docs-filing/efiling/filing-req.pdf. For Description: 11–6–13 RS117 SPS– Filed Date: 11/8/13. other information, call (866) 208–3676 RCEC Op Proc 1 to be effective 11/4/ Accession Number: 20131108–5040. (toll free). For TTY, call (202) 502–8659. 2013. Comments Due: 5 p.m. ET 11/29/13. Filed Date: 11/6/13. Docket Numbers: ER14–354–000. Dated: November 8, 2013. Accession Number: 20131106–5112. Applicants: Florida Power & Light Nathaniel J. Davis, Sr., Comments Due: 5 p.m. ET 11/27/13. Company. Deputy Secretary. Docket Numbers: ER14–341–000. Description: Florida Power & Light [FR Doc. 2013–27613 Filed 11–18–13; 8:45 am] Applicants: PJM Interconnection, Company submits OATT Order No. 764 BILLING CODE 6717–01–P L.L.C.

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Description: PJM Interconnection, Filings Instituting Proceedings Filings Instituting Proceedings L.L.C. submits Queue Position Y2–003; Docket Numbers: RP14–153–000. Docket Numbers: PR14–5–000. Original Service Agreement No. 3654 to Applicants: Natural Gas Pipeline Applicants: Washington Gas Light be effective 10/8/2013. Company of America. Company. Filed Date: 11/7/13. Description: EOG Negotiated Rate to Description: Tariff filing per Accession Number: 20131107–5012. be effective 12/1/2013. 284.123(b)(1)/.: WGL TARIFF FILING Comments Due: 5 p.m. ET 11/29/13. Filed Date: 11/6/13. 2013—Clone to be effective 11/1/2013. Docket Numbers: ER14–342–000. Accession Number: 20131106–5000. Filed Date: 11/1/13. Applicants: Southern California Comments Due: 5 p.m. ET 11/18/13. Accession Number: 20131101–5166. Edison Company. Docket Numbers: RP14–155–000. Comments Due: 5 p.m. ET 11/22/13. Applicants: Gulfstream Natural Gas Description: Southern California Docket Numbers: RP14–150–000. System, L.L.C. Edison Company submits Amendment Applicants: Enable Gas Transmission, to Extend Terms of Eldorado Co- Description: Gulfstream Natural Gas System, L.L.C. submits tariff filing per LLC. Tenancy and Communication Description: Enable Gas Transmission, 154.204: GNGS MSA Filing to be Agreement to be effective 1/1/2014. LLC submits tariff filing per 154.204: effective 12/9/2013. Filed Date: 11/7/13. Negotiated Rate Filing—November 2013 Accession Number: 20131107–5048. Filed Date: 11/6/13. Tenaska 9840 Att A to be effective 11/ Comments Due: 5 p.m. ET 11/29/13. Accession Number: 20131106–5130. 5/2013. Take notice that the Commission Comments Due: 5 p.m. ET 11/18/13. Docket Numbers: RP14–156–000. Filed Date: 11/5/13. received the following qualifying Accession Number: 20131105–5058. facility filings: Applicants: Transcontinental Gas Pipe Line Company. Comments Due: 5 p.m. ET 11/18/13. Docket Numbers: QF12–267–000. Description: Transcontinental Gas Docket Numbers: RP14–151–000. Applicants: Holyoke Solar, LLC. Pipe Line Company, LLC submits tariff Applicants: Northwest Pipeline LLC. Description: Holyoke Solar, LLC filing per 154.204: Negotiated Rates— Description: Northwest Pipeline LLC resubmits February 20, 2013 Refund Cherokee AGL—Replacement Shippers submits tariff filing per 154.204: NWP Report as non-privileged document. to be effective 11/1/2013. 2013 Housekeeping Filing to be effective Filed Date: 11/6/13. Filed Date: 11/6/13. 12/5/2013. Accession Number: 20131106–5168. Accession Number: 20131106–5162. Filed Date: 11/5/13. Comments Due: 5 p.m. ET 11/27/13. Comments Due: 5 p.m. ET 11/18/13. Accession Number: 20131105–5060. The filings are accessible in the The filings are accessible in the Comments Due: 5 p.m. ET 11/18/13. Commission’s eLibrary system by Commission’s eLibrary system by Docket Numbers: RP14–152–000. clicking on the links or querying the clicking on the links or querying the Applicants: National Grid LNG, LLC. docket number. docket number. Description: National Grid LNG, LLC Any person desiring to intervene or Any person desiring to intervene or submits tariff filing per 154.204: protest in any of the above proceedings protest in any of the above proceedings Housekeeping Filing to be effective 1/1/ must file in accordance with Rules 211 must file in accordance with Rules 211 2014. and 214 of the Commission’s and 214 of the Commission’s Filed Date: 11/5/13. Regulations (18 CFR 385.211 and Regulations (18 CFR 385.211 and Accession Number: 20131105–5080. 385.214) on or before 5:00 p.m. Eastern 385.214) on or before 5:00 p.m. Eastern Comments Due: 5 p.m. ET 11/18/13. time on the specified comment date. time on the specified comment date. Docket Numbers: RP14–154–000. Protests may be considered, but Protests may be considered, but Applicants: PDC Energy, Inc., intervention is necessary to become a intervention is necessary to become a Alliance Petroleum Corporation. party to the proceeding. party to the proceeding. Description: Joint Petition of PDC eFiling is encouraged. More detailed eFiling is encouraged. More detailed Energy, Inc. and Alliance Petroleum information relating to filing information relating to filing Corporation for Limited Waiver and requirements, interventions, protests, requirements, interventions, protests, Request for Expedited Action. service, and qualifying facilities filings service, and qualifying facilities filings Filed Date: 11/5/13. can be found at: http://www.ferc.gov/ can be found at: http://www.ferc.gov/ Accession Number: 20131105–5144. docs-filing/efiling/filing-req.pdf. For docs-filing/efiling/filing-req.pdf. For Comments Due: 5 p.m. ET 11/12/13. other information, call (866) 208–3676 other information, call (866) 208–3676 (toll free). For TTY, call (202) 502–8659. (toll free). For TTY, call (202) 502–8659. The filings are accessible in the Commission’s eLibrary system by Dated: November 7, 2013. Dated: November 7, 2013. clicking on the links or querying the Nathaniel J. Davis, Sr., Nathaniel J. Davis, Sr., docket number. Deputy Secretary. Deputy Secretary. Any person desiring to intervene or [FR Doc. 2013–27574 Filed 11–18–13; 8:45 am] [FR Doc. 2013–27603 Filed 11–18–13; 8:45 am] protest in any of the above proceedings BILLING CODE 6717–01–P BILLING CODE 6717–01–P must file in accordance with Rules 211 and 214 of the Commission’s Regulations (18 CFR 385.211 and DEPARTMENT OF ENERGY DEPARTMENT OF ENERGY 385.214) on or before 5:00 p.m. Eastern time on the specified comment date. Federal Energy Regulatory Federal Energy Regulatory Protests may be considered, but Commission Commission intervention is necessary to become a Combined Notice of Filings Combined Notice of Filings party to the proceeding. eFiling is encouraged. More detailed Take notice that the Commission has Take notice that the Commission has information relating to filing received the following Natural Gas received the following Natural Gas requirements, interventions, protests, Pipeline Rate and Refund Report filings: Pipeline Rate and Refund Report filings: service, and qualifying facilities filings

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can be found at: http://www.ferc.gov/ The filings in the above-referenced must create and validate an docs-filing/efiling/filing-req.pdf. For proceeding(s) are accessible in the eRegistration account using the other information, call (866) 208–3676 Commission’s eLibrary system by eRegistration link. Select the eFiling (toll free). For TTY, call (202) 502–8659. clicking on the appropriate link in the link to log on and submit the Dated: November 6, 2013. above list. They are also available for intervention or protests. Nathaniel J. Davis, Sr., review in the Commission’s Public Persons unable to file electronically Reference Room in Washington, DC. should submit an original and 5 copies Deputy Secretary. There is an eSubscription link on the of the intervention or protest to the [FR Doc. 2013–27602 Filed 11–18–13; 8:45 am] Web site that enables subscribers to Federal Energy Regulatory Commission, BILLING CODE 6717–01–P receive email notification when a 888 First Street NE., Washington, DC document is added to a subscribed 20426. docket(s). For assistance with any FERC The filings in the above-referenced DEPARTMENT OF ENERGY Online service, please email proceeding(s) are accessible in the Federal Energy Regulatory [email protected] or call Commission’s eLibrary system by Commission (866) 208–3676 (toll free). For TTY, call clicking on the appropriate link in the (202) 502–8659. above list. They are also available for [Docket No. ER14–152–000] Dated: November 12, 2013. review in the Commission’s Public Nathaniel J. Davis, Sr., Reference Room in Washington, DC. Elgin Energy Center, LLC; There is an eSubscription link on the Deputy Secretary. Supplemental Notice That Initial Web site that enables subscribers to Market-Based Rate Filing Includes [FR Doc. 2013–27614 Filed 11–18–13; 8:45 am] receive email notification when a Request for Blanket Section 204 BILLING CODE 6717–01–P document is added to a subscribed Authorization docket(s). For assistance with any FERC Online service, please email This is a supplemental notice in the DEPARTMENT OF ENERGY above-referenced proceeding, of Elgin [email protected] or call Energy Center, LLC’s application for Federal Energy Regulatory (866) 208–3676 (toll free). For TTY, call market-based rate authority, with an Commission (202) 502–8659. accompanying rate schedule, noting that Dated: November 12, 2013. [Docket No. ER14–325–000] such application includes a request for Nathaniel J. Davis, Sr., blanket authorization, under 18 CFR Enel Cove Fort, LLC; Supplemental Deputy Secretary. part 34, of future issuances of securities Notice That Initial Market-Based Rate [FR Doc. 2013–27611 Filed 11–18–13; 8:45 am] and assumptions of liability. Filing Includes Request for Blanket BILLING CODE 6717–01–P Any person desiring to intervene or to Section 204 Authorization protest should file with the Federal Energy Regulatory Commission, 888 This is a supplemental notice in the DEPARTMENT OF ENERGY First Street NE., Washington, DC 20426, above-referenced proceeding, of Enel in accordance with Rules 211 and 214 Cove Fort, LLC’s application for market- Federal Energy Regulatory of the Commission’s Rules of Practice based rate authority, with an Commission and Procedure (18 CFR 385.211 and accompanying rate schedule, noting that 385.214). Anyone filing a motion to such application includes a request for [Docket No. ER14–336–000] intervene or protest must serve a copy blanket authorization, under 18 CFR Sunwave USA Holdings Inc.; of that document on the Applicant. part 34, of future issuances of securities Supplemental Notice That Initial Notice is hereby given that the and assumptions of liability. Market-Based Rate Filing Includes deadline for filing protests with regard Any person desiring to intervene or to Request for Blanket Section 204 to the applicant’s request for blanket protest should file with the Federal Authorization authorization, under 18 CFR part 34, of Energy Regulatory Commission, 888 future issuances of securities and First Street NE., Washington, DC 20426, This is a supplemental notice in the assumptions of liability is November 28, in accordance with Rules 211 and 214 above-referenced proceeding, of 2013. of the Commission’s Rules of Practice Sunwave USA Holdings Inc.’s The Commission encourages and Procedure (18 CFR 385.211 and application for market-based rate electronic submission of protests and 385.214). Anyone filing a motion to authority, with an accompanying rate interventions in lieu of paper, using the intervene or protest must serve a copy schedule, noting that such application FERC Online links at http:// of that document on the Applicant. includes a request for blanket www.ferc.gov. To facilitate electronic Notice is hereby given that the authorization, under 18 CFR part 34, of service, persons with Internet access deadline for filing protests with regard future issuances of securities and who will eFile a document and/or be to the applicant’s request for blanket assumptions of liability. listed as a contact for an intervenor authorization, under 18 CFR part 34, of Any person desiring to intervene or to must create and validate an future issuances of securities and protest should file with the Federal eRegistration account using the assumptions of liability is December 2, Energy Regulatory Commission, 888 eRegistration link. Select the eFiling 2013. First Street NE., Washington, DC 20426, link to log on and submit the The Commission encourages in accordance with Rules 211 and 214 intervention or protests. electronic submission of protests and of the Commission’s Rules of Practice Persons unable to file electronically interventions in lieu of paper, using the and Procedure (18 CFR 385.211 and should submit an original and 5 copies FERC Online links at http:// 385.214). Anyone filing a motion to of the intervention or protest to the www.ferc.gov. To facilitate electronic intervene or protest must serve a copy Federal Energy Regulatory Commission, service, persons with Internet access of that document on the Applicant. 888 First Street NE., Washington, DC who will eFile a document and/or be Notice is hereby given that the 20426. listed as a contact for an intervenor deadline for filing protests with regard

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to the applicant’s request for blanket Any person desiring to intervene or to DEPARTMENT OF ENERGY authorization, under 18 CFR part 34, of protest should file with the Federal future issuances of securities and Energy Regulatory Commission, 888 Federal Energy Regulatory assumptions of liability is December 2, First Street NE., Washington, DC 20426, Commission 2013. in accordance with Rules 211 and 214 [Docket No. ER14–153–000] The Commission encourages of the Commission’s Rules of Practice electronic submission of protests and and Procedure (18 CFR 385.211 and Gibson City Energy Center, LLC; interventions in lieu of paper, using the 385.214). Anyone filing a motion to Supplemental Notice That Initial FERC Online links at http:// intervene or protest must serve a copy Market-Based Rate Filing Includes www.ferc.gov. To facilitate electronic of that document on the Applicant. Request for Blanket Section 204 service, persons with Internet access Authorization who will eFile a document and/or be Notice is hereby given that the listed as a contact for an intervenor deadline for filing protests with regard This is a supplemental notice in the must create and validate an to the applicant’s request for blanket above-referenced proceeding, of Gibson eRegistration account using the authorization, under 18 CFR part 34, of City Energy Center, LLC’s application eRegistration link. Select the eFiling future issuances of securities and for market-based rate authority, with an link to log on and submit the assumptions of liability is November 28, accompanying rate schedule, noting that intervention or protests. 2013. such application includes a request for Persons unable to file electronically blanket authorization, under 18 CFR The Commission encourages part 34, of future issuances of securities should submit an original and 5 copies electronic submission of protests and of the intervention or protest to the and assumptions of liability. interventions in lieu of paper, using the Any person desiring to intervene or to Federal Energy Regulatory Commission, FERC Online links at http:// protest should file with the Federal 888 First Street NE., Washington, DC www.ferc.gov. To facilitate electronic Energy Regulatory Commission, 888 20426. service, persons with Internet access First Street NE., Washington, DC 20426, The filings in the above-referenced who will eFile a document and/or be in accordance with Rules 211 and 214 proceeding(s) are accessible in the listed as a contact for an intervenor of the Commission’s Rules of Practice Commission’s eLibrary system by and Procedure (18 CFR 385.211 and clicking on the appropriate link in the must create and validate an 385.214). Anyone filing a motion to above list. They are also available for eRegistration account using the intervene or protest must serve a copy review in the Commission’s Public eRegistration link. Select the eFiling of that document on the Applicant. Reference Room in Washington, DC. link to log on and submit the intervention or protests. Notice is hereby given that the There is an eSubscription link on the deadline for filing protests with regard Web site that enables subscribers to Persons unable to file electronically to the applicant’s request for blanket receive email notification when a should submit an original and 5 copies authorization, under 18 CFR Part 34, of document is added to a subscribed of the intervention or protest to the future issuances of securities and docket(s). For assistance with any FERC Federal Energy Regulatory Commission, assumptions of liability is November 28, Online service, please email 888 First Street NE., Washington, DC 2013. [email protected] or call 20426. The Commission encourages (866) 208–3676 (toll free). For TTY, call electronic submission of protests and (202) 502–8659. The filings in the above-referenced proceeding(s) are accessible in the interventions in lieu of paper, using the Dated: November 12, 2013. Commission’s eLibrary system by FERC Online links at http:// Nathaniel J. Davis, Sr., clicking on the appropriate link in the www.ferc.gov. To facilitate electronic Deputy Secretary. above list. They are also available for service, persons with Internet access [FR Doc. 2013–27612 Filed 11–18–13; 8:45 am] review in the Commission’s Public who will eFile a document and/or be listed as a contact for an intervenor BILLING CODE 6717–01–P Reference Room in Washington, DC. must create and validate an There is an eSubscription link on the eRegistration account using the Web site that enables subscribers to DEPARTMENT OF ENERGY eRegistration link. Select the eFiling receive email notification when a link to log on and submit the Federal Energy Regulatory document is added to a subscribed intervention or protests. Commission docket(s). For assistance with any FERC Persons unable to file electronically Online service, please email should submit an original and 5 copies [Docket No. ER14–154–000] [email protected] or call of the intervention or protest to the Grand Tower Energy Center, LLC; (866) 208–3676 (toll free). For TTY, call Federal Energy Regulatory Commission, Supplemental Notice That Initial (202) 502–8659. 888 First Street NE., Washington, DC Market-Based Rate Filing Includes Dated: November 12, 2013. 20426. The filings in the above-referenced Request for Blanket Section 204 Nathaniel J. Davis, Sr., Authorization proceeding(s) are accessible in the Deputy Secretary. Commission’s eLibrary system by This is a supplemental notice in the [FR Doc. 2013–27616 Filed 11–18–13; 8:45 am] clicking on the appropriate link in the above-referenced proceeding, of Grand BILLING CODE 6717–01–P above list. They are also available for Tower Energy Center, LLC’s application review in the Commission’s Public for market-based rate authority, with an Reference Room in Washington, DC. accompanying rate schedule, noting that There is an eSubscription link on the such application includes a request for Web site that enables subscribers to blanket authorization, under 18 CFR receive email notification when a Part 34, of future issuances of securities document is added to a subscribed and assumptions of liability. docket(s). For assistance with any FERC

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Online service, please email and reasonableness of the market-based AGENCY HOLDING MEETING: Federal [email protected] or call rates proposed by Idaho Power Energy Regulatory Commission, DOE. (866) 208–3676 (toll free). For TTY, call Company. Idaho Power Company, 145 DATE AND TIME: November 21, 2013, (202) 502–8659. FERC ¶ 61,122 (2013). 10:00 a.m. Dated: November 12, 2013. The refund effective date in Docket PLACE: Room 2C, 888 First Street NE., Nathaniel J. Davis, Sr., No. EL14–3–000, established pursuant Washington, DC 20426. Deputy Secretary. to section 206(b) of the FPA, will be the STATUS: Open. date of publication of this notice in the [FR Doc. 2013–27615 Filed 11–18–13; 8:45 am] MATTERS TO BE CONSIDERED: Agenda. Federal Register. BILLING CODE 6717–01–P Note: Items listed on the agenda may be Dated: November 14, 2013.. deleted without further notice. Nathaniel J. Davis, Sr., DEPARTMENT OF ENERGY Deputy Secretary. CONTACT PERSON FOR MORE INFORMATION: Kimberly D. Bose, Secretary, Telephone [FR Doc. 2013–27657 Filed 11–18–13; 8:45 am] Federal Energy Regulatory (202) 502–8400. Commission BILLING CODE 6717–01–P For a recorded message listing items struck from or added to the meeting, call [Docket No. EL14–3–000] DEPARTMENT OF ENERGY (202) 502–8627. Idaho Power Company; Notice of This is a list of matters to be Initiation of Proceeding and Refund Federal Energy Regulatory considered by the Commission. It does Effective Date Commission not include a listing of all documents relevant to the items on the agenda. All On November 13, 2013, the Sunshine Act Meeting Notice public documents, however, may be Commission issued an order that viewed on line at the Commission’s initiated a proceeding in Docket No. The following notice of meeting is Web site at http://www.ferc.gov using EL14–3–000, pursuant to section 206 of published pursuant to section 3(a) of the the eLibrary link, or may be examined the Federal Power Act (FPA), 16 U.S.C. government in the Sunshine Act (Pub. in the Commission’s Public Reference 824e (2006), to determine the justness L. 94–409), 5 U.S.C. 552b: Room.

999TH—MEETING, REGULAR MEETING, NOVEMBER 21, 2013, 10:00 A.M.

Item No. Docket No. Company

Administrative

A–1 ...... AD02–1–000 Agency Business Matters. A–2 ...... AD02–7–000 Customer Matters, Reliability, Security and Market Operations. A–3 ...... AD07–13–006 2013 Report on Enforcement.

Electric

E–1 ...... RM13–2–000 Small Generator Interconnection Agreements and Procedures. E–2 ...... RM13–5–000 Version 5 Critical Infrastructure Protection Reliability Standards. E–3 ...... RM13–12–000 Monitoring System Conditions—Transmission Operations Reliability Standard. RM13–14–000 Transmission Operations Reliability Standards. RM13–15–000 Interconnection Reliability Operations and Coordination Reliability Standards. E–4 ...... RM13–8–000 Electric Reliability Organization Proposal to Retire Requirements in Reliability Standards. E–5 ...... NJ12–7–000 Bonneville Power Administration. NJ12–13–000 E–6 ...... EL12–98–000 Hudson Transmission Partners, LLC v. New York Independent System Operator, Inc. E–7 ...... OMITTED E–8 ...... OMITTED E–9 ...... OMITTED E–10 ...... RM13–13–000 Regional Reliability Standard BAL–002–WECC–2—Contingency Reserve. E–11 ...... OA13–8–000 Genesis Solar, LLC. E–12 ...... ER13–2412–000 Trans Bay Cable LLC. E–13 ...... ER13–1612–000 Arizona Public Service Company.

Gas

G–1 ...... RP09–487–004 High Island Offshore System, L.L.C.

Hydro

H–1 ...... P–12569–004 Public Utility District No. 1 of Okanogan County, Washington. H–2 ...... P–2662–012 FirstLight Hydro Generating Company. P–12968–001 City of Norwich Department of Public Utilities.

Certificates

C–1 ...... RM12–11–000 Revisions to Auxiliary Installations, Replacement. RM12–11–001 Facilities, and Siting and Maintenance Regulations. C–2 ...... CP13–8–000 Columbia Gas Transmission, LLC. C–3 ...... CP13–30–000 Transcontinental Gas Pipe Line Company, LLC.

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999TH—MEETING, REGULAR MEETING, NOVEMBER 21, 2013, 10:00 A.M.—Continued

Item No. Docket No. Company

C–4 ...... CP12–516–001 Discovery Gas Transmission LLC.

Issued: November 14, 2013. the Commission’s Rules of Practice and ENVIRONMENTAL PROTECTION Kimberly D. Bose, Procedure (18 CFR 385.211 and AGENCY Secretary. 385.214) on or before 5:00 p.m. Eastern [FRL–9903–04–OCFO] A free webcast of this event is time on the specified comment date. available through www.ferc.gov. Anyone Protests will be considered by the Draft FY 2014–2018 EPA Strategic with Internet access who desires to view Commission in determining the Plan; Availability this event can do so by navigating to appropriate action to be taken, but will AGENCY: Environmental Protection www.ferc.gov’s Calendar of Events and not serve to make protestants parties to Agency (EPA). locating this event in the Calendar. The the proceeding. Anyone filing a motion ACTION: event will contain a link to its webcast. to intervene or protest must serve a copy Notice of availability, request for public comments. The Capitol Connection provides of that document on the Petitioner. technical support for the free webcasts. SUMMARY: It also offers access to this event via The Commission encourages The U.S. Environmental television in the DC area and via phone electronic submission of protests and Protection Agency (EPA) is announcing bridge for a fee. If you have any interventions in lieu of paper, using the the availability of the Draft FY 2014– questions, visit FERC Online links at http:// 2018 EPA Strategic Plan for public www.CapitolConnection.org or contact www.ferc.gov. To facilitate electronic review and comment, as part of the Danelle Springer or David Reininger at service, persons with Internet access periodic update required by the Government Performance and Results 703–993–3100. who will eFile a document and/or be Act (GPRA) Modernization Act of 2010 Immediately following the conclusion listed as a contact for an intervenor (Pub. L. 111–352). The agency of the Commission Meeting, a press must create and validate an briefing will be held in the Commission anticipates the final Strategic Plan will eRegistration account using the be submitted to Congress in February Meeting Room. Members of the public eRegistration link. Select the eFiling may view this briefing in the designated 2014. The Strategic Plan provides the link to log on and submit the Agency’s long-term direction and overflow room. This statement is intervention or protests. intended to notify the public that the strategies for advancing human health press briefings that follow Commission Persons unable to file electronically and the environment. For this notice, meetings may now be viewed remotely should submit an original and 14 copies the EPA is seeking comment from at Commission headquarters, but will of the intervention or protest to the individual citizens, states, tribes, local not be telecast through the Capitol Federal Energy Regulatory Commission, government, industry, the academic Connection service. 888 First St. NE., Washington, DC community, non-governmental 20426. organizations, and all other interested [FR Doc. 2013–27750 Filed 11–15–13; 11:15 am] parties. The agency is particularly BILLING CODE 6717–01–P The filings in the above proceedings interested in feedback addressing are accessible in the Commission’s strategies contained in the goal eLibrary system by clicking on the narratives, cross-cutting fundamental DEPARTMENT OF ENERGY appropriate link in the above list. They strategies, and strategic measures. The Federal Energy Regulatory are also available for review in the agency made targeted revisions to our Commission Commission’s Public Reference Room in existing Plan that seek to advance efforts Washington, DC. There is an to address our changing climate, protect [Docket No. OR14–8–000] eSubscription link on the Web site that our precious water and land resources, and advance chemical safety. The Plan Colonial Pipeline Company; Notice of enables subscribers to receive email seeks to outline how EPA will make a Petition for Declaratory Order notification when a document is added to a subscribed docket(s). For assistance visible difference in communities across Take notice that on November 8, with any FERC Online service, please the country by advancing sustainability, 2013, pursuant to Rule 207(a)(2) of the email [email protected] or innovation and providing sound Commission’s Rules of Practices and call (866) 208–3676 (toll free). For TTY, scientific advice, technical and Procedure, 18 CFR 385.207(a)(2)(2013), call (202) 502–8659. compliance assistance and other tools Colonial Pipeline Company (Colonial) that support states, tribes, cities, towns, filed a petition requesting a declaratory Comment Date: 5:00 p.m. Eastern time rural communities, and the private order approving the tariff rate structure on December 6, 2013. sector. Under this Plan, EPA will and terms of service agreed to by Dated: November 12, 2013. continue to improve the way we do Contract Shippers in certain Kimberly D. Bose, business, engaging closely with our transportation service agreements, the public sector partners at all levels and Secretary. proposed prorationing methodology, the regulated community to achieve and the procedure by which excess [FR Doc. 2013–27607 Filed 11–18–13; 8:45 am] environmental benefits in the most system capacity is allocated first to BILLING CODE 6717–01–P pragmatic, collaborative, and flexible eligible Contract Shippers, as explained way possible—for our children and more fully in the petition. future generations. Any person desiring to intervene or to In addition, the EPA is proposing new protest in this proceedings must file in FY 2014–2015 Agency Priority Goals— accordance with Rules 211 and 214 of a key component of the

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Administration’s performance able to consider your comment. ENVIRONMENTAL PROTECTION management system—to align more Electronic files should avoid the use of AGENCY closely with our highest priorities, special characters, any form of [FRL–9903–05–OCFO] including improving the health of encryption, and be free of any defects or communities across the country and viruses. For additional information Meeting of the Environmental Financial tackling the issue of climate change. about EPA’s public docket visit the EPA Advisory Board; Public Meeting DATES: Comments must be received on Docket Center homepage at http:// or before January 3, 2014. www.epa.gov/dockets/. AGENCY: Environmental Protection ADDRESSES: Submit your comments, Agency (EPA). SUPPLEMENTARY INFORMATION: identified by Docket ID No. EPA–HQ– ACTION: Notice of open meeting of the OA–2013–0555, by one of the following Background Environmental Financial Advisory methods (electronic submission Board. preferred): The GPRA Modernization Act holds SUMMARY: The United States Electronic: Federal eRulemaking federal agencies accountable for using Environmental Protection Agency’s Portal: http://www.regulations.gov. resources wisely and achieving program (EPA) Environmental Financial Follow the on-line instructions for results. Specifically, the GPRA Advisory Board (EFAB) will hold a submitting comments. Modernization Act requires agencies to public meeting on December 12–13, Fax: ATTN: Vivian Daub, Director, develop: Strategic Plans, which include 2013. EFAB is an EPA advisory Planning Staff, Fax number: (202) 564– a mission statement, set out long-term 1808. committee chartered under the Federal goals, objectives, and strategic measures, Advisory Committee Act (FACA) to Mail: ATTN: Vivian Daub, Director, and describe strategies to achieve them Planning Staff, Office of Planning, provide advice and recommendations to over a four-year time horizon; Annual EPA on creative approaches to funding Analysis, and Accountability (Mail Performance Plans, which provide Code 2723A), Office of the Chief environmental programs, projects, and annual performance measures and activities. This meeting, originally Financial Officer, U.S. Environmental activities toward the long-term Strategic Protection Agency, 1200 Pennsylvania scheduled for October 22–23, 2013, is Plan; and, Annual Performance Reports, Ave. NW., Washington, DC 20460. rescheduled because of the government Important: Please allow a minimum of which evaluate an agency’s success in shutdown. two weeks from date postmarked to achieving the annual performance The purpose of this meeting is to hear allow ample time for receipt. measures. from informed speakers on environmental finance issues, proposed FOR FURTHER INFORMATION CONTACT: The Draft FY 2014–2018 EPA legislation, and EPA priorities; to Vivian Daub, Director, Planning Staff, Strategic Plan reflects the discuss activities, progress, and Office of Planning, Analysis, and Administrator’s themes for advancing preliminary recommendations with Accountability, Office of the Chief EPA’s mission. The Plan presents five regard to current EFAB work projects; Financial Officer, [email protected]. strategic goals to accelerate protection of and to consider requests for assistance Instructions: EPA’s policy is that all human health and the environment and from EPA offices. comments received will be included in four cross-cutting fundamental Environmental finance discussions, the public docket without change and strategies for changing the way the and presentations are expected on the may be made available online at agency does business in achieving its following topics: tribal environmental www.regulations.gov, including any results. The five strategic goals are: programs; transit-oriented development personal information provided, unless Addressing Climate Change and in sustainable communities, energy the comment includes information Improving Air Quality; Protecting efficiency/green house gas emissions claimed to be Confidential Business America’s Waters; Cleaning Up reduction; drinking water pricing and Information (CBI) or other information Communities and Advancing infrastructure investment; and green whose disclosure is restricted by statute. Sustainable Development; Ensuring the infrastructure. Do not submit information that you Safety of Chemicals and Preventing The meeting is open to the public; consider to be CBI or otherwise Pollution; and Protecting Human Health however, seating is limited. All protected through www.regulations.gov members of the public who wish to or email. The www.regulations.gov Web and the Environment by Enforcing Laws attend the meeting must register in site is an ‘‘anonymous access’’ system, and Assuring Compliance. The four advance no later than Friday December which means EPA will not know your cross-cutting fundamental strategies are: 6, 2013. identity or contact information unless Working Toward a Sustainable Future; you provide it in the body of your Working to Make a Visible Difference in DATES: The full board meeting will be comment. If you send an email Communities; Launching a New Era of held on Thursday, December 12, 2013 comment directly to EPA without going State, Tribal, Local, and International from 9:00 a.m. to 5 p.m., EST and through www.regulations.gov your email Partnerships; and Embracing EPA as a Friday, December 13, 2013 from 9–12 address will be automatically captured High-Performing Organization. The noon., EST. and included as part of the comment Strategic Plan also identifies a suite of ADDRESSES: Potomac Yard North, 2777 that is placed in the public docket and strategic measures by which the agency S. Crystal Drive, Suite 4120, Arlington, made available on the Internet. If you will hold itself accountable. VA 22202. submit an electronic comment, EPA FOR FURTHER INFORMATION CONTACT: For recommends that you include your Maryann Froehlich, information on access or services for name and other contact information in Acting Chief Financial Officer, Office of the individuals with disabilities, or to the body of your comment and with any Chief Financial Officer. request accommodations for a person disk or CD–ROM you submit. If EPA [FR Doc. 2013–27676 Filed 11–18–13; 8:45 am] with a disability, please contact Sandra cannot read your comment due to BILLING CODE 6560–50–P Williams, U.S. EPA, at (202) 564–4999 technical difficulties and cannot contact or [email protected], at least 10 you for clarification, EPA may not be days prior to the meeting, to allow as

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much time as possible to process your South Clinton Ave., Rochester, NY II. Test Data Submissions request. 14620; telephone number: (202) 554– Section 4(d) of TSCA (15 U.S.C. Dated: November 12, 2013. 1404; email address: TSCA-Hotline@ epa.gov. 2603(d)) requires EPA to publish a Joshua Baylson, notice in the Federal Register reporting Associate Chief Financial Officer. SUPPLEMENTARY INFORMATION: the receipt of test data submitted [FR Doc. 2013–27677 Filed 11–18–13; 8:45 am] I. General Information pursuant to test rules promulgated BILLING CODE 6560–50–P under TSCA section 4(a) (15 U.S.C. A. Does this action apply to me? 2603(a)). Each notice must: This action is directed to the public 1. Identify the chemical substance or ENVIRONMENTAL PROTECTION in general. This action may, however, be mixture for which data have been AGENCY of interest to those persons who are received. [EPA–HQ–OPPT–2009–0112; FRL–9902–68] concerned about data on health and/or environmental effects and other 2. List the uses or intended uses of characteristics of this chemical such chemical substance or mixture and Toxic Substances Control Act the information required by the Chemical Testing; Receipt of Test Data substance. Since other entities may also be interested, the Agency has not applicable standards for the AGENCY: Environmental Protection attempted to describe all the specific development of test data. Agency (EPA). entities that may be affected by this 3. Describe the nature of the test data ACTION: Notice. action. developed. EPA has received test data for the SUMMARY: This notice announces EPA’s B. How can I get copies of this document receipt of test data on 1-propanesulfonic and other related information? following test rule: acid, 2-hydroxy-3-(2-propen-1-yloxy)-, The docket for this action, identified EPA received data on 1 chemical sodium salt (1:1). These data were by docket identification (ID) number substance listed in the TSCA section 4 submitted pursuant to a test rule issued EPA–HQ–OPPT–2009–0112, is available test rule entitled ‘‘Testing for Certain by EPA under the Toxic Substances at http://www.regulations.gov or at the High Production Volume Chemicals; Control Act (TSCA). The purpose of this Office of Pollution Prevention and Third Group of Chemicals,’’ published notice is to alert the public about test Toxics Docket (OPPT Docket), in the Federal Register of October 21, data received between August 1, 2013, Environmental Protection Agency 2011 (76 FR 65385) (FRL–8885–5) and October 31, 2013. Docket Center (EPA/DC), EPA West (docket ID number EPA–HQ–OPPT– FOR FURTHER INFORMATION CONTACT: For Bldg., Rm. 3334, 1301 Constitution Ave. 2009–0112). technical information contact: Kathy NW., Washington, DC. The Public The table in this unit contains the Calvo, Chemical Control Division Reading Room is open from 8:30 a.m. to described information required by (7405M), Office of Pollution Prevention 4:30 p.m., Monday through Friday, TSCA section 4(d). See the applicable and Toxics, Environmental Protection excluding legal holidays. The telephone CFR citation, listed in the title of the Agency, 1200 Pennsylvania Ave. NW., number for the Public Reading Room is table, for test data requirements. Data Washington, DC 20460–0001; telephone (202) 566–1744, and the telephone received can be found by referencing the number: (202) 564–8089; fax number: number for the OPPT Docket is (202) docket ID number and document (202) 564–4765; email address: 566–0280. Please review the visitor number listed in the table. See Unit I.B. [email protected]. instructions and additional information for additional information about the For general information contact: The about the docket available at http:// docket. EPA reviews of test data are TSCA-Hotline, ABVI-Goodwill, 422 www.epa.gov/dockets. added to the docket upon completion.

TABLE 1—DATA RECEIVED IN RESPONSE TO TSCA SECTION 4 TEST RULE AT 40 CFR 799.5089, TESTING OF CERTAIN HIGH PRODUCTION VOLUME CHEMICALS; THIRD GROUP OF CHEMICALS, DOCKET IDENTIFICATION NUMBER EPA–HQ– OPPT–2009–0112

Document Chemical identity Use(s) Data received number

1-Propanesulfonic acid, 2-hydroxy-3-(2- Polymerizable surfactant for vinylic sys- Biodegradation; Acute Toxicity to Fish; 0146 propen-1-yloxy)-, sodium salt (1:1) tems; antistatic properties; promotes Acute Toxicity to Daphnia; Toxicity to (CAS No. 52556–42–0). adhesion of pigments; emulsion po- Algae; Acute Inhalation Toxicity in lymerization in paper, textile, fiber, Rats; Bacterial Reverse Mutation; In and adhesives industries. Vitro Mammalian Chromosome Aber- ration; Repeated Dose/Reproduction Development Toxicity.

Note: CAS No. = Chemical Abstracts Dated: November 12, 2013. EXPORT-IMPORT BANK Service Registry Number. Maria J. Doa, [Public Notice: 2013–0053] Authority: 15 U.S.C. 2603. Director, Chemical Control Division, Office of Pollution Prevention and Toxics. Application for Final Commitment for a List of Subjects [FR Doc. 2013–27729 Filed 11–18–13; 8:45 am] Long-Term Loan or Financial Environmental protection, Hazardous BILLING CODE 6560–50–P Guarantee in Excess of $100 Million: substances. AP088217XX AGENCY: Export-Import Bank of the United States.

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ACTION: Notice. would jeopardize jobs in the United column, under paragraph F of II States by supplying information that Discussion, ‘‘page 15’’ is corrected to SUMMARY: This Notice is to inform the competitors could use to compete with read ‘‘page 14.’’ public, in accordance with Section companies in the United States. 5. On page 66358, in the 3(c)(10) of the Charter of the Export- Supplementary section, in the 2nd Cristopolis Dieguez, Import Bank of the United States (‘‘Ex- column, under paragraph G of II Im Bank’’), that Ex-Im Bank has received Program Specialist, Office of the General Discussion, ‘‘page 19’’ is corrected to Counsel. an application for final commitment for read ‘‘page 18.’’ a long-term loan or financial guarantee [FR Doc. 2013–27604 Filed 11–18–13; 8:45 am] 6. On page 66358, in the in excess of $100 million (as calculated BILLING CODE 6690–01–P Supplementary section, in the 2nd in accordance with Section 3(c)(10) of column, under paragraph H of II the Charter). Comments received within Discussion, ‘‘pages 23–27’’ is corrected the comment period specified below FEDERAL COMMUNICATIONS to read ‘‘pages 22–26.’’ will be presented to the Ex-Im Bank COMMISSION 7. On page 66358, in the Board of Directors prior to final action [WC Docket No. 06–122; DA 13–2090] Supplementary section, in the 2nd on this Transaction. column, under paragraph I of II DATES: Comments must be received on Proposed Changes to FCC Form 499– Discussion, ‘‘page 28’’ is corrected to or before December 16, 2013 to be A, FCC Form 499–Q, and read ‘‘page 27.’’ assured of consideration before final Accompanying Instructions. consideration of the transaction by the Federal Communications Commission. Board of Directors of Ex-Im Bank. AGENCY: Federal Communications Kimberly Scardino, ADDRESSES: Comments may be Commission. Division Chief, Telecommunications Access Policy Division Wireline Competition Bureau. submitted through Regulations.gov at ACTION: Notice; correction. WWW.REGULATIONS.GOV. To submit [FR Doc. 2013–27725 Filed 11–18–13; 8:45 am] SUMMARY: The Federal Communications a comment, enter EIB–2013–0053 under BILLING CODE 6712–01–P Commission published a document in the heading ‘‘Enter Keyword or ID’’ and the Federal Register on November 5, select Search. Follow the instructions 2013 concerning a request for comment provided at the Submit a Comment on proposed revisions to (1) the annual screen. Please include your name, FEDERAL ELECTION COMMISSION Telecommunications Reporting company name (if any) and EIB–2013– Worksheet, FCC Form 499–A (Form Notice of Sunshine Act Meetings 0053 on any attached document. 499–A) and accompanying instructions Reference: AP088217XX. (Form 499–A Instructions) to be used in AGENCY: Federal Election Commission. Purpose and Use: Brief description of the purpose of the 2014 to report 2013 revenues, and (2) DATE AND TIME: Thursday, November 21, transaction: the quarterly Telecommunications 2013 at 10:00 a.m. To support the export of U.S.- Reporting Worksheet, FCC Form 499–Q PLACE: 999 E Street NW., Washington, manufactured business jet aircraft. (Form 499–Q) and accompanying DC (Ninth Floor). instructions (Form 499–Q Instructions) Brief non-proprietary description of STATUS: This meeting will be open to the anticipated use of the items being to be used in 2014 to report projected the public. collected revenues on a quarterly basis. exported: ITEMS TO BE DISCUSSED: To be used for executive air The document had an error in the Supplementary section of the notice. Draft Advisory Opinion 2013–15: transportation. Conservative Action Fund. To the extent that Ex-Im Bank is FOR FURTHER INFORMATION CONTACT: For Draft Advisory Opinion 2013–16: reasonably aware, the item(s) being additional information, contact Charles PoliticalRefund.org. exported are not expected to produce Eberle, Wireline Competition Bureau at Draft Advisory Opinion 2013–17: Tea exports or provide services in (202) 418–7400 or via the Internet at Party Leadership Fund. competition with the exportation of [email protected]. Draft Interpretive Rule Re Date of goods or provision of services by a Correction Political Party Nominations of United States industry. Parties: In the Federal Register on November Candidates for Special Primary Principal Supplier: Gulfstream 5, 2013, in FR Doc. 2013–26482, on page Elections in New York. Aerospace Corporation, Savannah, GA. 66358 make the following corrections: Management and Administrative Obligor: Minsheng Financial Leasing 1. On page 66358, in the Matters. Co., Ltd., Beijing, China. Supplementary section, in the 1st Individuals who plan to attend and Guarantor(s): N/A. column, under paragraph C of II require special assistance, such as sign Description of Items Being Exported: Discussion, ‘‘pages 10–11’’ is corrected language interpretation or other Gulfstream business jet aircraft. to read ‘‘page 10.’’ reasonable accommodations, should Information on Decision: Information 2. On page 66358, in the contact Shawn Woodhead Werth, on the final decision for this transaction Supplementary section, in the 1st Secretary and Clerk, at (202) 694–1040, will be available in the ‘‘Summary column, under paragraph D of II at least 72 hours prior to the meeting Minutes of Meetings of Board of Discussion, ‘‘page 12’’ is corrected to date. Directors’’ on http://exim.gov/ read ‘‘page 11.’’ PERSON TO CONTACT FOR INFORMATION: newsandevents/boardmeetings/board/. 3. On page 66358, in the Judith Ingram, Press Officer, Telephone: Confidential Information: Please note Supplementary section, in the 1st (202) 694–1220. that this notice does not include column, under paragraph E of II confidential or proprietary business Discussion, ‘‘page 12’’ is corrected to Shelley E. Garr, information; information which, if read ‘‘page 11.’’ Deputy Secretary of the Commission. disclosed, would violate the Trade 4. On page 66358, in the [FR Doc. 2013–27742 Filed 11–15–13; 11:15 am] Secrets Act; or information which Supplementary section, in the 2nd BILLING CODE 6715–01–P

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FEDERAL RESERVE SYSTEM STATUS: Open to the public. and make recommendations to the MATTERS TO BE CONSIDERED: President on the efficient administration Formations of, Acquisitions by, and of elections in order to ensure that all Mergers of Bank Holding Companies Open to the Public eligible voters have the opportunity to The companies listed in this notice 1. Approval of the Minutes of the cast their ballots without undue delay, have applied to the Board for approval, October 28, 2013 Board Member and to improve the experience of voters pursuant to the Bank Holding Company Meeting facing other obstacles in casting their Act of 1956 (12 U.S.C. 1841 et seq.) 2. Thrift Savings Plan Activity Reports ballots. by the Executive Director (BHC Act), Regulation Y (12 CFR Part Attendance at the Meeting: 225), and all other applicable statutes a. Monthly Participant Activity Report b. Monthly Investment Policy Report Individuals interested in attending the and regulations to become a bank meeting must register in advance holding company and/or to acquire the c. Legislative Report 3. Quarterly Metrics Report because of limited space. Please contact assets or the ownership of, control of, or Mr. Nejbauer at the email address above the power to vote shares of a bank or CONTACT PERSON FOR MORE INFORMATION: to register to attend this meeting. To bank holding company and all of the Kimberly Weaver, Director, Office of attend this meeting, please submit your banks and nonbanking companies External Affairs, (202) 942–1640. owned by the bank holding company, full name, organization, email address, Dated: November 15, 2013. and phone number to Mark Nejbauer by including the companies listed below. James B. Petrick, The applications listed below, as well 5:00 p.m. Eastern Standard Time on Secretary, Federal Retirement Thrift Friday, November 29, 2013. Detailed as other related filings required by the Investment Board. Board, are available for immediate meeting minutes will be posted within [FR Doc. 2013–27814 Filed 11–15–13; 4:15 pm] inspection at the Federal Reserve Bank 90 days of the meeting. BILLING CODE 6760–01–P indicated. The applications will also be Procedures for Providing Public available for inspection at the offices of Comments: In general, public comments the Board of Governors. Interested will be posted on the PCEA Web site persons may express their views in GENERAL SERVICES ADMINISTRATION (see above). All comments, including writing on the standards enumerated in attachments and other supporting the BHC Act (12 U.S.C. 1842(c)). If the [Notice–MK–2013–11; Docket No. 2013– materials, received are part of the public proposal also involves the acquisition of 0002; Sequence No. 36] record and subject to public disclosure. a nonbanking company, the review also Any comments submitted in connection includes whether the acquisition of the The Presidential Commission on with the PCEA meeting will be made nonbanking company complies with the Election Administration (PCEA); available to the public under the standards in section 4 of the BHC Act Upcoming Public Advisory Meeting (12 U.S.C. 1843). Unless otherwise provisions of the Federal Advisory AGENCY: Office of Government-Wide Committee Act. noted, nonbanking activities will be Policy, U.S. General Services The public is invited to submit conducted throughout the United States. Administration (GSA). Unless otherwise noted, comments written materials by either of the regarding each of these applications ACTION: Meeting Notice. following methods: must be received at the Reserve Bank SUMMARY: The Presidential Commission Electronic or Paper Statements: indicated or the offices of the Board of on Election Administration (PCEA), a Submit electronic statements to Mr. Governors not later than December 13, Federal Advisory Committee established Nejbauer, Designated Federal Officer at 2013. in accordance with the Federal A. Federal Reserve Bank of Atlanta [email protected]; or Advisory Committee Act (FACA), 5 (Chapelle Davis, Assistant Vice send three (3) copies of any written U.S.C., App., and Executive Order President) 1000 Peachtree Street NE., statements to Mr. Nejbauer at the PCEA 13639, as amended by EO 13644, will Atlanta, Georgia 30309: GSA address above. 1. South Georgia Bank Holding hold a meeting open to the public on Tuesday, December 3, 2013. FOR FURTHER INFORMATION CONTACT: Mr. Company, Omega, Georgia; to merge Mark Nejbauer, Designated Federal with Dooly Bancshares, Inc., and DATES: The meeting will be held on Tuesday, December 3, 2013, beginning Officer, General Services thereby indirectly acquire Bank of Dooly Administration, Presidential both in Vienna, Georgia. at 9:00 a.m. Eastern Standard Time, and ending no later than 12:00 p.m. Eastern Commission on Election Board of Governors of the Federal Reserve Administration, 1776 G Street NW., System, November 14, 2013. Standard Time with no public comment period. Washington, DC 20006, email Michael J. Lewandowski, [email protected]. Associate Secretary of the Board. ADDRESSES: The PCEA will convene its meeting in the Ronald Reagan Building, Dated: November 14, 2013. [FR Doc. 2013–27641 Filed 11–18–13; 8:45 am] 1300 Pennsylvania Ave NW., BILLING CODE 6210–01–P Anne Rung, Washington, DC 20004. This site is Associate Administrator, Office of accessible to individuals with Government-Wide Policy, General Services disabilities. The meeting may also be FEDERAL RETIREMENT THRIFT Administration. webcast or made available via audio INVESTMENT BOARD [FR Doc. 2013–27675 Filed 11–18–13; 8:45 am] link. Please refer to PCEA’s Web site, BILLING CODE 6820–14–P Notice of Sunshine Act Meeting http://www.supportthevoter.gov, for the most up-to-date meeting agenda and TIME AND DATE: 10:00 a.m. (Telephonic access information. Eastern Time) November 25, 2013. SUPPLEMENTARY INFORMATION: PLACE: 10th Floor Board Meeting Room, Background: The PCEA was 77 K Street NE., Washington, DC 20002. established to identify best practices

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DEPARTMENT OF HEALTH AND Proposed Project The questionnaire will collect contact HUMAN SERVICES An Investigation of Lung Health at an information, demographic information, Indium-Tin Oxide Production Facility— respiratory symptoms and diagnoses, Centers for Disease Control and New—National Institute for work history, and cigarette smoking Prevention Occupational Safety and Health history. The questionnaire will allow (NIOSH), Centers for Disease Control NIOSH to report individual medical test [60 Day–14–14CL] and Prevention (CDC). results to each participant and to analyze aggregate data from the Background and Brief Description Proposed Data Collections Submitted workforce to determine risk factors for for Public Comment and The mission of the National Institute abnormal lung health indices derived Recommendations for Occupational Safety and Health from the medical test results. The (NIOSH) is to promote safety and health individual results will be used by In compliance with the requirement at work for all people through research of Section 3506(c)(2)(A) of the employees and their personal and prevention. The Occupational physicians to make medical decisions, Paperwork Reduction Act of 1995 for Safety and Health Act, Public Law 91– opportunity for public comment on such as whether to pursue additional 596 (section 20[a] [1]), authorizes testing. The aggregate results will be proposed data collection projects, the NIOSH to conduct research to advance used by NIOSH, facility management, Centers for Disease Control and the health and safety of workers. NIOSH and employees in ongoing efforts to Prevention (CDC) will publish periodic is proposing to conduct a study summaries of proposed projects. To regarding the lung health of workers at reduce exposures and monitor key request more information on the an indium-tin oxide production facility. health indices. proposed projects or to obtain a copy of Indium-tin oxide (ITO) is a sintered For this study, we will recruit all the data collection plans and material used in the manufacture of current employees of the ITO instruments, call 404–639–7570 or send devices such as liquid crystal displays, production facility. Participation is comments to LeRoy Richardson, 1600 touch panels, solar cells, and voluntary. Employees who wish to Clifton Road, MS–D74, Atlanta, GA architectural glass. Indium lung disease participate in the questionnaire and 30333 or send an email to [email protected]. is a novel, potentially fatal industrial medical testing will review and sign an Comments are invited on: (a) Whether disease that has occurred in workers informed consent document. Employees the proposed collection of information making, using, or recycling ITO. This who wish to participate in the personal is necessary for the proper performance project aims to understand and prevent air sampling and would like to receive of the functions of the agency, including this occupational lung disease by personal results will complete a contact whether the information shall have investigating the relationship between information form. We anticipate practical utility; (b) the accuracy of the exposure and lung health among current approximately 100 study participants. agency’s estimate of the burden of the ITO manufacturing workers. The questionnaire will be administered proposed collection of information; (c) CDC requests Office of Management privately at the workplace during ways to enhance the quality, utility, and and Budget (OMB) approval to collect normal working hours by trained clarity of the information to be standardized information from current NIOSH staff. Employees who are not collected; and (d) ways to minimize the employees of the ITO production burden of the collection of information facility through an informed consent available at the workplace during the on respondents, including through the document, an interviewer-administered study will be offered the opportunity to use of automated collection techniques questionnaire, and a contact information respond to the questionnaire at a later or other forms of information form. As part of the same project, date by telephone. There are no costs to technology. Written comments should employees will be offered the participants other than their time. be received within 60 days of this opportunity to participate in medical The total estimated burden for the notice. testing and personal air sampling. one-time collection of data is 66 hours.

ESTIMATED ANNUALIZED BURDEN HOURS

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

Current ITO production facility em- Informed consent document ...... 100 1 15/60 25 ployees. Questionnaire ...... 100 1 20/60 33 Contact information form ...... 100 1 5/60 8

Total ...... 66

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LeRoy Richardson, 3. By express or overnight mail. You Comments received timely will also Chief, Office of Scientific Integrity, Office of may send written comments to the be available for public inspection as the Associate Director for Science, Office of following address only: Centers for they are received, generally beginning the Director, Centers for Disease Control and Medicare & Medicaid Services, approximately 3 weeks after publication Prevention. Department of Health and Human of a document, at the headquarters of [FR Doc. 2013–27653 Filed 11–18–13; 8:45 am] Services, Attention: CMS–3288–NC, the Centers for Medicare & Medicaid BILLING CODE 4163–18–P Mail Stop C4–26–05, 7500 Security Services, 7500 Security Boulevard, Boulevard, Baltimore, MD 21244–1850. Baltimore, Maryland 21244, Monday 4. By hand or courier. Alternatively, through Friday of each week from 8:30 DEPARTMENT OF HEALTH AND you may deliver (by hand or courier) a.m. to 4 p.m. To schedule an HUMAN SERVICES your written only to the following appointment to view public comments, phone 1–800–743–3951. Centers for Medicare & Medicaid addresses: Services a. For delivery in Washington, DC— I. Background Centers for Medicare & Medicaid A. Legislative Background [CMS–3288–NC] Services, Department of Health and Human Services, Room 445–G, Hubert The Patient Protection and Affordable Patient Protection and Affordable Care H. Humphrey Building, 200 Care Act of 2010 (Pub. L. 111–148) as Act; Exchanges and Qualified Health Independence Avenue SW., amended by the Health Care and Plans, Quality Rating System (QRS), Washington, DC 20201. Education Reconciliation Act of 2010 Framework Measures and (Because access to the interior of the (Pub. L. 111–309) (collectively referred Methodology Hubert H. Humphrey Building is not to as the Affordable Care Act) establish readily available to persons without Affordable Insurance Exchange or AGENCY: Centers for Medicare & Federal government identification, Exchange (also known as a Health Medicaid Services (CMS), HHS. commenters are encouraged to leave Insurance Marketplace or Marketplace) ACTION: Notice with comment. their comments in the CMS drop slots within each state. Qualified individuals located in the main lobby of the and qualified employers in each state SUMMARY: This notice with comment building. A stamp-in clock is available will be able to shop for affordable health describes the overall Quality Rating for persons wishing to retain a proof of insurance through Exchanges. System (QRS) framework for rating filing by stamping in and retaining an The Department of Health and Human Qualified Health Plans (QHPs) offered extra copy of the comments being filed.) Services (the Secretary) holds primary through an Exchange. The purpose of b. For delivery in Baltimore, MD— responsibility for establishing the this notice is to solicit comments on the Centers for Medicare & Medicaid standards and guidelines for the list of proposed QRS quality measures Services, Department of Health and Exchanges. The Affordable Care Act that QHP issuers would be required to Human Services, 7500 Security provides States with the flexibility to collect and report, the hierarchical Boulevard, Baltimore, MD 21244–1850. establish and operate their own structure of the measure sets and the Exchange (State-based Exchange). elements of the QRS rating If you intend to deliver your However, if a state elects not to establish methodology. In addition, this notice comments to the Baltimore address, call a State-based Exchange or if a state will solicits comments on ways to ensure the telephone number (410) 786–9994 in not have an Exchange that is operational integrity of QRS ratings, and on priority advance to schedule your arrival with by January 1, 2014, pursuant to section areas for future QRS measure one of our staff members. 1321(c)(1) of the Affordable Care Act, enhancement and development. Comments erroneously mailed to the addresses indicated as appropriate for the Secretary will establish and operate DATES: To be assured consideration, a Federally-facilitated Exchange in those comments must be received at one of hand or courier delivery may be delayed and received after the comment period. states. The Affordable Care Act and the addresses provided below, no later applicable Exchange regulations than 5 p.m. on January 21, 2014. For information on viewing public comments, see the beginning of the establish that health plans offered ADDRESSES: In commenting, refer to file through an Exchange must meet specific SUPPLEMENTARY INFORMATION section. code CMS–3288–NC. Because of staff standards to be certified as QHPs and to and resource limitations, we cannot FOR FURTHER INFORMATION CONTACT: offer coverage in an Exchange beginning accept comments by facsimile (FAX) Nidhi Singh Shah, (301) 492–5110, for in January 2014. transmission. general information. Elizabeth Flow- The Affordable Care Act also requires You may submit comments in one of Delwiche, (410) 786–1718, for matters the Secretary to develop a number of four ways (please choose only one of the relating to the Quality Rating System. reporting requirements to support the ways listed): SUPPLEMENTARY INFORMATION: Inspection delivery of quality health care coverage 1. Electronically. You may submit of Public Comments: All comments offered in the Exchanges. Specifically, electronic comments on this regulation received before the close of the sections 1311(c)(3) and (c)(4) of the to http://www.regulations.gov. Follow comment period are available for Affordable Care Act direct the Secretary the ‘‘Submit a comment’’ instructions. viewing by the public, including any to develop—(1) a system that rates 2. By regular mail. You may mail personally identifiable or confidential qualified health plans (QHPs) based on written comments to the following business information that is included in the relative quality and price; and (2) an address only: Centers for Medicare & a comment. We post all comments enrollee satisfaction survey system that Medicaid Services, Department of received before the close of the assesses the level of enrollee experience Health and Human Services, Attention: comment period on the following Web (that is, consumer experience) with CMS–3288–NC, P.O. Box 8016, site as soon as possible after they have QHPs. Because we believe that QHP Baltimore, MD 21244–8016. been received: http:// consumer experience is an important Please allow sufficient time for mailed www.regulations.gov. Follow the search part of rating the overall quality of a comments to be received before the instructions on that Web site to view QHP, we intend to use some of the close of the comment period. public comments. information collected from the Enrollee

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Satisfaction Survey in the Quality areas for future QRS measure Improvement in Health Care priorities,2 Rating System (QRS). enhancement and development. which includes reporting cross-cutting In addition to consumer experience, In future rulemaking, we intend to performance areas (that is, patient we believe that the QRS should provide propose requirements for QHPs and safety, prevention, population health, ratings of QHPs based on health care Exchanges regarding the collection and patient engagement, patient experience, quality, health outcomes, and cost of submission of specific quality-related and efficient resource use). The QRS care. We intend for all QHP issuers to information. In addition, we intend to should also facilitate reporting on report data at the product level for the provide future technical guidance for conditions or procedures of significant initial years of QRS implementation (for QHP issuers and Exchanges related to prevalence and importance (for example, at the Health Maintenance the QRS measure specifications, example, heart disease or breast cancer Organization level or Preferred Provider detailed rating methodology guidelines, screening). Organization level). We expect QHPs to • and data reporting and procedures. The QRS measures set should be provide product-level quality evidence-based and align, to the performance data for the QRS in general B. QRS Goals and Principles maximum extent possible, with priority topics, such as clinical effectiveness of measures currently implemented in We believe that the overarching goal care, patient safety, care coordination, federal, state, and private sector of the QRS is based on two fundamental prevention of disease and illness, access programs to minimize QHP issuer tenets: (1) Providing comparable and to care, member experience, plan burden. We have drawn on our useful information regarding the quality services and efficiency, and cost experience administering the Medicare of QHPs offered through the Exchanges reduction. The QRS ratings should Advantage 5-star rating system in to inform consumer and employer demonstrate sound, reliable, and developing this framework, and intend choice; and (2) facilitating regulatory meaningful information on the that the development and evolution of oversight of QHPs with regard to the performance of QHPs to ultimately the QRS should be public and quality standards set forth in the support informed decisions by transparent and should allow for Affordable Care Act. Consequently, we consumers. flexibility to incorporate changes in believe that the QRS should provide We have already promulgated measures and methodologies as medical QHP ratings based on health care regulations at 45 CFR 155.200(d) that treatments and technology evolve and quality and outcomes, consumer direct Exchanges to oversee the Exchanges mature. implementation of the QRS, and 45 CFR experience, and cost. We developed the 156.200(b)(5) 1 that directs QHP issuers following five general QRS principles to C. QRS Framework to report health care quality information guide the design of the QRS: We have developed a framework for to an Exchange. In this notice, we • The QRS should produce QHP creating, implementing, maintaining describe the overall QRS framework and quality performance information to and revising the QRS. The overall the factors that guided the development encourage the delivery of higher-quality framework consists of the following of the QRS. We solicit comments on the health care services, expand access to components that are guided by the QRS QRS measure sets for QHPs offered to care, and improve health outcomes for goals and principles: adult individuals and families, (QRS) QHP enrollees. • Performance Information and for child-only QHPs (Child QRS), • • the hierarchical structure of the measure The QRS should provide sound, Rating Methodology sets, and the elements of the rating reliable, and meaningful quality-related In total, there are ten associated methodology. We also solicit comments QHP information, which could be used elements that further clarify the on ways to ensure the integrity of QRS by consumers when comparing health Performance Information and Rating ratings, and the identification of priority plans, by QHPs for quality Methodology components (see Table 1 improvement, as well as by Exchanges below). 1 Patient Protection and Affordable Care Act; and CMS for QHP certification and Establishment of Exchanges and Qualified Health regulatory oversight activities. 2 See Report to Congress: National Strategy for Plans; Exchange Standards for Employers, 77 FR • Quality Improvement in Health Care available at 18310 (Mar. 27, 2012) (to be codified at 45 CFR The QRS should reflect the goals of http://www.ahrq.gov/workingforquality/nqs/ parts 155, 156, & 157). the National Strategy for Quality nqs2013annlrpt.htm.

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The goals and principles for the QRS • Scoring would be the process used Quality Measures, Initial Core Set of serve as the common thread throughout to convert the raw QRS measures data Children’s Health Care Quality the QRS framework. The Performance to points or percentiles on a common Measures, Clinical Quality Measures for Information component consists of four numeric scale. Eligible Professionals, and Medicare elements: (1) Measures Selection; (2) • Performance Classification would Part C and Part D Reporting Hierarchical Structure; (3) Organization be used to assign values to the QHP Requirements, as well as a variety of of Measures; and (4) Data Strategy. The scores; these values would then be used other quality measurement programs, Measures Selection element represents to categorize the QHP’s performance. including health plan accreditation the process for selecting and evaluating • Population and other adjustments programs.3 We believe it’s important the measure sets of the QRS. The would refer to changes made to raw data that measures, in the initial years, be Hierarchical Structure element or measures to remove potential bias specified for health plans (rather than establishes how the QRS measure sets introduced by factors that are not specified for health care providers) to are organized for scoring, rating, and modifiable by the QHP. ensure reliable data, reduce QHP burden reporting purposes. The Organization of • Peer Groups would be used to and facilitate consumer use and Measures element establishes the establish a benchmark dataset for comprehension. approach to create composites, domains, comparison of the individual QHP in Measures selection and measure set and summary indicators ratings. The the performance classification work, evaluation criteria were developed Data Strategy element, which is most often based on the geographic and using the National Quality Forum (NQF) discussed in section IV, refers to the time period considerations (for example, Measure Evaluation Criteria and the procedures for how the measures data current annual distribution of all plans Measures Application Partnership will be collected, calculated, submitted nationally). (MAP) Measure-Selection Criteria.45 and will help to inform how data will II. Performance Information be displayed. 3 In addition to the programs and measure sets Component mentioned above, CMS included the following The Rating Methodology component program measure sets in the environmental scan: aims to define how QHPs will be scored A. Measures Selection eValue8, Consumer Reports Health Plan Rankings, and compared, and as proposed, The process used to select the QRS Office of Personnel Management Federal Employee Health Benefit Program; Health Plan Accreditation consists of six elements: measure sets included a review of • programs: URAC, National Committee for Quality Aggregation Rules would be used to existing health plan measures, so that Assurance, Accreditation Association for determine how measures should be the QRS measures promote consistency Ambulatory Health Care; State Health Monitoring combined to create useful quality and harmonization across State, Federal Programs: Maryland HealthChoice Consumer information on health care areas such as Report Card, California Healthcare Quality Report government entities (for example, CMS) Card, NY Electronic Quality Assurance Reporting diabetes care or preventive health care. and private-sector efforts. Our review Requirements, Maryland Health Plan Report Card, • Sampling and Attribution would included national measure sets that California Medi-CAL Health Plan Quality Ratings; establish the selection criteria for were relevant to the intended purpose of State Based Exchanges: Oregon Health Insurance Exchange, New York State Health Benefit Exchange determining appropriate population the QRS and incorporate health plan California Health benefits Exchange samples that yield reliable and valid measures such as the Initial Adult 4 National Quality Forum. ‘‘Measure Evaluation information. Medicaid Core Set of Health Care Criteria, November 2012.’’ accessed January 23,

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The measure selection criteria, which complemented other information used proposed measure sets; the QRS represent industry-tested criteria and by the Exchange to support consumer measure set (for family and adult self- were supported as measure inclusion comparison of health plans or to assist only coverage) and a Child-only QRS criteria based on discussions with with QHP certification and plan measure set. Both measure sets were stakeholders and public comment monitoring. The comprehensiveness of selected based on the above described received in response to a Request for the draft QRS measure sets were key criteria. We solicit comments on the Information (RFI),6 focuses on the assessed by examining the measures and proposed measures in the QRS and following areas: ensuring that, to the extent possible Child-only QRS listed below in Table 2. • Importance: the extent to which the based on the availability of health-plan The proposed QRS measure set for measure is important to making specified measures, the sets included an family/adult self-only coverage consists significant gains in health care quality, appropriate mix of clinical care measure of a total of 42 measures—29 clinical improving health outcomes, has a high types, such as structure, process and measures, which encompass health care impact (high priority) and is relevant to outcome measures; experience of care topics of clinical effectiveness, the Exchange population and benefits measures; and measures that assess prevention, access and efficiency; and covered by QHPs. cost/resource use/appropriateness of 13 Consumer Assessment of Healthcare • ® Performance Gap: the extent to care and plan management. The draft Providers and Systems (CAHPS) which the measure demonstrates QRS measure sets were evaluated for the survey measures, which encompass opportunities for performance degree to which they promoted topics such as member experiences with improvement based on variation in equitable access and treatment by the QHP, providers and health care current health plan performance. services, including preventive care. The • considering healthcare disparities, and Reliability and Validity: the extent ways in which the measure sets can QRS measure set addresses the essential to which the measure produces capture data to promote strategies that health benefits for which health plan consistent (reliable) and credible (valid) address variations in care. In addition, measures are currently available. The results. the draft QRS measure sets were majority (76 percent) of the measures • Feasibility: the extent to which the evaluated based on the percentage of are presently NQF-endorsed and data related to the measure are readily measures that demonstrated parsimony, address all six National Quality Strategy available or could be captured without an efficient use of resources, priorities. Approximately, 83 percent of undue burden and can be implemented including—(1) the ready availability of the QRS measures are included in at by QHPs. least one of the reviewed Federally- • Alignment: the extent to which the automated data (available through existing claims, administrative, survey, established measure sets (for example, measure is included in one or more Office of Personnel Management Federal existing federal, state or private sector and health plan management databases); or (2) whether the measures are publicly Employee Health Benefit (OPM FEHB), health plan quality reporting programs. CMS Medicare Stars, CMS Adult The QRS measure set evaluation reported or currently in use as Medicaid Core Set,8 CMS Initial criteria were applied to identify contractual performance standards Children’s Core Set,9 Medicare Part C&D measurement gaps in the QRS measure between plans and public/private Plan Reporting). The remaining sets and helped to ensure that the purchasers or between plans and measures are used in other state based proposed QRS measure sets as a whole provider organizations or as in and private sector health plan reporting would best meet the needs of consumers accordance with statutory or regulatory requirements. programs such as Consumer Reports and the Exchanges. 10 The draft QRS measure sets were The draft measure sets were revised Health Plan Rankings or through evaluated to determine the extent to and the proposed QRS measure sets accreditation. QHPs offering family or which the measures were NQF-endorsed were created following this evaluation. adult self-only coverage would be and aligned with the NQS priorities. The proposed QRS measure sets were required to report on all 42 measures in Relevance to the Exchange consumer also evaluated and reviewed internally the QRS measure set. was evaluated by assessing whether the by CMS, externally by industry and The Child-only QRS measure set measure set addressed clinical stakeholders and in a field test using consists of a total of 25 measures—15 conditions of moderate or high available health plan data. Listening clinical measures and 10 CAHPS prevalence or high disease burden sessions were also conducted for measures. The Child-only measure set (applicable only to the clinical care insurers, states and consumer groups. includes a combination of process and measures) and whether the measure sets Although the measures contained in outcome measures. The Child-only QRS identified the needs of the consumer the QRS are consistent with the state-of- measure set addresses many of the related to health-plan operations and science for measuring health care essential health benefits. The majority of satisfaction. Relevance of the QRS quality, science and technology do not the measures (84 percent) are NQF- measure sets to QHPs was evaluated by yet allow us to measure or represent the endorsed and largely address the six assessing how well each of the sets quality of all care delivered through the National Quality Strategy priorities. addressed the benefit categories QHPs. Therefore, the QRS measure set Approximately 80 percent of the required of QHPs as part of the should not be viewed as representative measures are included in either the Affordable Care Act essential health of all care delivered by QHPs. OPM FEHB Set or the CMS Initial benefits requirement; 7 and if the sets Children’s Core Set. As with the QRS B. Individual Measures for QRS and measure set, the remaining measures in Child-Only QRS 2013, http://www.qualityforum.org/docs/measure_ evaluation_criteria.aspx. QHPs offered in the Exchange may 8 Initial Core Set of Health Care Quality Measures 5 Measure Applications Partnership. ‘‘MAP provide family/adult self-only coverage for Adults Enrolled in Medicaid (Medicaid Adult Working Measure Selection Criteria and Working or child-only coverage (child-only Core Set). February 2013. Guide.’’ National Quality Forum, December 2012. 9 SHO: #13–002. Letter to State Health Official 6 Request for Information Regarding Health Care QHPs) and therefore, there are two and State Medicaid Director. Re: 2013 Children’s Quality for Exchanges: http://www.gpo.gov/fdsys/ Core Set of Health Care Quality Measures. January pkg/FR–2012–11–27/pdf/2012–28473.pdf. Actuarial Value, and Accreditation; Final Rule 78 24, 2013. 7 Patient Protection and Affordable Care Act; FR 12834 (Feb. 25, 2013) (to be codified at 45 CFR 10 http://www.consumerreports.org/health/ Standards Related to Essential Health Benefits, parts 147, 155 and 156). insurance/health-insurance-plans.htm.

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the child-only set are used state based required to report on all 25 measures in and private sector health plan reporting the Child-only QRS measure set. programs. Child-only QHPs would be

TABLE 2—PROPOSED MEASURE SETS FOR THE QRS AND CHILD-ONLY QRS

Measure title NQF ID 11 QRS Child-only QRS

Adolescent Well-Care Visits ...... Not currently endorsed ...... X X Adult BMI Assessment ...... Not currently endorsed ...... X ...... Adults’ Access to Preventive and Ambulatory Health Services ...... Not currently endorsed ...... X ...... Annual Dental Visit ...... 1388 ...... X X Annual Monitoring for Patients on Persistent Medications ...... Not currently endorsed ...... X ...... Antidepressant Medication Management ...... 0105 ...... X ...... Appropriate Testing for Children With Pharyngitis ...... 0002 ...... X X Appropriate Treatment for Children With Upper Respiratory Infec- 0069 ...... X tion. Avoidance of Antibiotic Treatment in Adults with Acute Bronchitis .. 0058 ...... X ...... Breast Cancer Screening ...... Not currently endorsed ...... X ...... CAHPS—Aspirin Use and Discussion ...... Not currently endorsed ...... X ...... CAHPS—Coordination of Members’ Health Care Services ...... Not currently endorsed 12 ...... X X CAHPS—Cultural Competency ...... Not currently endorsed 13 ...... X X CAHPS—Customer Service ...... 0006 ...... X X CAHPS—Flu Shots for Adults ...... 0039 ...... X ...... CAHPS—Getting Care Quickly ...... 0006 ...... X X CAHPS—Getting Needed Care ...... 0006 ...... X X CAHPS—Global Rating of Health Plan ...... 0006 ...... X X CAHPS—Medical Assistance With Smoking and Tobacco Use 0027 ...... X ...... Cessation. CAHPS—Plan Information on Costs ...... 0006 ...... X X CAHPS—Rating of All Health Care ...... 0006 ...... X X CAHPS—Rating of Personal Doctor ...... 0006 ...... X X CAHPS—Rating of Specialist Seen Most Often ...... 0006 ...... X X Cervical Cancer Screening ...... 0032 ...... X ...... Child and Adolescent Access to PCPs ...... Not currently endorsed ...... X Childhood Immunization Status ...... 0038 ...... X X Chlamydia Screening in Women (Ages 16–20) ...... 0033 ...... X Cholesterol Management for Patients With Cardiovascular Condi- Not currently endorsed ...... X tions: LDL–C Control (<100 mg/Dl). Cholesterol Management for Patients With Cardiovascular Condi- Not currently endorsed ...... X tions: LDL–C Screening. Colorectal Cancer Screening ...... 0034 ...... X ...... Controlling High Blood Pressure ...... 0018 ...... X ...... Diabetes Care: Eye Exam (Retinal) Performed ...... 0055 ...... X ...... Diabetes Care: Hemoglobin A1c (HbA1c) Control <8.0% ...... 0575 ...... X ...... Follow-Up After Hospitalization for Mental Illness: 7 days ...... 0576 14 ...... X ...... Follow-Up Care for Children Prescribed ADHD Medication: Initi- 0108 15 ...... X X ation Phase. Follow-Up Care for Children Prescribed ADHD Medication: Con- 0108 ...... X tinuation and Maintenance Phase. HPV Vaccination for Female Adolescents ...... 1959 ...... X Immunizations for Adolescents ...... 1407 ...... X X Medication Management for People With Asthma ...... 1799 ...... X ...... Medication Management for People With Asthma (Ages 5–18) ...... 1799 ...... X Plan All—Cause Readmissions ...... 1768 ...... X ...... Prenatal and Postpartum Care: Postpartum Care ...... 1517 ...... X ...... Prenatal and Postpartum Care: Timeliness of Prenatal Care ...... 1517 ...... X ...... Relative Resource Use for People with Cardiovascular Condi- 1558 ...... X ...... tions—Inpatient Facility Index. Relative Resource Use for People with Diabetes—Inpatient Facility 1557 ...... X ...... Index. Use of Imaging Studies for Low Back Pain ...... 0052 ...... X ...... Weight Assessment and Counseling for Nutrition and Physical Ac- 0024 ...... X tivity for Children and Adolescents. Weight Assessment and Counseling for Nutrition and Physical Ac- 0024 16 ...... X ...... tivity for Children and Adolescents: BMI Percentile Documenta- tion. Well-Child Visits in the First 15 Months of Life ...... 1392 ...... X Well-Child Visits in the Third, Fourth, Fifth, and Sixth Years of Life 1516 ...... X X

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comments on the proposed hierarchical coverage. The QRS organizes measures structures outlined in Tables 3 and 4 and composites into a set of eight C. Organization and Hierarchical below. domains that represent unique and Structure of the QRS Measures The fundamental building block of important aspects of quality: (1) Clinical The Performance Information the QRS structure is the individual Effectiveness, (2) Patient Safety, (3) Care component of the QRS framework indicator or measure. The hierarchical Coordination, (4) Prevention, (5) Access, guided the proposed structure and structures include composites, which (6) Doctor and Care, (7) Efficiency and hierarchy, as well as the measures that represent the combination of two or Affordability (8) Plan Services. The will be included within each level of the more individual indicators or measures domains are grouped into three hierarchy. In order to be most useful to that result in a single score. Measures summary indicators which align with consumers, rating systems that can are grouped into composites so large CMS priority areas: (1) Clinical Quality present a large collection of measures amounts of information can be Management; (2) Member Experience; must be organized into a hierarchical streamlined and reported in formats that and (3) Plan Efficiency, Affordability structure. We considered organizing the are easy for consumers to comprehend. and Management. The summary measures in a manner to maximize the Grouping measures into composites also indicators organize the domains into approachability and understandability helps to reduce random variability, broad categories that the consumer may of the information provided by the QRS. differentiate performance across health use when evaluating health plan We are proposing hierarchical structures plans and provide meaningful options. All three summary indicators for the QRS and Child-only QRS that information to the consumer. Not all would then be grouped into a single allow consumers to easily use measures in the QRS are part of a Global Rating. The Global Rating is a information from the QRS in their composite. Table 3 provides the score that summarizes all measures, health plan comparisons for selection of organization of the proposed QRS composites and domains in the a QHP in the Exchange. We solicit measure set for family/adult self-only hierarchical structure of the QRS.

TABLE 3—PROPOSED QRS STRUCTURE

QRS summary indicator QRS domain QRS composite Measure title

Clinical Quality Management Care Coordination ...... No Composite ...... CAHPS—Coordination of Members’ Health Care Serv- ices. Clinical Effectiveness ...... No Composite ...... Medication Management for People With Asthma. Behavioral Health ...... Antidepressant Medication Management. Follow-Up After Hospitalization for Mental Illness: 7 days. Follow-Up Care for Children Prescribed ADHD Medi- cation: Initiation Phase. Cardiovascular Care...... Cholesterol Management for Patients With Cardio- vascular Conditions: LDL–C screening. Cholesterol Management for Patients With Cardio- vascular Conditions: LDL–C control (<100 mg/Dl). Controlling High Blood Pressure. Diabetes Care ...... Diabetes Care: Eye Exam (Retinal) Performed. Diabetes Care: Hemoglobin A1c (HbA1c) Control <8.0%. Patient Safety ...... No Composite ...... Annual Monitoring for Patients on Persistent Medica- tions. Plan All-Cause Readmissions. Prevention ...... Checking for Cancer ...... Breast Cancer Screening. Cervical Cancer Screening. Colorectal Cancer Screening. Maternal Health ...... Prenatal and Postpartum Care: Postpartum Care. Prenatal and Postpartum Care: Timeliness of Prenatal Care. Staying Healthy Adult ...... Adult BMI Assessment. CAHPS—Aspirin Use and Discussion. CAHPS—Flu Shots for Adults. CAHPS—Medical Assistance With Smoking and To- bacco Use Cessation. Staying Healthy Child ...... Annual Dental Visit. Childhood Immunization Status. Immunizations for Adolescents. Weight Assessment and Counseling for Children and Adolescents: BMI Percentile Documentation. Member Experience ...... Access ...... Access Preventive Visits ... Adolescent Well-Care Visits. Adults’ Access to Preventive and Ambulatory Health Services.

11 Definitions of NQF endorsed measures can be about the medical care you got?’’. The remaining 14 Measure includes only one indicator of the found here: http://www.qualityforum.org/ questions in the composite are new and have not NQF-endorsed measure. Home.aspx. yet been endorsed. 15 Measure includes only one indicator of the 12 13 Only one question within the CAHPS One of the questions within this CAHPS NQF-endorsed measure for the child-only QRS. Coordination of Members’ Health Care Services composite was modified from CAHPS Clinician and 16 composite is currently endorsed (#0007): ‘‘Did your Group 2.0, Adult Supplemental (NQF #1904) and Measure includes only one indicator of the personal doctor seem informed and up-to-date the other question is new. NQF-endorsed measure.

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TABLE 3—PROPOSED QRS STRUCTURE—Continued

QRS summary indicator QRS domain QRS composite Measure title

Well-Child Visits in the Third, Fourth, Fifth, and Sixth Years of Life. Access to Care ...... CAHPS—Getting Care Quickly. CAHPS—Getting Needed Care. Doctor and Care ...... Doctor and Care ...... CAHPS—Cultural Competency. CAHPS—Rating of All Health Care. CAHPS—Rating of Personal Doctor. CAHPS—Rating of Specialist Seen Most Often. Plan Efficiency, Affordability Efficiency and Affordability Efficient Care ...... Appropriate Testing for Children With Pharyngitis. and Management. Avoidance of Antibiotic Treatment in Adults with Acute Bronchitis. Relative Resource Use for People with Cardiovascular Conditions—Inpatient Facility Index. Relative Resource Use for People with Diabetes—In- patient Facility Index. Use of Imaging Studies for Low Back Pain. Plan Service ...... Member Experience with CAHPS—Customer Service. Health Plan. CAHPS—Global Rating of Health Plan. CAHPS—Plan Information on Costs.

The hierarchical structure for the only QRS measure set. The Child-only three summary indicators as the QRS: proposed Child-only QRS is similar to QRS organizes measures and composites (1) Clinical Quality Management; (2) the proposed QRS. The 25 measures of into a set of seven domains: (1) Care Member Experience; and (3) Plan the Child-only QRS provide the basic Coordination, (2) Clinical Effectiveness, Efficiency, Affordability and foundation of the structure. Not all (3) Prevention, (4) Access, (5) Doctor Management. All three summary measures in the Child-only QRS are part and Care, (6) Efficiency and indicators would then be grouped into of a composite. Table 4 below provides Affordability (7), and Plan Service. The a single Global Child-only Rating. the organization of the proposed Child- domains are grouped into the same

TABLE 4—PROPOSED CHILD-ONLY QRS STRUCTURE

Child-only summary indicator Child-only domain Child-only composite Measure title

Clinical Quality Management Care Coordination ...... No Composite ...... CAHPS—Coordination of Members’ Health Care Serv- ices. Clinical Effectiveness ...... No Composite...... Medication Management for People With Asthma (Ages 5–18). Behavioral Health Child ..... Follow-Up Care for Children Prescribed ADHD Medi- cation: Initiation Phase Follow-Up Care for Children Prescribed ADHD Medi- cation: Continuation and Maintenance (C and M) Phase. Prevention ...... Staying Healthy Child ...... Annual Dental Visit. Childhood Immunization Status. Chlamydia Screening in Women (Ages 16–20). Immunizations for Adolescents. Weight Assessment and Counseling for Children and Adolescents. HPV Vaccination for Female Adolescents. Member Experience ...... Access ...... Access Preventive Visits Adolescent Well-Care Visits. Child. Child and Adolescent Access to PCPs. Well-Child Visits in the First 15 Months of Life. Well-Child Visits in the Third, Fourth, Fifth, and Sixth Years of Life. Access to Care ...... CAHPS—Getting Care Quickly. CAHPS—Getting Needed Care. Doctor and Care ...... Doctor and Care ...... CAHPS—Rating of All Health Care. CAHPS—Rating of Personal Doctor. CAHPS—Rating of Specialist Seen Most Often. CAHPS—Cultural Competency. Plan Efficiency, Affordability Efficiency and Affordability Efficient Care Child ...... Appropriate Testing for Children With Pharyngitis. and Management. Appropriate Treatment for Children With Upper Res- piratory Infection. Plan Service ...... Member Experience with CAHPS—Customer Service. Health Plan. CAHPS—Global Rating of Health Plan.

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TABLE 4—PROPOSED CHILD-ONLY QRS STRUCTURE—Continued

Child-only summary indicator Child-only domain Child-only composite Measure title

CAHPS—Plan Information on Costs.

III. QRS Rating Methodology plan measure scores into performance elements of the Rating Methodology Component ratings using a set of rules and formulae. component). The six elements of the We solicit comments on the proposed proposed Rating Methodology are Once the QRS measures are organized six elements of the Rating Methodology grouped within three broad categories and the hierarchical structure is component that will guide the (Measure Scoring Rules, Aggregation established, the QRS rating calculation of the ratings (refer to Rules, and Reference Standards). See methodology would combine health Section I for the definitions of the Table 5.

TABLE 5—RATING METHODOLOGY CATEGORIES OF ELEMENTS

Category Rating category elements

Measure scoring rules ...... Sampling and Attribution. Scoring. Aggregation Rules ...... Aggregation Rules. Reference Standards ...... Performance Classification values. Population and Other Adjustments. Peer Groups.

Measure Scoring Rules will using a five-star scale. While it is our become available. We are also proposing standardize the individual measure intention for all QHPs in Exchanges to that a Global Rating will be displayed scores so that scores are on the same have publicly available ratings, some only when all three summary indicator scale (for example, all percentiles) and QHPs may have missing data due to ratings are available. For the lower can be combined meaningfully. data quality issues or low enrollment in levels of the hierarchy, the half-scale Aggregation Rules will be used to the initial years. rule would be applied, meaning that at combine measures to create quality We plan to use a full-scale rule at the a minimum, half of the components of constructs, such as diabetes care or global and summary indicator levels, so the domain or composite must be preventive health. Reference Standards that these scores are true representations present for the rating to be displayed. will determine how scores are converted of what they are intended to represent. Thus, if a domain is composed of three to categorical ratings (for example, star This method allows the consumer to composites, two would have to be groups on a scale of one to five) that can compare Global Ratings with the present for it to be displayed or if a be easily understood, compared, and important concepts at highest levels of composite is composed of two measures used by consumers. We intend to the hierarchy represented (refer to Table at least one would have to be present for publish, for review and comment, 3 for proposed QRS structure). it to be displayed. Specifically, we technical guidance that identifies Therefore, we are considering that, for solicit comment to inform future further details regarding the Rating QHPs that are missing any of the technical guidance regarding the full- Methodology component, elements and domain ratings used for creating the scale and half-scale rules described as measure specifications. Member Experience or Plan Efficiency, well as any additional ways to address data quality issues or potential low IV. QRS Data Strategy Cost Reduction and Management summary indicators would not have an enrollment in QHPs in the initial years. The QRS data strategy refers to how associated summary indicator rating V. Future Considerations QRS data are collected, calculated, and publically displayed. For the Clinical submitted and will help to inform how Quality Management indicator, QHPs We solicit comments to inform future data is displayed. We intend to develop must have the Care Coordination, technical guidance on priority areas for a data strategy that would facilitate Clinical Effectiveness, and Prevention additional measure enhancements and consistent data collection and domains present to have the summary development of the QRS. We intend to calculation across QHPs; and help to indicator rating publically displayed. continually monitor the QRS and make ensure the integrity and accuracy of We have conducted preliminary testing necessary adjustments to ensure that the QRS ratings. We solicit comments on that demonstrates that a Clinical Quality methodology and measures remain potential ways to enhance the QRS data summary indicator can be reported as consistent with the intended goals and strategy for QHP issuers. We intend to long as Care Coordination, Clinical principles of the QRS. As advancements direct QHP issuers to submit validated Effectiveness, and Prevention domains in health plan quality measurement and data to ensure that QRS data displayed are present even if the Patient Safety reporting are made, we will consider for public reporting are accurate, valid domain is not reportable because this ways in which the QRS may evolve and comparable, and to allow domain did not impact QHP (such as the potential selection of consumers objective and meaningful comparability. We believe that Patient measures that are reportable through comparisons of the QHPs’ quality data. Safety is important to measure and it is disease registries or all-payer claims We believe that the ratings assigned a CMS priority. We plan to further databases). In addition, we will consider must reflect true differences in quality. develop this domain of the QRS as more potential factors for the retirement of We intend to display Global Ratings health-plan patient safety measures measures.

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As the Exchanges mature and approval of the information collection Need and Use of Information enrollment in QHPs expands, we will listed below. This proposed information Collection: The National Cancer consider reporting the QRS at more collection was previously published in Institute (NCI) Central Institutional granular levels (that is, QHP metal the Federal Register on August 22, Review Board (CIRB) provides a levels as defined in section 1302(d)(1) of 2013, Vol. 78, P. 52204 and allowed 60- centralized approach to human subject the Affordable Care Act). We will also days for public comment. There were no protection and provides a cost efficient consider the development of a quality public comments received. The purpose approach avoiding duplication of effort rating system applicable to other of this notice is to allow an additional at each institution. The CIRB provides Exchange offerings, such as stand-alone 30 days for public comment. The the services of a fully constituted IRB dental plans, catastrophic plans and National Cancer Institute (NCI), and provides a comprehensive and health care saving accounts. National Institutes of Health, may not efficient mechanism to meet regulatory conduct or sponsor, and the respondent requirements pertaining to human VI. Collection of Information is not required to respond to, an subject protections including: initial Requirements information collection that has been reviews, continuing reviews, review of This document does not impose extended, revised, or implemented on or amendments, and adverse events. The information collection and after October 1, 1995, unless it displays Initiative consists of three central IRBs: recordkeeping requirements. However, a currently valid OMB control number. Adult CIRB—late phase emphasis, it does make reference to an information Direct Comments to OMB: Written Adult CIRB—early phase emphasis, and collection activity. The aforementioned comments and/or suggestions regarding Pediatric CIRB. CIRB membership Enrollee Satisfaction Survey is currently the item(s) contained in this notice, includes oncology physicians, surgeons, seeking OMB approval via notice and especially regarding the estimated nurses, patient advocates, ethicists, comment periods separate from this public burden and associated response statisticians, pharmacists, attorneys and proposed notice. The 60-day Federal time, should be directed to the: Office other health professionals. The benefits Register notice published on June 28, of Management and Budget, Office of of the CIRB Initiative reaches research 2013. Additionally, in future Regulatory Affairs, OIRA_submission@ participants, investigators and research rulemaking, we will identify omb.eop.gov or by fax to 202–395–6974, staff, Institutional Review Boards (IRB), information collection requirements Attention: NIH Desk Officer. and Institutions. Benefits include: study associated with the QRS and solicit Comment Due Date: Comments participants having dedicated review of public comment at that time. regarding this information collection are NCI-sponsored trials for participant Dated: November 6, 2013. best assured of having their full effect if protections, access to more trials more Marilyn Tavenner, received within 30-days of the date of quickly and access to trials for rare Administrator, Centers for Medicare & this publication. diseases, accrual to trials begin more Medicaid Services. FOR FURTHER INFORMATION: To obtain a rapidly, ease of opening trials, [FR Doc. 2013–27649 Filed 11–14–13; 4:15 pm] copy of the data collection plans and elimination of need to submit study BILLING CODE 4120–01–P instruments or request more information materials to local IRBs, and elimination on the proposed project contact: CAPT of the need for a full board review. The Michael Montello, Pharm. D., MBA, benefits to the National Clinical Trials DEPARTMENT OF HEALTH AND Cancer Therapy Evaluation Program, Network and Experimental Therapy- HUMAN SERVICES Operations and Informatics Branch, Clinical Trials Network include a cost 9609 Medical Center Drive, Rockville, efficient approach that avoids National Institutes of Health MD 20850 or call non-toll-free number duplication of efforts at each institution. 240–276–6080 or Email your request, A variety of information collection tools Submission for OMB Review; 30-Day including your address to: are needed to support NCI’s CIRB Comment Request: NIH NCI Central [email protected]. Formal requests activities which include: worksheets, Institutional Review Board (CIRB) for additional plans and instruments forms and a survey that is provided to Initiative (NCI) must be requested in writing. all customers contacting the CIRB SUMMARY: Under the provisions of Proposed Collection: NIH NCI Central helpdesk. Section 3507(a)(1)(D) of the Paperwork Institutional Review Board (CIRB) OMB approval is requested for 3 Reduction Act of 1995, the National Initiative (NCI), 0925–0625, Expiration years. There are no costs to respondents Institutes of Health (NIH), has submitted Date 1/31/2014, Revision, National other than their time. The total to the Office of Management and Budget Cancer Institute (NCI), National estimated annualized burden hours are (OMB) a request for review and Institutes of Health (NIH). 2,199.

ESTIMATES OF ANNUAL BURDEN HOURS

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

CIRB Customer Satisfaction Survey ...... Participants/Board 1,500 1 10/60 250 Members. Request for 30 Day Website Access Form ...... Participants ...... 25 1 10/60 4 Authorization Agreement and Division of Respon- Participants ...... 340 1 30/60 170 sibilities between the NCI CIRB and Signatory Institution. NCI CIRB Signatory Enrollment Form ...... Participants ...... 40 1 4 160 IRB Staff at Signatory Institution’s IRB ...... Participants ...... 25 1 10/60 4 Investigator at Signatory Institution ...... Participants ...... 65 1 10/60 11 Research Staff at Signatory Institution ...... Participants ...... 65 1 10/60 11

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ESTIMATES OF ANNUAL BURDEN HOURS—Continued

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

Investigator at Affiliate Institution with an IRB ...... Participants ...... 25 1 10/60 4 Research Staff at Affiliate Institution with an IRB ... Participants ...... 25 1 10/60 4 Investigator at Affiliate Institution without an IRB .... Participants ...... 25 1 10/60 4 Research Staff at Affiliate Institution without an IRB Participants ...... 25 1 10/60 4 Institutional Contact for Signatory Institution ...... Participants ...... 65 1 10/60 11 IRB at Signatory Institution ...... Participants ...... 25 1 10/60 4 Component Institution at Signatory Institution ...... Participants ...... 65 1 10/60 11 IRB at Affiliate Institution ...... Participants ...... 25 1 10/60 4 Affiliate Institution without an IRB ...... Participants ...... 25 1 10/60 4 Facilitated Review Acceptance Form ...... Participants ...... 300 1 10/60 50 Study Review Responsibility Transfer Form ...... Participants ...... 80 1 10/60 13 Annual Signatory Institution Worksheet About Participants ...... 120 1 20/60 40 Local Context. Annual Principal Investigator Worksheet About Participants ...... 120 1 20/60 40 Local Context. Study-Specific Worksheet About Local Context ...... Participants ...... 220 1 20/60 73 Study Closure or Transfer of Study Review Re- Participants ...... 120 1 10/60 20 sponsibility Form. Potential Unanticipated Problem or Serious or Participants ...... 120 1 15/60 30 Continuing Noncompliance Reporting Form. Add or Remove Signatory and/or Component Insti- Participants ...... 120 1 10/60 20 tution Personnel. Add or Remove Affiliate Institution Personnel ...... Participants ...... 120 1 10/60 20 Add or Remove Component Institution ...... Participants ...... 120 1 10/60 20 Add or Remove Affiliate Institution ...... Participants ...... 120 1 10/60 20 One Time Study Roll Over Worksheet ...... Participants ...... 120 1 10/60 20 Change of Signatory Institution PI Form ...... Participants ...... 120 1 10/60 20 CIRB Board Member Biographical Sketch Form ..... Board Members ...... 25 1 15/60 6.25 CIRB Board Member Contact Information Form ..... Board Members ...... 25 1 10/60 4 CIRB Board Member W–9 ...... Board Members ...... 25 1 15/60 6 CIRB Board Member Non-Disclosure Agreement Board Members...... 25 1 10/60 4 (NDA). CIRB Direct Deposit Form ...... Board Members ...... 25 1 15/60 6 NCI Adult/Pediatric CIRB Application for Treatment Participants ...... 25 1 2 50 Studies. NCI Adult/Pediatric CIRB Application for Ancillary Participants ...... 10 1 2 20 Studies. NCI Adult/Pediatric CIRB Application for Con- Participants ...... 80 1 1 80 tinuing Review. Summary of CIRB Application Revisions ...... Participants ...... 20 1 30/60 10 Locally-Developed Material Submission Form ...... Participants ...... 15 1 15/60 4 Application Request to Review Translated Docu- Participants ...... 15 1 15/60 4 ments. Adult Initial Review of Cooperative Group Protocol Board Members ...... 15 1 4 60 Pediatric Initial Review of Cooperative Group Pro- Board Members ...... 15 1 4 60 tocol. Adult Continuing Review of Cooperative Group Board Members ...... 130 1 1 130 Protocol. Pediatric Continuing Review of Cooperative Group Board Members ...... 70 1 1 70 Protocol. Adult Amendment of Cooperative Group Protocol .. Board Members ...... 10 1 2 20 Pediatric Amendment of Cooperative Group Pro- Board Members ...... 10 1 2 20 tocol. Adult Cooperative Group Response to CIRB Re- Participants ...... 15 1 1 15 view. Pediatric Cooperative Group Response to CIRB Participants ...... 10 1 1 10 Review. Adult Pharmacist’s Review of a Cooperative Group Board Members ...... 10 1 2 20 Study. Pediatric Pharmacist’s Review of a Cooperative Board Members ...... 20 1 2 40 Group Study. CIRB Statistical Reviewer Form ...... Board Members ...... 30 1 30/60 15 Determination of Unanticipated Problem (UP) and/ Board Members ...... 40 1 10/60 7 or Serious or Continuing Noncompliance (SCN). Adult Expedited Amendment Review ...... Board Members ...... 350 1 30/60 175 Ped Expedited Amendment Review ...... Board Members ...... 150 1 30/60 75 Adult Expedited Continuing Review ...... Board Members ...... 120 1 30/60 60 Ped Expedited Continuing Review ...... Board Members ...... 70 1 30/60 35 Adult Expedited Study Closure ...... Board Members ...... 20 1 20/60 7

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ESTIMATES OF ANNUAL BURDEN HOURS—Continued

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

Ped Expedited Study Closure ...... Board Members ...... 20 1 20/60 7 Adult Expedited Study Chair Response to Re- Board Members ...... 350 1 15/60 88 quired Mod. Ped Expedited Study Chair Response to Required Board Members ...... 150 1 15/60 38 Mod. Reviewer Worksheet of Translated Documents ...... Board Members ...... 15 1 15/60 4 Reviewer Advertisement Checklist ...... Board Members ...... 10 1 20/60 3

Dated: November 7, 2013. Direct Comments to OMB: Written on CTEP-supported studies, and to Vivian Horovitch-Kelley, comments and/or suggestions regarding institute programs that minimize Program Analyst, National Institutes of the item(s) contained in this notice, redundancy among grant and contract Health. especially regarding the estimated holders, thereby reducing overall cost of [FR Doc. 2013–27556 Filed 11–18–13; 8:45 am] public burden and associated response maintaining a robust treatment trials BILLING CODE 4140–01–P time, should be directed to the: Office program. Currently guided by the efforts of Management and Budget, Office of of the Clinical Trials Working Group Regulatory Affairs, OIRA_submission@ (CTWG) and the Institute of Medicine DEPARTMENT OF HEALTH AND omb.eop.gov or by fax to 202–395–6974, (IOM) recommendations to revitalize the HUMAN SERVICES Attention: NIH Desk Officer. Cooperative Group program, CTEP has Comment Due Date: Comments funded the Cancer Trials Support Unit National Institutes of Health regarding this information collection are (CTSU). The CTSU collects best assured of having their full effect if standardized forms to process site Submission for OMB Review; 30-Day received within 30-days of the date of regulatory information, changes to Comment Request: Cancer Trials this publication. membership, patient enrollment data, Support Unit (CTSU) (NCI) FOR FURTHER INFORMATION CONTACT: To and routing information for case report SUMMARY: Under the provisions of obtain a copy of the data collection forms. In addition, CTSU collects Section 3507(a)(1)(D) of the Paperwork plans and instruments or request more annual surveys of customer satisfaction Reduction Act of 1995, the National information on the proposed project for clinical site staff using the CTSU Institutes of Health (NIH), has submitted contact: Michael Montello, Cancer Help Desk, the CTSU Web site, and the to the Office of Management and Budget Therapy Evaluation Program, Division Protocol and Information Office (PIO). (OMB) a request for review and of Cancer Treatment and Diagnosis, An ongoing user satisfaction survey is in approval of the information collection 9609 Medical Center Drive, Rockville, place for the Oncology Patient listed below. This proposed information MD 20850 or call non-toll-free number Enrollment Network (OPEN). User collection was previously published in 240–276–6080 or Email your request, satisfaction surveys are compiled as part the Federal Register on August 30, including your address to: montellom@ of the project quality assurance 2013, Vol. 78, p. 53763 and allowed 60- mail.nih.gov. Formal requests for activities and are used to direct days for public comment. There have additional plans and instruments must improvements to processes and been no public comments. The purpose be requested in writing. technology. Additionally, there are three of this notice is to allow an additional Proposed Collection: Cancer Trials surveys that collect information about 30 days for public comment. The Support Unit (CTSU) (NCI), 0925–0624, health professional’s interests in clinical National Cancer Institute (NCI), Expiration Date 12/31/2013, REVISION, trial, potential issues with opening and National Institutes of Health, may not National Cancer Institute (NCI), accruing to a clinical trial and reasons conduct or sponsor, and the respondent National Institutes of Health (NIH). for low accrual. is not required to respond to, an Need and Use of Information OMB approval is requested for 3 information collection that has been Collection: The Cancer Therapy years. There are no costs to respondents extended, revised, or implemented on or Evaluation Program (CTEP) establishes other than their time. The total after October 1, 1995, unless it displays and supports programs to facilitate the estimated annualized burden hours are a currently valid OMB control number. participation of qualified investigators 25,205.

ESTIMATED ANNUALIZED BURDEN HOURS

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

CTSU IRB/Regulatory Approval Transmittal Form Health Care Practitioner 9,000 12 2/60 3,600 CTSU IRB Certification Form ...... Health Care Practitioner 8,500 12 10/60 17,000 CTSU Acknowledgement ...... Health Care Practitioner 500 12 5/60 500 Withdrawal from Protocol Participation Form ...... Health Care Practitioner 50 12 5/60 50 Site Addition ...... Health Care Practitioner 25 12 5/60 25 CTSU Roster Update Form ...... Health Care Practitioner 50 12 4/60 40 CTSU Radiation Therapy Facilities Inventory Health Care Practitioner 20 12 30/60 120 Form.

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ESTIMATED ANNUALIZED BURDEN HOURS—Continued

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

CTSU IBCSG Drug Accountability Form ...... Health Care Practitioner 11 12 10/60 22 CTSU IBCSG Transfer of Investigational Agent Health Care Practitioner 3 12 20/60 12 Form. Site Initiated Data Update Form ...... Health Care Practitioner 10 12 10/60 20 Data Clarification Form ...... Health Care Practitioner 341 12 20/60 1,364 RTOG 0834 CTSU Data Transmittal Form ...... Health Care Practitioner 60 12 10/60 120 MC0845(8233) CTSU Data Transmittal ...... Health Care Practitioner 50 12 10/60 100 CTSU Generic Data Transmittal Form ...... Health Care Practitioner 500 12 10/60 1,000 CTSU Patient Enrollment Transmittal Form ...... Health Care Practitioner 200 12 10/60 400 CTSU P2C Enrollment Transmittal Form ...... Health Care Practitioner 15 12 10/60 30 CTSU Transfer Form ...... Health Care Practitioner 20 12 10/60 40 CTSU System Account Request Form ...... Health Care Practitioner 20 12 20/60 80 CTSU Request for Clinical Brochure ...... Health Care Practitioner 75 12 10/60 150 CTSU Supply Request Form ...... Health Care Practitioner 75 12 10/60 150 CTSU Web Site Customer Satisfaction Survey ... Health Care Practitioner 275 1 15/60 69 CTSU Helpdesk Customer Satisfaction Survey ... Health Care Practitioner 325 1 15/60 81 CTSU OPEN Survey ...... Health Care Practitioner 60 1 15/60 15 PIO Customer Satisfaction Survey ...... Health Care Practitioner 100 1 5/60 8 Concept Clinical Trial Survey ...... Health Care Practitioner 500 1 5/60 42 Prospective Clinical Trial Survey ...... Health Care Practitioner 1,000 1 5/60 83 Low Accrual Clinical Trial Survey ...... Health Care Practitioner 1,000 1 5/60 83

Dated: November 7, 2013. worldwide, and the field of use may be patent rights include claims to vectors Vivian Horovitch-Kelley, limited to: incorporating the CARs, as well as NCI Project Clearance Liaison, National ‘‘The research, development, and methods of destroying multiple Institutes of Health. manufacture of chimeric antigen receptor myeloma cells using T-cells engineered [FR Doc. 2013–27554 Filed 11–18–13; 8:45 am] (CAR)-expressing human T-cells directed to express a CAR. BILLING CODE 4140–01–P against B-cell Maturation Antigen (BCMA) The prospective exclusive evaluation for the treatment of multiple myeloma.’’ option license is being considered under Upon the expiration or termination of the small business initiative launched DEPARTMENT OF HEALTH AND the exclusive evaluation option license, on 1 October 2011, and will comply HUMAN SERVICES Thirsty Brook Bioscience, Inc. will have with the terms and conditions of 35 the exclusive right to execute an National Institutes of Health U.S.C. 209 and 37 CFR part 404. The exclusive commercialization license prospective exclusive evaluation option Prospective Grant of Exclusive which will supersede and replace the license, and a subsequent exclusive License: The Development of Modified exclusive evaluation option license with commercialization license, may be T-cells for the Treatment of Multiple no greater field of use and territory than granted unless the NIH receives written Myeloma granted in the exclusive evaluation evidence and argument that establishes option license. that the grant of the license would not AGENCY: National Institutes of Health, DATES: Only written comments or be consistent with the requirements of HHS. applications for a license (or both) 35 U.S.C. 209 and 37 CFR part 404 which are received by the NIH Office of ACTION: Notice. within fifteen (15) days from the date of Technology Transfer on or before this published notice. December 4, 2013 will be considered. SUMMARY: This is notice, in accordance Complete applications for a license in with 35 U.S.C. 209 and 37 CFR Part 404, ADDRESSES: Requests for copies of the the field of use filed in response to this that the National Institutes of Health, patent application, inquiries, comments, notice will be treated as objections to Department of Health and Human and other materials relating to the the grant of the contemplated exclusive Services, is contemplating the grant to contemplated exclusive evaluation evaluation option license. Comments Thirsty Brook Bioscience, Inc., of an option license should be directed to: and objections submitted to this notice exclusive evaluation option license to Patrick McCue, Ph.D., Licensing and will not be made available for public practice the inventions embodied in the Patenting Manager, Office of inspection and, to the extent permitted Technology Transfer, National Institutes following US Patent Applications (and by law, will not be released under the of Health, 6011 Executive Boulevard, all continuing applications and foreign Freedom of Information Act, 5 U.S.C. Suite 325, Rockville, MD 20852–3804; counterparts): Serial No. 61/622,6008 552. entitled, ‘‘Chimeric Antigen Receptors Telephone: (301) 435–5560; Facsimile: Targeting B-cell Maturation Antigen’’ (301) 402–0220; Email: mccuepat@ Dated: November 13, 2013. [HHS Ref. E–040–2012/0–US–01]. The mail.nih.gov. Richard U. Rodriguez, patent rights in these inventions have SUPPLEMENTARY INFORMATION: The Director, Division of Technology Development been assigned to the Government of the invention concerns a series of CARs that & Transfer, Office of Technology Transfer, United States of America. specifically target BCMA (a.k.a. CD269), National Institutes of Health. The prospective exclusive evaluation a protein that is highly expressed on the [FR Doc. 2013–27601 Filed 11–18–13; 8:45 am] option license territory may be surface of multiple myeloma cells. The BILLING CODE 4140–01–P

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DEPARTMENT OF HEALTH AND DEPARTMENT OF HEALTH AND Contact Person: Mehrdad Mohseni, MD, HUMAN SERVICES HUMAN SERVICES Scientific Review Officer, Center for Scientific Review, National Institutes of National Institutes of Health National Institutes of Health Health, 6701 Rockledge Drive, Room 5211, MSC 7854, Bethesda, MD 20892, 301–435– Center for Scientific Review; Amended Center for Scientific Review; Notice of 0484, [email protected]. Notice of Meeting Closed Meetings Name of Committee: AIDS and Related Pursuant to section 10(d) of the Research Integrated Review Group; Notice is hereby given of a change in Federal Advisory Committee Act, as Behavioral and Social Science Approaches to the meeting of the Center for Scientific amended (5 U.S.C. App.), notice is Preventing HIV/AIDS Study Section. Review Special Emphasis Panel, hereby given of the following meetings. Date: December 12–13, 2013. October 09, 2013, 08:00 a.m. to October The meetings will be closed to the Time: 8:00 a.m. to 5:00 p.m. 09, 2013, 06:00 p.m., Residence Inn public in accordance with the Agenda: To review and evaluate grant Bethesda, 7335 Wisconsin Avenue, provisions set forth in sections applications. Bethesda, MD 20814, which was 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., Place: The Fairmont Washington, DC, 2401 published in the Federal Register on as amended. The grant applications and M Street NW., Washington, DC 20037. September 17, 2013, 78 FR 57169. the discussions could disclose Contact Person: Jose H Guerrier, Ph.D., confidential trade secrets or commercial Scientific Review Officer, Center for The meeting will be held at the Scientific Review, National Institutes of National Institutes of Health, 6701 property such as patentable material, and personal information concerning Health, 6701 Rockledge Drive, Room 5222, Rockledge Drive, Bethesda, MD 20892 individuals associated with the grant MSC 7852, Bethesda, MD 20892, 301–435– on December 19, 2013, starting at 12:00 applications, the disclosure of which 1137, [email protected]. p.m. and ending at 05:00 p.m. The would constitute a clearly unwarranted Name of Committee: Center for Scientific meeting is closed to the public. invasion of personal privacy. Review Special Emphasis Panel; Special Topic: Hematology and Vascular Dated: November 13, 2013. Name of Committee: Center for Scientific Pathobiology. Melanie J. Gray, Review Special Emphasis Panel; PAR11–45: International Research in Infectious Diseases Date: December 12–13, 2013. Program Analyst, Office of Federal Advisory Time: 10:00 a.m. to 7:00 p.m. Committee Policy. including AIDS (IRIDA). Date: November 25, 2013. Agenda: To review and evaluate grant [FR Doc. 2013–27595 Filed 11–18–13; 8:45 am] Time: 9:30 a.m. to 1:00 p.m. applications. BILLING CODE 4140–01–P Agenda: To review and evaluate grant Place: National Institutes of Health, 6701 applications. Rockledge Drive, Bethesda, MD 20892 Place: National Institutes of Health, 6701 (Virtual Meeting). DEPARTMENT OF HEALTH AND Rockledge Drive, Bethesda, MD 20892 Contact Person: Ai-Ping Zou, MD, Ph.D., (Telephone Conference Call). HUMAN SERVICES Scientific Review Officer, Center for Contact Person: Soheyla Saadi, Ph.D., Scientific Review Officer, Center for Scientific Review, National Institutes of National Institutes of Health Scientific Review, National Institutes of Health, 6701 Rockledge Drive, Room 4118, Health, 6701 Rockledge Drive, Room 3211, MSC 7814, Bethesda, MD 20892, 301–408– National Heart, Lung, and Blood MSC 7808, Bethesda, MD 20892, 301–435– 9497, [email protected]. Institute Amended; Notice of Meeting 0903, [email protected]. Name of Committee: Center for Scientific This notice is being published less than 15 Review Special Emphasis Panel; PAR11–45: days prior to the meeting due to the timing Notice is hereby given of a change in International Research in Infectious Diseases the meeting of the National Heart, Lung, limitations imposed by the review and funding cycle. including AIDS, (IRIDA). and Blood Institute Special Emphasis Date: December 16, 2013. Panel, October 10, 2013, 08:00 a.m. to Name of Committee: Center for Scientific Review Special Emphasis Panel; PAR11–45: Time: 2:00 p.m. to 4:00 p.m. October 10, 2013, 12:00 p.m., International Research in Infectious Diseases Agenda: To review and evaluate grant Doubletree Hotel Bethesda, (Formerly including AIDS (IRIDA). applications. Holiday Inn Select), 8120 Wisconsin Date: December 6, 2013. Place: National Institutes of Health, 6701 Avenue, Bethesda, MD, 20814 which Time: 9:00 a.m. to 1:00 p.m. Rockledge Drive, Bethesda, MD 20892 was published in the Federal Register Agenda: To review and evaluate grant (Telephone Conference Call). on September 20, 2013, 78 FR 57866. applications. Contact Person: Soheyla Saadi, Ph.D., Place: National Institutes of Health, 6701 Scientific Review Officer, Center for Rockledge Drive, Bethesda, MD 20892 The notice is amended to change the Scientific Review, National Institutes of (Telephone Conference Call). date of the meeting from October 10, Health, 6701 Rockledge Drive, Room 3211, 2013 to December 17, 2013. The meeting Contact Person: Soheyla Saadi, Ph.D., Scientific Review Officer, Center for MSC 7808, Bethesda, MD 20892, 301–435– is closed to the public. Scientific Review, National Institutes of 0903, [email protected]. Dated: November 13, 2013. Health, 6701 Rockledge Drive, Room 3211, (Catalogue of Federal Domestic Assistance Michelle Trout, MSC 7808, Bethesda, MD 20892,301–435– Program Nos. 93.306, Comparative Medicine; 0903, [email protected]. 93.333, Clinical Research, 93.306, 93.333, Program Analyst, Office of Federal Advisory Name of Committee: Center for Scientific 93.337, 93.393–93.396, 93.837–93.844, Committee Policy. Review Special Emphasis Panel; PAR Panel: 93.846–93.878, 93.892, 93.893, National [FR Doc. 2013–27590 Filed 11–18–13; 8:45 am] Awards for Research on Imaging and Institutes of Health, HHS) BILLING CODE 4140–01–P Biomarkers for Early Cancer, Detection (R01). Date: December 10, 2013. Dated: November 13, 2013. Time: 11:45 a.m. to 5:00 p.m. David Clary, Agenda: To review and evaluate grant Program Analyst, Office of Federal Advisory applications. Committee Policy. Place: National Institutes of Health, 6701 Rockledge Drive, Bethesda, MD 20892 [FR Doc. 2013–27600 Filed 11–18–13; 8:45 am] (Virtual Meeting). BILLING CODE 4140–01–P

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DEPARTMENT OF HEALTH AND (Catalogue of Federal Domestic Assistance Name of Committee: National Heart, Lung, HUMAN SERVICES Program Nos. 93.233, National Center for and Blood Institute Special Emphasis Panel; Sleep Disorders Research; 93.837, Heart and PETAL Clinical Coordinating Center Review. National Institutes of Health Vascular Diseases Research; 93.838, Lung Date: December 10, 2013. Diseases Research; 93.839, Blood Diseases Time: 10:00 a.m. to 2:00 p.m. National Heart, Lung, and Blood and Resources Research, National Institutes Agenda: To review and evaluate grant Institute; Notice of Closed Meetings of Health, HHS). applications. Dated: November 13, 2013. Place: Georgetown University Hotel and Pursuant to section 10(d) of the Conference Center, 3800 Reservoir Rd. NW., Michelle Trout, Federal Advisory Committee Act, as Washington, DC 20057. amended (5 U.S.C. App.), notice is Program Analyst, Office of Federal Advisory Contact Person: William J Johnson, Ph.D., Committee Policy. hereby given of the following meetings. Scientific Review Officer, Office of Scientific The meetings will be closed to the [FR Doc. 2013–27593 Filed 11–18–13; 8:45 am] Review/DERA, National Heart, Lung, and BILLING CODE 4140–01–P Blood Institute, 6701 Rockledge Drive, Room public in accordance with the 7178, Bethesda, MD 20892–7924, 301–435– provisions set forth in sections 0317, [email protected]. 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., (Catalogue of Federal Domestic Assistance as amended. The grant applications and DEPARTMENT OF HEALTH AND HUMAN SERVICES Program Nos. 93.233, National Center for the discussions could disclose Sleep Disorders Research; 93.837, Heart and confidential trade secrets or commercial National Institutes of Health Vascular Diseases Research; 93.838, Lung property such as patentable material, Diseases Research; 93.839, Blood Diseases and personal information concerning National Heart, Lung, and Blood and Resources Research, National Institutes individuals associated with the grant Institute; Notice of Closed Meetings of Health, HHS) applications, the disclosure of which Dated: November 13, 2013. Pursuant to section 10(d) of the would constitute a clearly unwarranted Michelle Trout, invasion of personal privacy. Federal Advisory Committee Act, as amended (5 U.S.C. App.), notice is Program Analyst, Office of Federal Advisory Name of Committee: National Heart, Lung, Committee Policy. and Blood Institute Special Emphasis Panel; hereby given of the following meetings. The meetings will be closed to the [FR Doc. 2013–27591 Filed 11–18–13; 8:45 am] Research Career Development Award (K23). BILLING CODE 4140–01–P Date: December 12, 2013. public in accordance with the Time: 4:00 p.m. to 4:45 p.m. provisions set forth in sections Agenda: To review and evaluate grant 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., DEPARTMENT OF HEALTH AND applications. as amended. The grant applications and HUMAN SERVICES Place: National Institutes of Health, 6701 the discussions could disclose Rockledge Drive, Room 7186, Bethesda, MD confidential trade secrets or commercial 20892–7924 (Telephone Conference Call). National Institutes of Health Contact Person: Keith A. Mintzer, Ph.D., property such as patentable material, Scientific Review Officer, Office of Review and personal information concerning Center for Scientific Review; Notice of Branch/DERA, National Heart, Lung, and individuals associated with the grant Closed Meetings Blood Institute, 6701 Rockledge Drive, Room applications, the disclosure of which 7186, Bethesda, MD 20892–7924, 301–594– would constitute a clearly unwarranted Pursuant to section 10(d) of the 7947, [email protected]. invasion of personal privacy. Federal Advisory Committee Act, as Name of Committee: National Heart, Lung, amended (5 U.S.C. App.), notice is Name of Committee: National Heart, Lung, and Blood Institute Special Emphasis Panel; hereby given of the following meetings. and Blood Institute Special Emphasis Panel; Clinical Trial of CVD in People with HIV. The meetings will be closed to the PETAL Clinical Centers Review. Date: December 13, 2013. public in accordance with the Time: 10:00 a.m. to 11:30 a.m. Date: December 9–10, 2013. Time: 12:30 p.m. to 10:00 a.m. provisions set forth in sections Agenda: To review and evaluate grant 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., applications. Agenda: To review and evaluate grant Place: National Institutes of Health, 6701 applications. as amended. The grant applications and Rockledge Drive, Room 7190, Bethesda, MD Place: Georgetown University Hotel and the discussions could disclose 20892–7924 (Telephone Conference Call). Conference Center, 3800 Reservoir Rd. NW., confidential trade secrets or commercial Contact Person: Keary A. Cope, Ph.D., Washington, DC 20057. property such as patentable material, Scientific Review Officer, Office of Scientific Contact Person: William J Johnson, Ph.D., and personal information concerning Review/DERA, National Heart, Lung, and Scientific Review Officer, Office of Scientific individuals associated with the grant Blood Institute, 6701 Rockledge Drive, Room Review/DERA, National Heart, Lung, and Blood Institute, 6701 Rockledge Drive, Room applications, the disclosure of which 7190, Bethesda, MD 20892–7924, 301–435– would constitute a clearly unwarranted 2222, [email protected]. 7178, Bethesda, MD 20892–7924, 301–435– invasion of personal privacy. Name of Committee: National Heart, Lung, 0317, [email protected]. and Blood Institute Special Emphasis Panel, Name of Committee: National Heart, Lung, Name of Committee: Center for Scientific NHLBI T32 Institutional Training Grants. and Blood Institute Special Emphasis Panel; Review Special Emphasis Panel; NeuroAIDS Date: December 20, 2013. Ancillary Studies in Clinical Trials. Program Project. Time: 9:30 a.m. to 11:00 a.m. Date: December 10, 2013. Date: December 9, 2013. Agenda: To review and evaluate grant Time: 8:00 a.m. to 4:00 p.m. Time: 10:00 a.m. to 5:00 p.m. applications. Agenda: To review and evaluate grant Agenda: To review and evaluate grant Place: National Institutes of Health, 6701 applications. applications. Rockledge Drive, Room 7189, Bethesda, MD Place: Hyatt Regency Bethesda, One Place: National Institutes of Health, 6701 20892–7924 (Telephone Conference Call). Bethesda Metro Center, 7400 Wisconsin Rockledge Drive, Bethesda, MD 20892, Contact Person: Stephanie L Constant, Avenue, Bethesda, MD 20814. (Virtual Meeting). Ph.D., Scientific Review Officer, Office of Contact Person: Kristen Page, Ph.D., Contact Person: Mary Clare Walker, Ph.D., Scientific Review/DERA, National Heart, Scientific Review Officer, Office of Scientific Scientific Review Officer, Center for Lung, and Blood Institute, 6701 Rockledge Review/DERA, National Heart, Lung, and Scientific Review, National Institutes of Drive, Room 7189, Bethesda, MD 20892– Blood Institute, 6701 Rockledge Drive, Room Health, 6701 Rockledge Drive, Room 5208, 7924, 301–443–8784, constantsl@ 7185, Bethesda, MD 20892, 301–435–0725, MSC 7852, Bethesda, MD 20892, (301) 435– nhlbi.nih.gov. [email protected]. 1165, [email protected].

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Name of Committee: Center for Scientific December 18, 2013, 2:00 p.m. to Dated: November 13, 2013. Review Special Emphasis Panel; Member December 18, 2013, 3:15 p.m., National Michelle Trout, Conflict: Transgenerational Inheritance, Institute of Aging, Gateway Building, Spermatogenesis and Chemotherapy. Program Analyst, Office of Federal Advisory Date: December 12, 2013. 7201 Wisconsin Avenue, Suite 2C212, Committee Policy. Time: 2:30 p.m. to 4:30 p.m. Bethesda, MD 20892, which was [FR Doc. 2013–27592 Filed 11–18–13; 8:45 am] Agenda: To review and evaluate grant published in the Federal Register on BILLING CODE 4140–01–P applications. November 8, 2013, 67177 FR 217. Place: National Institutes of Health, 6701 The meeting was entitled Member Rockledge Drive, Bethesda, MD 20892, DEPARTMENT OF HEALTH AND (Telephone Conference Call). Conflict. HUMAN SERVICES Contact Person: Reed A Graves, Ph.D., Dated: November 13, 2013. Scientific Review Officer, Center for Scientific Review, National Institutes of Melanie J. Gray, National Institutes of Health Health, 6701 Rockledge Drive, Room 6166, Program Analyst, Office of Federal Advisory MSC 7892, Bethesda, MD 20892, (301) 402– Committee Policy. National Cancer Institute; Notice of 6297, [email protected]. Meeting [FR Doc. 2013–27598 Filed 11–18–13; 8:45 am] (Catalogue of Federal Domestic Assistance Program Nos. 93.306, Comparative Medicine; BILLING CODE 4140–01–P Pursuant to section 10(a) of the 93.333, Clinical Research, 93.306, 93.333, Federal Advisory Committee Act, as 93.337, 93.393–93.396, 93.837–93.844, amended (5 U.S.C. App.), notice is DEPARTMENT OF HEALTH AND 93.846–93.878, 93.892, 93.893, National hereby given of a meeting of the Institutes of Health, HHS) HUMAN SERVICES President’s Cancer Panel. Dated: November 13, 2013. National Institutes of Health The meeting will be open to the Melanie J. Gray, public, with attendance limited to space Program Analyst, Office of Federal Advisory National Heart, Lung, and Blood available. Individuals who plan to Committee Policy. Institute; Notice of Closed Meeting attend and need special assistance, such [FR Doc. 2013–27594 Filed 11–18–13; 8:45 am] as sign language interpretation or other BILLING CODE 4140–01–P Pursuant to section 10(d) of the reasonable accommodations, should Federal Advisory Committee Act, as notify the Contact Person listed below in advance of the meeting. DEPARTMENT OF HEALTH AND amended (5 U.S.C. App.), notice is HUMAN SERVICES hereby given of the following meeting. Name of Committee: President’s Cancer The meeting will be closed to the Panel. National Institutes of Health public in accordance with the Date: March 3, 2014. provisions set forth in sections Time: 8:30 a.m. to 4:00 p.m. Center for Scientific Review; Amended 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., Agenda: Cancer Communication in the Notice of Meeting as amended. The grant applications and Digital Era: Opportunities and Challenges. Place: National Institutes of Health, 9000 Notice is hereby given of a change in the discussions could disclose Rockville Pike, Building 31, C-Wing, 6th the meeting of the Developmental Brain confidential trade secrets or commercial Floor, Conference Room 10, Bethesda, MD Disorders Study Section, October 24, property such as patentable material, 20892. 2013, 08:00 a.m. to October 25, 2013, and personal information concerning Contact Person: Abby B. Sandler, Ph.D., 05:00 p.m., Melrose Hotel, 2430 individuals associated with the grant Executive Secretary, President’s Cancer Pennsylvania Avenue NW., Washington, applications, the disclosure of which Panel, Special Assistant to the Director, NCI DC, 20037 which was published in the would constitute a clearly unwarranted Center for Cancer Research, 9000 Rockville Federal Register on October 1, 2013, 78 invasion of personal privacy. Pike, Building 31, Room B2B37, MSC 2590, FR 60298. Bethesda, MD 20892–8349, (301) 451–9399, Name of Committee: National Heart, Lung, The meeting will be on November 26, [email protected]. 2013 from 11:00 a.m. to 3:00 p.m. at the and Blood Institute Special Emphasis Panel; Any interested person may file written National Institutes of Health, 6701 Clinical Trials Review. comments with the committee by forwarding Rockledge Drive, Bethesda, MD 20892. Date: December 11, 2013. the statement to the Contact Person listed on The meeting is closed to the public. Time: 2:00 p.m. to 5:00 p.m. this notice. The statement should include the Agenda: To review and evaluate grant Dated: November 13, 2013. name, address, telephone number and when applications. applicable, the business or professional Melanie J. Gray, Place: National Institutes of Health, 6701 affiliation of the interested person. Program Analyst, Office of Federal Advisory Rockledge Drive, Room 7188, Bethesda, MD Information is also available on the Committee Policy. 20892–7924 (Telephone Conference Call). Institute’s/Center’s home page: http:// [FR Doc. 2013–27596 Filed 11–18–13; 8:45 am] Contact Person: Chang Sook Kim, Ph.D., deainfo.nci.nih.gov/advisory/pcp/index.htm, BILLING CODE 4140–01–P Scientific Review Officer, Office of Scientific where an agenda and any additional Review/DERA, National Heart, Lung, and information for the meeting will be posted Blood Institute, 6701 Rockledge Drive, Room when available. DEPARTMENT OF HEALTH AND 7188, Bethesda, MD 20892–7924, 301–435– (Catalogue of Federal Domestic Assistance HUMAN SERVICES 0287, [email protected]. Program Nos. 93.392, Cancer Construction; National Institutes of Health (Catalogue of Federal Domestic Assistance 93.393, Cancer Cause and Prevention Program Nos. 93.233, National Center for Research; 93.394, Cancer Detection and National Institute on Aging; Sleep Disorders Research; 93.837, Heart and Diagnosis Research; 93.395, Cancer Cancellation of Meeting Vascular Diseases Research; 93.838, Lung Treatment Research; 93.396, Cancer Biology Diseases Research; 93.839, Blood Diseases Research; 93.397, Cancer Centers Support; Notice is hereby given of the and Resources Research, National Institutes 93.398, Cancer Research Manpower; 93.399, cancellation of the National Institute on of Health, HHS). Cancer Control, National Institutes of Health, Aging Special Emphasis Panel, HHS)

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Dated: November 13, 2013. DEPARTMENT OF HOMELAND Registration to Attend and/or to Melanie J. Gray, SECURITY Participate: If you wish to attend any Program Analyst, Office of Federal Advisory public listening session and/or a [Docket No. DHS–2013–0075] Committee Policy. Webinar and/or make an oral comment/ [FR Doc. 2013–27597 Filed 11–18–13; 8:45 am] Executive Order 13650 Improving presentation at both the in-person and BILLING CODE 4140–01–P Chemical Facility Safety and Security Webinar listening sessions, you must Listening Sessions register at www.GovEvents.com. When registering, you must indicate that you DEPARTMENT OF HEALTH AND AGENCY: National Protection and wish to make a comment/presentation HUMAN SERVICES Programs Directorate, DHS. and indicate the related EO topic. ACTION: Notice of public listening Registration for those wishing to make National Institutes of Health sessions. comments will be on a first come, first served basis provided a cross-section of National Institute of General Medical SUMMARY: The Department of Homeland stakeholders are represented by the Sciences Amended; Notice of Meeting Security (DHS), in coordination with the speakers. Comments are requested not Department of Labor (DOL) and the to exceed five minutes. Actual schedule Notice is hereby given of a change in Environmental Protection Agency the meeting of the National Institute of for the presentations will depend on the (EPA), is announcing a series of public number of requests. There is no fee to General Medical Sciences Special listening sessions and webinars to Emphasis Panel, November 21, 2013, register for the public listening sessions solicit comments and suggestions from or Webinars. Same-day registration at a 12:00 p.m. to November 21, 2013, 5:00 stakeholders on issues pertaining to p.m., National Institutes of Health, listening session is permitted but only Improving Chemical Facility Safety and on a space-available basis, beginning at Natcher Building, 45 Center Drive, Security (Executive Order [EO] 13650). Room 3An. 18, Bethesda, MD 20892 8:00 a.m. We will do our best to which was published in the Federal DATES: The public listening sessions accommodate all persons who wish to Register on November 7, 2013, 78 FR will be held from 8:00 a.m. to 4:30 p.m. make a comment/presentation at a 66947. on the following dates: November 19, listening session or webinar. The EO 2013, and December 11, 2013. Online Working Group encourages persons and The meeting will start on November webinars will be hosted November 25, groups having similar interests to 21, 2013 at 11:00 a.m. and end 2013, and December 16, 2013. consolidate their information for November 21, 2013 at 2:00 p.m. The Additional listening sessions may be presentation through a single meeting location remains the same. The scheduled in December 2013 and representative. Each participant will be meeting is closed to the public. January 2014. We will notify the public notified prior to the listening session or Dated: November 13, 2013. of the date(s), time(s), location(s), and webinar of the approximate time that Melanie J. Gray, other details of any such session(s) as the participant’s comment/presentation Program Analyst, Office of Federal Advisory soon as we have information available. is scheduled to begin. Registration for Committee Policy. Previous public listening sessions were the in-person listening sessions and [FR Doc. 2013–27599 Filed 11–18–13; 8:45 am] held November 5, 2013 and November webinars can be found at BILLING CODE 4140–01–P 15, 2013. www.GovEvents.com. ADDRESSES: The public listening FOR FURTHER INFORMATION CONTACT: For sessions will be held at the following further information please email: DEPARTMENT OF HEALTH AND locations: [email protected]. Individuals HUMAN SERVICES • November 19, 2013, Illinois with access and functional needs Emergency Management Agency, 2200 wishing to attend the sessions and/or National Institutes of Health Dirksen Parkway, Springfield, IL 62703; webinar and requiring accommodations and should contact Kathryn Willcutts at Center for Scientific Review; Amended • Notice of Meeting December 11, 2013, Valencia [email protected] as soon as Criminal Justice Institute, 8600 Valencia possible. Notice is hereby given of a change in College Lane, Auditorium-150, Orlando, SUPPLEMENTARY INFORMATION: the meeting of the Center for Scientific FL 32825. I. Background Review Special Emphasis Panel, Note: Previous public listening October 03, 2013, 12:00 p.m. to October sessions were held: On August 1, 2013, President Obama 03, 2013, 03:00 p.m., National Institutes • November 5, 2013, College of the issued EO 13650 to improve chemical of Health, 6701 Rockledge Drive, Mainland, 1200 Amburn Road, Texas facility safety and security. The Working Bethesda, MD 20892, which was City, TX 77591, Learning Resource Group charged with implementing the published in the Federal Register on Center, Room 131; and EO is co-chaired by DHS, DOL, and September 05, 2013, 78 FR 54665. • November 15, 2013, GSA’s ROB EPA, and includes participation from The meeting will be held on Auditorium, 301 7th Street SW., (7th the Departments of Justice, Agriculture, November 25, 2013 from 04:30 p.m. to and D Streets), Washington, DC 20407. and Transportation. 07:30 p.m. The meeting location Submit written comments to the DHS Obtaining stakeholder input is critical remains the same. The meeting is closed Docket Office, Docket No. DHS–2013– to the success of the EO. To that end, to the public. 0075, Technical Data Center, Room N– the EO Working Group is scheduling 2625, U.S. Department of Labor, 200 public listening sessions around the Dated: November 13, 2013. Constitution Avenue NW., Washington, country, as well as several Webinars. David Clary, DC 20210. Comments will also be Attendees will have an opportunity to Program Analyst, Office of Federal Advisory accepted by email at: eo.chemical@ provide input EO related on topics such Committee Policy. hq.dhs.gov. All comments should be as: Improving operational coordination [FR Doc. 2013–27589 Filed 11–18–13; 8:45 am] identified with Docket No. DHS–2013– with Federal, state, tribal, and local BILLING CODE 4140–01–P 0075. partners; enhanced information

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collection and sharing; modernizing Dated: November 13, 2013. without an assigned client regulations, guidance, and policies; and Caitlin Durkovich, representative should direct their identifying best practices in chemical Assistant Secretary, Office of Infrastructure questions to the Client Representative facility safety and security. In particular, Protection. Branch at (703) 650–3500. the EO Working Group is interested in [FR Doc. 2013–27681 Filed 11–18–13; 8:45 am] SUPPLEMENTARY INFORMATION: hearing from the following stakeholders: BILLING CODE 9110–9P–P Chemical producers, chemical storage Background companies, agricultural supply I. Automated Commercial Environment companies, state and local regulators, DEPARTMENT OF HOMELAND (ACE) Test Programs chemical critical infrastructure owners SECURITY and operators, first responders, labor Automated Commercial Environment organizations representing affected U.S. Customs and Border Protection (ACE) prototypes are tested in workers, environmental and community accordance with § 101.9(b) of title 19 of Post-Summary Corrections to Entry groups, and consensus standards the Code of Federal Regulations (19 CFR Summaries Filed in ACE Pursuant to organizations. Input from these public 101.9(b)), which provides for the testing the ESAR IV Test: Modifications and listening sessions will be used to inform of National Customs Automation Clarifications the EO Working Groups’ efforts to Program (NCAP) components. A improve chemical regulation and better AGENCY: U.S. Customs and Border chronological listing of Federal Register protect the nation. Basic information on Protection, Department of Homeland publications detailing ACE test the EO can be found at: http:// Security. developments is set forth below in section V of this document. The www.dhs.gov/topic/chemical-security. ACTION: General notice. procedures and criteria related to II. Scope of Public Listening Sessions SUMMARY: This notice announces participation in the prior ACE tests The Working Group is interested in modifications and clarifications remain in effect unless otherwise obtaining information from the public pertaining to U.S. Customs and Border explicitly changed by this or subsequent on key issues impacting the EO. In Protection’s (CBP’s) Entry Summary, notices published in the Federal particular, the EO Working Group seeks Accounts and Revenue (ESAR IV) test Register. comments on the following: program concerning the processing of II. ACE Entry Summary, Accounts and • Improving operational coordination post-summary corrections (PSCs) to Revenue (ESAR IV) Test Program with state, tribal, and local partners; entry summaries that are filed in the • Enhanced information collection Automated Commercial Environment In a notice published in the Federal and sharing; (ACE). The modifications to the ESAR Register (76 FR 37136) on June 24, 2011, U.S. Customs and Border Protection • Modernizing regulations, guidance, IV test program will allow filers greater (CBP) announced a plan to conduct a and policies; and access to data filed in ACE as it relates • to the original entry and any subsequent NCAP test concerning new ACE ESAR Identifying best practices in IV capabilities (‘‘ESAR IV test’’). The chemical facility safety and security. PSC, limit certain additional data elements from being changed via PSC, ESAR IV test permitted importers to file III. Request for Comments and preclude a PSC on any entry that post-summary corrections (PSCs) of certain ACE entry summaries using the Regardless of attendance at the public has been protested or where Automated Broker Interface (ABI). listening sessions and Webinars, merchandise covered by the original Importers and their brokers were also interested persons may submit entry has been conditionally released allowed to use ABI to file PSCs to those comments to the DHS Docket Office, and its right to admission has not been pre-liquidation ACE entry summaries Docket No. DHS–2013–0075, Technical determined. This notice also clarifies that were accepted by CBP, fully paid, Data Center, Room N–2625, U.S. bond obligations when a PSC has been and under CBP control. Department of Labor, 200 Constitution filed, CBP’s authority to reject a PSC, Avenue NW., Washington, DC 20210. and the meaning of certain terms as they III. Modifications to the ESAR IV Test Comments will also be accepted by relate to the ESAR IV test. A. Access by Filers to Entry and PSC email at: [email protected] or DATES: The ESAR IV test modifications Data through the Federal eRulemaking Portal will go into effect December 19, 2013, at http://www.regulations.gov. and will continue until concluded by Under the terms of the original ESAR way of announcement in the Federal IV test, as set forth in Subsection II.H of IV. Notes Register. Comments concerning this that document (76 FR 37138), the full Participants that do speak will be notice and any aspect of the test may be content of the original entry summary asked to provide their name, title, submitted at any time during the test was to be provided only to the filer of company and stakeholder segment (i.e. period to the address set forth below. that entry summary. A subsequently chemical producers, chemical storage ADDRESSES: Comments concerning this filed PSC was deemed to fully replace companies, agricultural supply notice should be submitted via email to the original entry summary, and full companies, state and local regulators, Monica Crockett at ESARinfoinbox@ information with respect to the PSC was chemical critical infrastructure owners dhs.gov. Please indicate ‘‘ESAR IV (Post- only available to the filer of the PSC and and operators, first responders, labor Summary Corrections Processing)’’ in the filer of the original entry summary organizations representing affected the subject line of your email. did not have access to the new filing. workers, environmental and community FOR FURTHER INFORMATION CONTACT: For Similarly, if a second PSC was filed, it groups, and consensus standards policy-related questions, contact fully replaced the previously filed PSC organizations). Notes from the listening Virginia McPherson via email at and full information was accessible only sessions will be posted at http:// [email protected]. For to the filer of the second PSC. The filer www.regulations.gov. The public technical questions related to ABI of the original entry summary or the listening sessions may also be recorded transmissions, contact your assigned filer of the previously filed PSC were to support the note taking effort. client representative. Interested parties notified that a new replacement entry

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summary had been filed by a PSC, but • Date of Entry bonds, remain obligated for the original did not have access to the new filing. • Bond entry and the entry summary against CBP received considerable feedback • Surety Code which the PSC was filed. from the trade community and test • New bond data will not be accepted participants regarding the opportunity C. Criteria and Rules for Filing a PSC through a PSC. for increased access to information in The ESAR IV test notice, in B. Rejection of a PSC PSCs. In response to the test Subsection II.D of that document (76 FR participants’ requests for greater access, 37137), listed criteria and rules for filing While not explicitly stated in the and after due consideration, CBP has a PSC. This notice announces two new ESAR IV test notice published in the determined it will modify the ESAR IV criteria and one modification to an Federal Register (76 FR 37136) on June test to allow the original entry summary existing criterion. The new criteria are 24, 2011, this notice clarifies that CBP filer, and any subsequent PSC filer, full as follows: retains the authority to reject any PSC access to all entry summary data • A PSC cannot be made on entries that may be found to be incomplete or contained in a subsequent PSC. that have been protested; and not in compliance with the Therefore, by running a report or query • A PSC cannot be made when any requirements described in that test. A in ACE, any filer can see the complete merchandise covered by the original PSC which has been rejected by the entry summary data as modified by a entry has been conditionally released system back to the filer may be re- PSC. and its right to admission has not been transmitted within two (2) business Under the terms and conditions of the determined. days of the rejection. If there is no modification announced in this notice, The modified criterion reflects that timely re-transmission, CBP will set the when a PSC is filed, the filer of the where a PSC results in a formal (type previously accepted entry for immediate original entry summary will be notified 01) entry being changed/corrected to liquidation, unless the liquidation of that the entry summary has been fully indicate it is an Antidumping/ such previously accepted entry has been replaced by a PSC and the original filer Countervailing (type 03) entry, or if a suspended pursuant to statute or court will have full access to the new filing. PSC for a change/correction to a type 03 order. Similarly, if a subsequent PSC is filed, entry results in additional AD/CVD C. Deemed Liquidation it fully replaces the previously filed duties due, the importer of record must PSC, and the filer of the first PSC will deposit the associated AD/CVD duties Pursuant to 19 U.S.C. 1504(a), be notified that a new replacement entry (or bond, if allowed) at the same time consumption entries are ‘‘deemed summary has been filed and will have the PSC is filed and failure to file the liquidated’’ at a rate of duty, value, full access to the new filing. All of the deposit of the duties (or bond, if quantity and amount of duties asserted information in the latest version of the allowed) will result in rejection of the by the importer of record. For purposes entry summary and all subsequent PSCs PSC and may result in liquidated of the ESAR IV test, CBP interprets the will be accessible to all of the filers. damages. Such failure may also subject statutory phrase ‘‘deemed liquidation’’ By participating under the terms and the importer to penalties under 19 to mean rate of duty, value, quantity and conditions of this test, importers and U.S.C. 1592, or the broker to penalties amount of duties asserted at the time of filers acknowledge that by filing a PSC under 19 U.S.C. 1641, as the facts and acceptance of the PSC. they are making any commercial and circumstances warrant. This is a change D. Definitions confidential business information from the terms of the original ESAR IV This notice announces the following contained within the PSC available to test, where a failure to file the deposit definitions for purposes of the ESAR IV all the parties described in this test, i.e. of duties did not result in a rejection of test program: the filer of the original entry summary the PSC. and any filers of a PSC correcting that • Complete or Full Replacement. The entry summary. An importer should not IV. Clarifications to the ESAR IV Test term ‘‘complete or full replacement’’ file a PSC under the terms and Program means the replacement of all data elements in an original entry summary conditions of this test if the importer A. Bonding and PSC Filing does not want the original entry filed in ACE with new data elements summary filer or PSC filer to have full The ESAR IV test program did not found in a superseding PSC. A complete access to all information contained address the subject of bonds and or full replacement does not mean that within a subsequent PSC that was filed bonding as affected by a PSC. To the replaced data is null and void. Any by a different filer. provide clarity in this area, and affirm obligations that vested under the It is noted that the recordkeeping that for purposes of the ESAR IV test original entry or entry summary remain obligations set forth in 76 FR 37138 program the same bond and surety valid. Obligations that vest subsequent remain unchanged (i.e., entry filers and remain on an entry for which a PSC is to the replacement are attributable to the PSC filers only have recordkeeping filed, this notice announces the PSC. For example, when an original responsibilities for their own following ESAR IV bonding guidelines: entry summary is filed outside the 15- submissions and do not incur • If, prior to a PSC filing, a bond is calendar day time period for filing entry recordkeeping obligations related to the filed pursuant to 19 CFR 142.4(b), or 19 and liquidated damages are incurred, submissions of others). CFR 141.20 (as authorized by 19 U.S.C. the filing of a PSC on that entry 1485(d)), that bond will continue to be summary is deemed to ‘‘replace’’ the B. Data Elements That Cannot Be obligated for the entry. All obligations entry summary but does not obviate the Changed Via PSC vesting under the original entry, prior to liquidated damages that were assessed The ESAR IV test notice, in the filing of a PSC, remain vested and properly against the original filing. Subsection II.E of that document (76 FR are not obviated by a subsequent PSC • Under U.S. Customs and Border 37138), listed data elements that cannot filing. Protection (CBP) Review. The term be changed via PSC. This notice • If a PSC is filed and accepted by ‘‘under U.S. Customs and Border announces the following three CBP, the bond obligated at the time of Protection (CBP) review’’ means the additional data elements that cannot be entry, as well as any subsequent period of time when CBP is reviewing changed via PSC: replacement bonds or superseding the data elements and supporting

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documents of either an original entry of the vicun˜ a. A 5-year review is based (A) Species biology, including but not summary or PSC prior to CBP’s on the best scientific and commercial limited to population trends, disposition of the original entry data available at the time of the review. distribution, abundance, demographics, summary or PSC. We are requesting submission of and genetics; information that has become available (B) Habitat conditions, including but V. Development of ACE Prototypes since the last review of the species. not limited to amount, distribution, and A chronological listing of Federal DATES: To ensure consideration, please suitability; Register publications detailing ACE test send your written information by (C) Conservation measures that have developments is set forth below. January 21, 2014. However, we will been implemented that benefit the species; • ACE Portal Accounts and Subsequent continue to accept new information (D) Threat status and trends in Revision Notices: 67 FR 21800 (May 1, about any listed species at any time. 2002); 70 FR 5199 (February 1, 2005); 69 relation to the five listing factors (as ADDRESSES: Please submit your defined in Section 4(a)(1) of the Act); FR 5360 and 69 FR 5362 (February 4, information in writing to the Branch of 2004); 69 FR 54302 (September 8, 2004). and • ACE System of Records Notice: 71 FR 3109 Foreign Species, Endangered Species (E) Other new information, data, or (January 19, 2006). Program, by any one of the following corrections, including but not limited to • Terms/Conditions for Access to the ACE methods: taxonomic or nomenclatural changes, • _ Portal and Subsequent Revisions: 72 FR Electronically: Email es identification of erroneous information 27632 (May 16, 2007); 73 FR 38464 (July [email protected]. contained in the List, and improved 7, 2008). • U.S. mail: U.S. Fish and Wildlife • analytical methods. ACE Non-Portal Accounts and Related Service; 4401 North Fairfax Drive, Room New information will be considered Notice: 70 FR 61466 (October 24, 2005); 420, Arlington, VA 22203. in the 5-year review and ongoing 71 FR 15756 (March 29, 2006). For more about submitting • recovery programs for the species. ACE Entry Summary, Accounts and information, see ‘‘What Information Do Revenue (ESAR I) Capabilities: 72 FR We Consider in Our Review?’’ and Species Under Review 59105 (October 18, 2007). • ACE Entry, Summary, Accounts and ‘‘Request for Information’’ under This notice announces our review of Revenue (ESAR II) Capabilities: 73 FR SUPPLEMENTARY INFORMATION below. the vicun˜ a (Vicugna vicugna). In the 50337 (August 26, 2008); 74 FR 9826 FOR FURTHER INFORMATION CONTACT: United States, the vicun˜ a is subject to (March 6, 2009). Janine Van Norman, Chief, Branch of two regulatory measures: The Act and • ACE Entry, Summary, Accounts and Foreign Species, Endangered Species the Convention on International Trade Revenue (ESAR III) Capabilities: 74 FR Program, U.S. Fish and Wildlife Service, in Endangered Species of Wild Fauna 69129 (December 30, 2009). • 4401 N. Fairfax Drive, Room 420, and Flora (CITES). We originally listed ACE Entry, Summary, Accounts and the vicun˜ a as endangered under the Act Revenue (ESAR IV) Capabilities: 76 FR Arlington, VA 22203; telephone 703– 37136 (June 24, 2011). 358–2171; facsimile 703–358–1735. If on June 2, 1970 (35 FR 8491). Among • NCAP Test Concerning the Document you use a telecommunications device other things, that listing prohibited Imaging System: 77 FR 20835 (April 6, for the deaf (TDD), please call the certain U.S. interstate and foreign 2012). Federal Information Relay Service commerce in vicun˜ a products. The • Modification of NCAP Test Concerning (FIRS) at 800–877–8339. vicun˜ a was included in Appendix I of ACE Cargo Release (formerly known as SUPPLEMENTARY INFORMATION: CITES on July 1, 1975 (the date of entry Simplified Entry): 78 FR 66039 into force of CITES), which thereby (November 4, 2013) Why do we conduct 5-year reviews? generally prohibited primarily Dated: November 14, 2013. Under the Act (16 U.S.C. 1531 et seq.), commercial international trade in Richard F. DiNucci, we maintain Lists of Endangered and vicun˜ a products. Certain populations of Acting Assistant Commissioner, Office of Threatened Wildlife and Plants (which vicun˜ as in Chile and Peru were International Trade. we collectively refer to as the List). transferred to CITES Appendix II at the [FR Doc. 2013–27651 Filed 11–18–13; 8:45 am] Wildlife and plants on the List can be sixth meeting of the Conference of the BILLING CODE 9111–14–P; 9111–15–P; 9111–16–P found at http://ecos.fws.gov/tess_public/ Parties to CITES (CoP6) in 1987. The pub/listedAnimals.jsp and http:// remaining vicun˜ a populations of Peru ecos.fws.gov/tess_public/pub/ were transferred to Appendix II in 1994 DEPARTMENT OF THE INTERIOR listedPlants.jsp, respectively. Section at the ninth meeting of the Conference 4(c)(2)(A) of the Act requires us to of the Parties (CoP9), while certain Fish and Wildlife Service review each listed species’ status at least populations in Argentina and Bolivia once every 5 years. Our regulations at 50 were transferred to Appendix II in 1997 [FWS–HQ–ES–2013–N191; CFR 424.21 require that we publish a at the tenth meeting of the Conference FXES111309F0000–134–FF09E22000] notice in the Federal Register of the Parties (CoP10). These transfers to Endangered and Threatened Wildlife announcing those species under active CITES Appendix II reflected an and Plants; Initiation of a 5-Year review. For additional information improved conservation status for ˜ Review of the Vicun˜ a in Argentina, about 5-year reviews, refer to our fact specified vicuna populations, and Bolivia, Chile, Ecuador, and Peru sheet at http://www.fws.gov/ allowed the resumption of commercial, endangered/what-we-do/recovery- international trade—under carefully AGENCY: Fish and Wildlife Service, overview.html. controlled conditions—of vicun˜ a fiber Interior. and products manufactured from vicun˜ a What information do we consider in fiber. This international trade, however, ACTION: Notice of initiation of review; our review? request for information. was still excluded from the United In conducting a 5-year review, we States because of the species’ listing as SUMMARY: We, the U.S. Fish and consider the best scientific and endangered under the Act, which is a Wildlife Service (Service), are initiating commercial data that have become stricter domestic measure than CITES. a 5-year review under the Endangered available since the listing determination The United States supported the above Species Act of 1973, as amended (Act), or most recent status review, such as: transfers of the specified vicun˜ a

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populations to Appendix II, based on Request for Information DATES: The meeting will be held on information contained in the supporting To ensure that a 5-year review is December 17, 2013, from 9:00 a.m. to statements for the various CITES complete and based on the best 4:30 p.m.; and December 18 from 9:00 amendment proposals. available scientific and commercial a.m. to 4:30 p.m., Eastern Standard On October 5, 1995, we received a information, we request new Time. petition from the President of the information from all sources. See ‘‘What Location: The Charles Sumner School Museum and Archives, 3rd Floor, The International Vicun˜ a Consortium, an Information Do We Consider In Our Richard L. Hurlbut Memorial Hall, 1201 association of companies in the fiber Review?’’ for specific criteria. If you 17th Street NW., Washington, DC 20036. industry, requesting that the vicun˜ a be submit information, please support it with documentation such as maps, Agenda: The National Park System removed from the U.S. list of Advisory Board and its Landmarks endangered and threatened wildlife, or bibliographic references, methods used to gather and analyze the data, and/or Committee may consider the following reclassified with a special rule that nominations: would allow for commercial trade that copies of any pertinent publications, would benefit the conservation of the reports, or letters by knowledgeable California sources. species. The petitioners cited, among California Powder Works Bridge, Santa other things, improved management of Public Availability of Submissions Cruz County, CA vicun˜ a populations and improved Before including your address, phone Florida enforcement and trade controls. Our 90- number, email address, or other day finding on whether the petition personal identifying information in your The Research Studio, Maitland, FL presented substantial information and submission, you should be aware that Indiana our 12-month finding on whether the your entire comment—including your petitioned action was warranted were personal identifying information—may Duck Creek Aqueduct, Metamora, subsumed within a proposed rule, be made publicly available at any time. Franklin County, IN which was published in the Federal Although you can request that personal Louisiana Register on September 8, 1999 (64 FR information be withheld from public The St. Charles Line, New Orleans, LA 48743). review, we cannot guarantee that we In a final rule published on May 30, will be able to do so. Materials received Maine 2002 (67 FR 37695), we reclassified the will be available for public inspection, Admiral Robert E. Peary Summer Home, populations of Argentina, Bolivia, Chile, by appointment, during normal business Harpswell, ME and Peru as threatened under the Act. hours at the office where the comments Perkins Homestead, New Castle, ME We also established a special rule are submitted. Massachusetts (under Section 4(d) of the Act) allowing Authority the importation into the United States of Lydia Pinkham House, Lynn, MA This document is published under the legal fiber and legal products produced authority of the Endangered Species Act Michigan with fiber from vicun˜ a populations of 1973, as amended (16 U.S.C. 1531 et GM Tech Center, Warren, MI listed as threatened under the Act and seq.). in Appendix II of CITES, if certain New Jersey Dated: November 4, 2013. conditions were satisfied by the Baltusrol Golf Club, Springfield, NJ exporting or re-exporting country. We Gary Frazer, retained as endangered under the Act Assistant Director for Ecological Services, Vermont U.S. Fish and Wildlife Service. the recently introduced vicun˜ a Brown Bridge, Rutland County, VT population of Ecuador, treated as a [FR Doc. 2013–27584 Filed 11–18–13; 8:45 am] Proposed Amendments to Existing distinct population segment under the BILLING CODE 4310–55–P Designations: Act in accordance with the Service’s Policy on Distinct Vertebrate Population Pennsylvania DEPARTMENT OF THE INTERIOR Segments (61 FR 4722; February 7, Andrew Wyeth Studio and Kuerner 1996). National Park Service Farm, Chadds Ford Township, PA Effective June 12, 2013, the CITES (updated documentation, boundary [NPS–WASO–NRNHL–13730; expansion, and name change) Parties adopted a proposal that PPWOCRADI0, PCU00RP14.R50000] transferred the whole vicun˜ a population Montana and North Dakota of Ecuador from Appendix I to Landmarks Committee of the National Fort Union Trading Post, Williams Park System Advisory Board Meeting Appendix II. According to the CITES County, ND, and Roosevelt County, annotation, the revised Appendix II AGENCY: National Park Service, Interior. MT (updated documentation) listing refers only to specific populations of Argentina (the ACTION: Notice of meeting. Ohio populations of the Provinces of Jujuy SUMMARY: Notice is hereby given in Colonel Charles Young House, Greene and Catamarca and the semi-captive accordance with the Federal Advisory County, OH (updated documentation) populations of the Provinces of Jujuy, Committee Act, 5 U.S.C. Appendix 1– Proposed Withdrawal of Designations: Salta, Catamarca, La Rioja, and San 16, and Part 65 of title 36 of the Code Virginia Juan), Chile (population of the Primera of Federal Regulations, that a meeting of Regio´n), Ecuador (the whole the Landmarks Committee of the Eight-Foot High Speed Tunnel, population), Peru (the whole National Park System Advisory Board Hampton (City), VA population), and the Plurinational State will be held beginning at 9:00 a.m. on Full Scale 30- x 60-Foot Tunnel, of Bolivia (the whole population); all December 17, 2013, in Washington, DC. Hampton (City), VA other populations are included in The meeting will continue beginning at FOR FURTHER INFORMATION CONTACT: Appendix I. 9:00 a.m. on December 18, 2013. Patricia Henry, Historian, National

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Historic Landmarks Program, National Dated: November 13, 2013. ADDRESSES: All Commission offices, Park Service, 1201 Eye Street NW., 8th Alma Ripps, including the Commission’s hearing Floor, Washington, DC 20005; telephone Chief, Office of Policy. rooms, are located in the United States _ (202) 354–2216 or email: Patty Henry@ [FR Doc. 2013–27565 Filed 11–18–13; 8:45 am] International Trade Commission nps.gov. BILLING CODE 4312–51–P Building, 500 E Street SW., Washington, SUPPLEMENTARY INFORMATION: The DC. All written submissions should be purpose of the meeting of the addressed to the Secretary, United Landmarks Committee of the National INTERNATIONAL TRADE States International Trade Commission, Park System Advisory Board is to COMMISSION 500 E Street SW., Washington, DC 20436. The public record for these evaluate nominations of historic [Investigation No. 332–542, Investigation properties in order to advise the No. 332–544, Investigation No. 332–545, investigations may be viewed on the National Park System Advisory Board of Investigation No. 332–546] Commission’s electronic docket (EDIS) the qualifications of each property being at https://edis.usitc.gov/edis3-internal/ proposed for National Historic AGOA: Trade and Investment app. Landmark (NHL) designation, and to Performance Overview; AGOA: make recommendations regarding the Economic Effects of Providing Duty- FOR FURTHER INFORMATION CONTACT: For possible designation of those properties Free Treatment for Imports, U.S. AGOA information with respect to specific as National Historic Landmarks to the Rules of Origin: Possible Changes To investigations: National Park System Advisory Board at Promote Regional Integration and (1) Investigation No. 332–542, Project a subsequent meeting at a place and Increase Exports to the United States; Leader Joanna Bonarriva (202–205–3312 time to be determined. The Committee EU-South Africa FTA: Impact on U.S. or [email protected]) or also makes recommendations to the Exports to South Africa Deputy Project Leader Joanne Guth National Park System Advisory Board AGENCY: United States International (202–205–3264 or Joanne.Guth@ regarding amendments to existing Trade Commission. usitc.gov); designations and proposals for ACTION: (2) Investigation No. 332–544, Project withdrawal of designation. The Institution of investigations, Leader Kathryn Lundquist (202–205– members of the Landmarks Committee scheduling of public hearing, and are: opportunity to provide written 2563 or [email protected]) submissions. or Deputy Project Leader Andrew David Ms. Belinda Faustinos, Acting Chair (202–205–3368 or Andrew.David@ SUMMARY: Following receipt of a request Dr. James M. Allan usitc.gov); dated September 30, 2013 (received Dr. Cary Carson October 17, 2013) from the United (3) Investigation No. 332–545, Project Mr. Luis Hoyos, AIA States Trade Representative (USTR) Leader Deborah McNay (202–205–3425 Dr. Barbara J. Mills under section 332(g) of the Tariff Act of or [email protected]) or Deputy Dr. William J. Murtagh 1930 (19 U.S.C. 1332(g)), the U.S. Project Leader Heidi Colby-Oizumi International Trade Commission (202–205–3391 or Heidi.Colby@ Dr. William D. Seale (Commission) instituted four usitc.gov); Dr. Michael E. Stevens investigations for the purpose of (4) Investigation No. 332–546, Project The meeting will be open to the providing the requested information: Leader David Riker (202–205–2201 or public. Pursuant to 36 CFR Part 65, any investigation No. 332–542, AGOA: [email protected]) or Deputy member of the public may file, for Trade and Investment Performance Project Leader Kyle Johnson (202–205– consideration by the Landmarks Overview; investigation No. 332–544, 3229 or [email protected]). Committee of the National Park System AGOA: Economic Effects of Providing Advisory Board, written comments Duty-Free Treatment for Imports; For information on the legal aspect of concerning the National Historic investigation No. 332–545, U.S. AGOA each of these investigations, contact Landmarks nominations, amendments Rules of Origin: Possible Changes to William Gearhart of the Commission’s to existing designations, or proposals for Promote Regional Integration and Office of the General Counsel (202–205– withdrawal of designation. Increase Exports to the United States; 3091 or [email protected]). The media should contact Margaret Comments should be submitted to J. and investigation No. 332–546, EU- Paul Loether, Chief, National Register of South Africa FTA: Impact on U.S. O’Laughlin, Office of External Relations Historic Places and National Historic Exports to South Africa. (202–205–1819 or margaret.olaughlin@ Landmarks Program, National Park DATES: usitc.gov). Hearing-impaired individuals Service, 1201 Eye Street NW., 8th Floor, December 13, 2013: Deadline for filing may obtain information on this matter Washington, DC 20005, email: Paul_ requests to appear at the public by contacting the Commission’s TDD [email protected]. hearing. terminal at 202–205–1810. General December 17, 2013: Deadline for filing information concerning the Commission Before including your address, phone pre-hearing briefs and statements. may also be obtained by accessing its number, email address, or other January 14, 2014: Public hearing. Internet server (http://www.usitc.gov). personal identifying information in your January 21, 2014: Deadline for filing Persons with mobility impairments who comment, you should be aware that post-hearing briefs and statements. will need special assistance in gaining your entire comment—including your January 21, 2014: Deadline for filing all personal identifying information—may access to the Commission should other written submissions. contact the Office of the Secretary at be made publicly available at any time. April 17, 2014: Transmittal to USTR of 202–205–2000. While you can ask us in your comment Commission reports on investigation to withhold your personal identifying Nos. 332–542, 332–544, and 332–546. Background: As requested, the information from public review, we April 30, 2014: Transmittal to USTR of Commission has instituted four cannot guarantee that we will be able to report on Commission investigation investigations for the purpose of do so. No. 332–545. providing four reports as follows:

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Investigation No. 332–542, AGOA: agreements to the objectives of AGOA, 2014. The USTR stated that this report Trade and Investment Performance including (1) a list of reciprocal trade will be classified. Overview agreements that sub-Saharan African Investigation No. 332–546, EU-South countries have completed or are under In its first report (investigation No. Africa FTA: Impact on U.S. Exports to negotiation, a brief description of areas 332–542), the Commission will, as South Africa requested by the USTR, address the covered or likely to be covered under the agreements, and identification of As requested by the USTR, in its following topics for sub-Saharan African fourth report the Commission will, to countries, as defined in the African U.S. sectors/products impacted or potentially impacted, including any the extent practicable, provide an Growth and Opportunity Act (19 U.S.C. assessment of the impact of the EU- 3701 et seq.) (AGOA), and, where tariff differentials; and (2) examples of developing countries that have moved South Africa Free Trade Agreement on applicable, those AGOA beneficiary from unilateral trade preferences to U.S. exports to South Africa. countries that are designated as lesser reciprocal trade agreements, and any This analysis will also identify the developed beneficiary countries, effects of the change for the developing U.S. sectors/products with potential for covering the period 2000–13: increased U.S. exports if South Africa • AGOA trade performance, country in terms of expansion and diversification of its trade. were to reduce its MFN tariffs for those utilization and competitiveness factors, The Commission will deliver this first U.S. products to the tariff levels of the including (1) a review of the literature report to the USTR by April 17, 2014. EU-South Africa FTA. on the AGOA preference program, in The USTR also stated that it intends to The Commission will provide this terms of expanding and diversifying the make this report public. fourth report to the USTR by April 17, exports of AGOA beneficiary countries 2014. The USTR stated that this report to the United States, compared to Investigation No. 332–544, AGOA: will be classified. preference programs offered by third Economic Effects of Providing Duty- The USTR indicated that those parties such as the EU; (2) identification Free Treatment for Imports sections of the Commission’s three of non-crude petroleum sectors (i.e., In its second report the Commission confidential reports that relate to manufacturing and agricultural) in will, as requested by the USTR, provide assessments and analyses will be AGOA beneficiary countries in which an assessment of the economic effects of classified. The USTR also indicated that exports to the United States, under providing duty-free treatment for he considers the Commission’s three AGOA and under the U.S. Generalized imports of products from AGOA confidential reports to be inter-agency System of Preferences program, have beneficiary countries on U.S. industries memoranda that will contain pre- increased the most, in absolute terms, producing like or directly competitive decisional advice and be subject to the since 2000, and the key factors behind products and on U.S. consumers. The deliberative process privilege. this growth; (3) a description of the report will include an assessment of the Public Hearing: A public hearing in main factors affecting AGOA trade in economic effect on U.S. industries and connection with these investigations the principal non-crude petroleum consumers of imports of articles already will be held at the U.S. International products that AGOA beneficiary eligible for duty-free treatment under Trade Commission Building, 500 E countries export and that the United AGOA, as well as an assessment of the Street SW., Washington, DC, beginning States principally imports from non- probable economic effect on U.S. at 9:30 a.m. on January 14, 2014. sub-Saharan African sources; and (4) industries and consumers of the Requests to appear at the public hearing based on a review of literature, extension of duty-free treatment to the should be filed with the Secretary no identification of products with potential remaining articles in chapters 1 through later than 5:15 p.m., December 13, 2013. for integration into regional or global 97 of the Harmonized Tariff Schedule of All pre-hearing briefs and statements supply chains, and export potential to the United States (HTS). The assessment should be filed no later than 5:15 p.m. the United States under AGOA, as well will take into account implementation December 17, 2013; and all post-hearing as factors that affect AGOA beneficiary of U.S. commitments in the World briefs and statements should be filed no countries’ competitiveness in these Trade Organization and will be based on later than 5:15 p.m. January 21, 2014. sectors. the HTS in effect during 2013 and trade All such briefs and statements should • AGOA’s effects on the business and data for 2012. otherwise comply with the filing investment climate in sub-Saharan The Commission will provide this requirements in the ‘‘Submissions’’ Africa, including (1) the identification second report to the USTR by April 17, section below. In the event that, as of and description of changes, if any, in 2014. The USTR stated that this report the close of business on December 13, the business and investment climates in will be classified. 2013, no witnesses are scheduled to sub-Saharan African countries since appear at the hearing, the hearing will 2000, including removal of barriers to Investigation No. 332–545, U.S. AGOA be canceled. Any person interested in domestic and foreign investment; and Rules of Origin: Possible Changes To attending the hearing as an observer or (2) a description of U.S. goods and Promote Regional Integration and nonparticipant should contact the Office services-related investment trends in Increase Exports to the United States of the Secretary at 202–205–2000 after sub-Saharan African countries since As requested by the USTR, in its third December 13, 2013, for information 2000 and a comparison of these trends report the Commission will, to the concerning whether the hearing will be with investments by other countries in extent practicable, identify possible held. sub-Saharan African countries, changes to the rules of origin under Written Submissions: In lieu of or in including investments by the EU, China, AGOA that could have the potential to addition to participating in the hearing, Brazil, and India, and identification of promote regional integration and interested parties are invited to file any links between these investment increase exports to the United States, written submissions concerning any of trends and the AGOA program. and the leading manufactured or the four investigations. Each written • Current or potential reciprocal trade processed goods (non-petroleum) which submission should identify the one or agreements between sub-Saharan might benefit from such changes. more of the four investigations to which African and non-sub-Saharan African The Commission will provide this the submission relates. All written partners and the relationship of these third report to the USTR by April 30, submissions should be addressed to the

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Secretary, and should be received not Issued: November 13, 2013. welfare, competitive conditions in the United later than 5:15 p.m., January 21, 2014. Lisa R. Barton, States economy, the production of like or All written submissions must conform Acting Secretary to the Commission. directly competitive articles in the United to the provisions of section 201.8 of the States, and United States consumers, it finds [FR Doc. 2013–27575 Filed 11–18–13; 8:45 am] that such articles should not be excluded Commission’s Rules of Practice and BILLING CODE 7020–02–P from entry. Procedure (19 CFR 201.8). Section 201.8 and the Commission’s Handbook on 19 U.S.C. 1337(d)(1). A similar Filing Procedures require that interested INTERNATIONAL TRADE provision applies to cease and desist parties file documents electronically on COMMISSION orders. 19 U.S.C. 1337(f)(1). or before the filing deadline and submit The Commission is interested in eight (8) true paper copies by 12:00 [Investigation No. 337–TA–850] further development of the record on the public interest in these noon eastern time on the next business Certain Electronic Imaging Devices; day. In the event that confidential investigations. Accordingly, members of Notice of Request for Statements on the public are invited to file treatment of a document is requested, the Public Interest interested parties must file, at the same submissions of no more than five (5) time as the eight paper copies, at least AGENCY: U.S. International Trade pages, inclusive of attachments, four (4) additional true paper copies in Commission. concerning the public interest in light of the administrative law judge’s which the confidential information ACTION: Notice. must be deleted (see the following Recommended Determination on paragraph for further information SUMMARY: Notice is hereby given that Remedy and Bonding issued in this regarding confidential business the presiding administrative law judge investigation on September 30, 2013. information). Persons with questions has issued a Final Initial Determination Comments should address whether regarding electronic filing should and Recommended Determination on issuance of a LEO in this investigation contact the Secretary (202–205–2000). Remedy and Bonding in the above- would affect the public health and Any submissions that contain captioned investigation. The welfare in the United States, confidential business information (CBI) Commission is soliciting comments on competitive conditions in the United must also conform with the public interest issues raised by the States economy, the production of like requirements of section 201.6 of the recommended relief, specifically the or directly competitive articles in the Commission’s Rules of Practice and limited exclusion order (‘‘LEO’’) United States, or United States Procedure (19 CFR 201.6). Section 201.6 recommended by the ALJ. This notice is consumers. of the rules requires that the cover of the soliciting public interest comments from In particular, the Commission is document and the individual pages be the public only. Parties are to file public interested in comments that: clearly marked as to whether they are interest submissions pursuant to 19 CFR (i) Explain how the articles the ‘‘confidential’’ or ‘‘non-confidential’’ 210.50(a)(4). potentially subject to the recommended version, and that the confidential FOR FURTHER INFORMATION CONTACT: Jia orders are used in the United States; (ii) identify any public health, safety, business information be clearly Chen, Office of the General Counsel, or welfare concerns in the United States identified by means of brackets. All U.S. International Trade Commission, relating to the recommended orders; written submissions, except for 500 E Street SW., Washington, DC (iii) identify like or directly confidential business information, will 20436, telephone (202) 708–4737. The competitive articles that complainant, be made available for inspection by public version of the complaint can be its licensees, or third parties make in the interested parties. In his request letter accessed on the Commission’s United States which could replace the the USTR said that it is the intent of his electronic docket (EDIS) at http:// subject articles if they were to be office to make the Commission’s report edis.usitc.gov, and will be available for excluded; in the first investigation, No. 332–542 inspection during official business (iv) indicate whether complainant, AGOA: Trade and Investment hours (8:45 a.m. to 5:15 p.m.) in the complainant’s licensees, and/or third Performance Overview, available to the Office of the Secretary, U.S. party suppliers have the capacity to public in its entirety, and asked that the International Trade Commission, 500 E replace the volume of articles Commission not include any Street SW., Washington, DC 20436, potentially subject to the recommended confidential business information or telephone (202) 205–2000. exclusion order and/or a cease and General information concerning the national security classified information desist order within a commercially Commission may also be obtained by in the report that it sends to the USTR. reasonable time; and Any confidential business information accessing its Internet server (http:// (v) explain how the LEO would received by the Commission in this www.usitc.gov). The public record for impact consumers in the United States. investigation and used in preparing this this investigation may be viewed on the Written submissions must be filed no report will not be published in a manner Commission’s electronic docket (EDIS) later than by close of business on that would reveal the operations of the at http://edis.usitc.gov. Hearing- November 21, 2013. firm supplying the information. The impaired persons are advised that Persons filing written submissions Commission may include some or all of information on this matter can be must file the original document the confidential business information obtained by contacting the electronically on or before the deadlines submitted in the course of investigation Commission’s TDD terminal on (202) stated above and submit 8 true paper Nos. 332–544, 332–545, and 332–546 in 205–1810. copies to the Office of the Secretary by the reports it sends to the USTR in those SUPPLEMENTARY INFORMATION: Section noon the next day pursuant to section investigations. The Commission will not 337 of the Tariff Act of 1930 provides 210.4(f) of the Commission’s Rules of otherwise publish any confidential that if the Commission finds a violation Practice and Procedure (19 CFR business information in a manner that it shall exclude the articles concerned 210.4(f)). Submissions should refer to would reveal the operations of the firm from the United States: the investigation number (‘‘Inv. No. supplying the information. unless, after considering the effect of such 337–TA–850’’) in a prominent place on By order of the Commission. exclusion upon the public health and the cover page and/or the first page.

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(See Handbook for Electronic Filing and North Regional treatment plants, the public interest,’’ as defined in 21 Procedures, http://www.usitc.gov/ estimated to cost approximately $141 U.S.C. 823(f). GX 7, at 1. secretary/fed_reg_notices/rules/ million. The Show Cause Order alleged that on handbook_on_electronic_filing.pdf). The publication of this notice opens September 29, 2010, the Administrator Persons with questions regarding filing a period for public comment on the issued an Order to Show Cause and should contact the Secretary (202–205– Consent Decree. Comments should be Immediate Suspension of Registration to 2000). addressed to the Assistant Attorney Applicant, and that, on January 18, Any person desiring to submit a General, Environment and Natural 2011, Applicant voluntarily surrendered document to the Commission in Resources Division, and should refer to its previous registration. Id. at 1–2. confidence must request confidential The United States and the State of Specifically, the Show Cause Order treatment. All such requests should be Louisiana v. The City of Shreveport, alleged that Lynn Michelle Clark, directed to the Secretary to the Louisiana, DJ#: 90–5–1–1–2767/1. All Applicant’s owner/pharmacist, Commission and must include a full comments must be submitted no later ‘‘unlawfully filled numerous fraudulent statement of the reasons why the than thirty (30) days after the controlled substance prescriptions for Commission should grant such publication date of this notice. individuals known to divert these treatment. See 19 CFR 201.6. Documents Comments may be submitted either by drugs,’’ and that she ‘‘knew or should for which confidential treatment by the email or by mail: have known that these prescriptions Commission is properly sought will be were fraudulent.’’ Id. at 1. The Show treated accordingly. A redacted non- To submit Send them to: Cause Order further alleged that ‘‘Ms. confidential version of the document comments: Clark failed to fulfill her responsibility must also be filed simultaneously with to dispense controlled substances only By email ...... pubcomment-ees.enrd@ pursuant to a prescription issued for a the any confidential filing. All non- usdoj.gov. confidential written submissions will be By mail ...... Assistant Attorney General, legitimate medical purpose in the usual available for public inspection at the U.S. DOJ—ENRD, P.O. course of professional practice’’ and that Office of the Secretary and on EDIS. Box 7611, Washington, she ‘‘also violated federal law by This action is taken under the D.C. 20044–7611. delivering prescriptions for controlled authority of section 337 of the Tariff Act substances to persons who were not the of 1930, as amended (19 U.S.C. 1337), During the public comment period, ultimate users of the controlled and of sections 201.10 and 210.50 of the the Consent Decree may be examined substances.’’ Id. at 1–2 (citing 21 U.S.C. Commission’s Rules of Practice and and downloaded at this Justice 829, 841(a)(1), 842(a) and 802(10) & Procedure (19 CFR 201.10, 210.50). Department Web site: http:// (27)). Finally, the Order alleged that on www.usdoj.gov/enrd/Consent_ July 7, 2011, Ms. Clark submitted an By order of the Commission. Decrees.html. We will provide a paper application for a new registration on Issued: November 14, 2013. copy of the Consent Decree upon Applicant’s behalf.1 Id. at 1. Lisa R. Barton, written request and payment of Thereafter, Applicant apparently Acting Secretary to the Commission. reproduction costs. Please mail your requested a hearing on the allegations [FR Doc. 2013–27666 Filed 11–18–13; 8:45 am] request and payment to: Consent Decree and the matter was placed on the docket BILLING CODE 7020–02–P Library, U.S. DOJ—ENRD, P.O. Box of the Office of Administrative Law 7611, Washington, DC 20044–7611. Judges. However, on October 4, 2012, Please enclose a check or money order Applicant moved for a stay of the DEPARTMENT OF JUSTICE for $36.50 (25 cents per page proceeding pending action on its reproduction cost) payable to the United request to withdraw its application, and Notice of Lodging of Proposed States Treasury. on October 5, 2012, the ALJ granted the Consent Decree Under the Clean Water motion. GX 14, at 1. Thomas P. Carroll, Act On November 7, 2012, the Deputy Assistant Chief, Environmental Enforcement Assistant Administrator, Office of On November 13, 2013, the Section, Environment and Natural Resources Diversion Control, denied Applicant’s Department of Justice lodged a proposed Division. request to withdraw. GX 13, at 1. Consent Decree with the United States [FR Doc. 2013–27674 Filed 11–18–13; 8:45 am] Thereafter, on November 26, 2012, District Court for the Western District of BILLING CODE 4410–15–P Applicant filed with the ALJ a letter Louisiana in the lawsuit entitled The waiving its right to a hearing, citing 21 United States and The State of CFR 1301.43(e). GX 13, at 3. The next Louisiana v. The City of Shreveport, DEPARTMENT OF JUSTICE day, the ALJ found that Applicant had Louisiana, Case No: 5:13–cv–03065. The waived its right to a hearing; the ALJ Drug Enforcement Administration Consent Decree resolves the claims of thus lifted the stay of the proceeding Plaintiffs in the complaint against The Wheatland Pharmacy; Decision and and ordered that the proceeding be City of Shreveport, for Shreveport’s Order terminated. GX 14. sanitary sewer overflows in violation of On June 12, 2013, the Government Sections 301 and 309 of the Clean Water On July 17, 2012, the Deputy filed a Request for Final Agency Action Act, 42 U.S.C. 1311 and 1319, and the Assistant Administrator, Office of and the Investigative Record with this terms and conditions of Louisiana Diversion Control, Drug Enforcement Office. Req. for Final Agency Action, at Pollutant Discharge Elimination permits Administration, issued an Order to 14. Therein, the Government requests issued to the City under Section 402 of Show Cause to Wheatland Pharmacy that I deny Applicant’s pending the Clean Water Act, 42 U.S.C. 1342. (Applicant), of Dallas, Texas. The Show Under the proposed Consent Decree, Cause Order proposed the denial of 1 The Show Cause Order also notified Applicant Shreveport has agreed to pay a civil Applicant’s pending application for a of its right to request a hearing on the allegations DEA Certificate of Registration as a or to submit a written statement in lieu of a hearing, penalty of $650,000 and perform the procedure for electing either option, and the remediation of its wastewater collection retail pharmacy on the ground that its consequences for failing to do so. See 21 CFR treatment system, including the Lucas registration ‘‘would be inconsistent with 1301.43.

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application for a DEA Certificate of had yet to fill some of them. Id. at 2– clinic, located 239 miles from Registration. Based on Applicant’s 3; see also GX B, at 2. Applicant. See generally GX 6. Each November 26, 2012 letter waiving its Ms. Clark told a DEA Diversion prescription was pre-printed with the right to a hearing, I find that Applicant Investigator (DI) that she had contacted clinic name, address, phone and fax has waived its right to a hearing and the PA and was told that the numbers, the names of a physician and issue this Decision and Final Order prescriptions were valid. GX B, at 2–3. the PA, and both practitioners’ DEA and based on the Investigation Record However, the DI later determined that Texas Department of Public Safety submitted by the Government. 21 CFR Ms. Clark’s statement was false. Id. at 3. registration numbers. See id. On each 1301.43(e). I make the following factual During the conversation, the DI advised prescription, the PA’s name was findings. Ms. Clark that ‘‘she could decline to fill checked, indicating that she was the prescribing practitioner. Id. A review of Findings such prescriptions’’ and also reminded her ‘‘of a pharmacy’s corresponding the patients’ addresses shows that all of Applicant is a pharmacy located at responsibility’’ under the Controlled them resided in the Dallas metropolitan 3207 Kirnwood Drive, Suite 116, Dallas, Substances Act. Id. area, at least 230 miles from the Texas, which is owned and operated by On May 10, 2010, a DEA Special Houston clinic, and that thirteen of the Lynn Michelle Clark, a registered Agent (SA) and a Task Force Officer patients lived more than fourteen (14) pharmacist. GX 3; see also GX A. On (TFO) interviewed Ms. Clark at miles from Applicant. Id.; GX C, at 4. August 12, 2009, the Texas State Board Applicant. GX C, at 2. According to the For example, one prescription lists the of Pharmacy (TSBP) issued an order SA’s affidavit, Ms. Clark ‘‘chang[ed] her patient’s address as: 2400 Skyline Dr., suspending Applicant’s license for one story several times’’ and ‘‘finally Dallas TX, 75149; this address is 253 year; however, the suspension was then admitted that all of the prescriptions miles from the Houston clinic, and 22 probated subject to Applicant’s . . . purportedly issued by the PA had miles from Applicant. GX 6, at 66. compliance with the terms of the order.2 been brought to the pharmacy from May As part of the record, the Government GX 1, at 3. 5 through May 7, 2010, not by submitted evidence showing that on On November 3, 2009, a DEA individual patients, but by one May 5 and 6, 2010, Applicant filled the Diversion Investigator (DI) conducted a individual later identified’’ by the alias following prescriptions for twenty-four pre-registration investigation of of SF. Id. Ms. Clark claimed that she controlled substances, each of which Applicant. GX B, at 2. On November 13, verified the validity of the prescriptions was purportedly issued by the PA at the 2009, Applicant was issued DEA with personnel at the PA’s office. Id. Houston clinic on May 4, 2010: Certificate of Registration FW1734309, Ms. Clark further said that she had not 1. For SF: 120 Lortab 10/500 mg which authorized it to dispense filled all of the prescriptions which SF (hydrocodone/acetaminophen, a controlled substances in schedules II had presented to her because she had to schedule III controlled substance), 240 through V as a retail pharmacy. GX 2. order the drugs; 3 she was then ml of promethazine/codeine syrup (a The 2010 Investigation instructed by the SA ‘‘to fill some of the schedule III controlled substance), and 90 Xanax 2 mg (a schedule IV controlled On May 7, 2010, Ms. Clark contacted prescriptions,’’ so that law enforcement could monitor SF’s activities. Id. at 2– substance), along with amoxicillin (a the DEA-Dallas Field Division to report non-controlled drug), for a stated that the day before, a van arrived at 3. diagnosis of chronic pain/anxiety/ Applicant carrying approximately On May 14, 2010, the SA and TFO bronchitis. GX 6, at 3. twenty-seven (27) persons, each of returned to Applicant. Id. at 3. Ms. Clark informed the SA and TFO that the day 2. For BJW: 120 Norco 10/325 mg whom presented prescriptions for the (hydrocodone and acetaminophen), 240 same three controlled substances: before, KD, a known associate of SF, had presented additional controlled ml promethazine/codeine, and 90 Xanax hydrocodone, alprazolam, and 2 mg, as well as folic acid, for chronic promethazine with codeine syrup. GX substance prescriptions (for alprazolam and either promethazine or pain/anxiety/bronchitis. Id. at 8. B, at 2. These prescriptions were all 3. For WH: 120 Lortab 10/500 mg, 240 purportedly issued by a Physician’s hydrocodone), which were also purportedly issued by the PA, but that ml promethazine/codeine, 90 Xanax 2 Assistant (PA) who worked for a mg, along with Lovastatin (a non- medical clinic in Houston, Texas, she did not fill those prescriptions.4 Id. Ms. Clark stated that she had again controlled drug), for chronic pain/ approximately 239 miles away. Id.; see anxiety/bronchitis. This prescription also GX C, at 2. Ms. Clark filled all of called the Houston clinic, and on this occasion, spoke to the PA, who told her bore a handwritten note stating: these prescriptions. GX C, at 2. ‘‘verified Michael Reed, RN.’’ Id. at 15. Ms. Clark also reported that on May that the prescriptions were fraudulent. Id. According to the SA, Ms. Clark was 4. For HL: 120 Norco 10/325 mg, 240 7, another twenty (20) persons had ml promethazine/codeine, 90 Xanax 2 arrived in a van and presented then told not to fill any further prescriptions from the clinic. Id. mg, along with Pravastatin (a non- prescriptions, which were also controlled drug), for chronic pain/ purportedly issued by the same PA and On June 23, 2010, Agents from DEA and TSBP executed a search warrant at anxiety/bronchitis. Id. at 20. were for the same controlled substances. 5. For LY: 120 Lortab 10/500 mg, 240 Id. Ms. Clark also stated that she filled Applicant. Id. at 4. DEA seized numerous prescriptions for controlled ml promethazine/codeine, 90 Xanax 2 all of these prescriptions, although mg, and amoxicillin, again for chronic several days later, she claimed that she substances which were purportedly issued by the aforementioned PA. Id. pain/anxiety/bronchitis. Id. at 25. 6. For DSD: 120 Norco10/325 mg, 240 2 The Government submitted evidence The basis for the order was a deferred ml promethazine/codeine, 90 Xanax 2 adjudication in 1991 following Ms. Clark’s guilty of prescriptions for fifteen different mg, and Lovastatin, for chronic pain/ plea to a felony charge of Theft of Service in the patients, all of which were purportedly anxiety/bronchitis. Id. at 30. District Court of Harris County, Texas. The record issued by the PA at the Houston-based does not reflect why TSBP waited 18 years to issue 7. For SJ: 120 Lortab 10/500 mg, 240 the probationary order. The order required ml promethazine/codeine, 90 Xanax 2 Applicant to ‘‘obey . . . all Federal laws and laws 3 The record, however, is not clear as to how of the State of Texas with respect to pharmacy, many of the prescriptions she had filled at the time mg, and folic acid for chronic pain/ controlled substances, [and] dangerous drugs.’’ GX of the May 10 interview. anxiety/bronchitis. Id. at 37. This 1, at 3. 4 None of these prescriptions are in the record. prescription also bore a handwritten

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note stating: ‘‘RX & PA verified by A TSPB Investigator presented copies CBS Wholesale, 74 FR at 367449–50. I Shaquanna @ (713) 799–9400 same of the above-referenced prescriptions therefore do not consider any of this address.’’ However, the pre-printed and other records from Applicant to the evidence. phone number on the prescription is PA at the Houston clinic for her review. As noted above, on September 29, (832) 236–5688.5 Id. GX A, at 3. After reviewing these 2010, the Administrator issued an Order A patient profile from Applicant also records, the PA provided affidavits to Show Cause and Immediate establishes that on May 5 and 6, 2010, wherein she stated that she ‘‘did not Suspension of Registration (OTSC–ISO) Ms. Clark dispensed to LH 120 write a prescription for, call in . . . or to Applicant. GX 4, at 1–3. On October hydrocodone/apap 10/500 mg, 240 ml by any other means cause the 4, 2010, Applicant’s owner was promethazine/codeine syrup, and 90 authorization for’’ each patient listed personally served with the OTSC–ISO, alprazolam 2 mg, along with Lovastatin, above. Id.; see also GX 6, at 4, 9, 16, 21, and all controlled substances at with the same PA’s name listed as the 31, 38, 43, 48, 53, 58, 63, 67, 72, 76. Applicant were seized by the DEA doctor. Id. at 40. However, the record Dallas field office. GX C, at 4. The contains neither a prescription nor The Accountability Audit OTSC–ISO specified that Applicant’s labels for these medications. During the execution of the search registration was ‘‘suspended, effective The record includes evidence warrant, the DI, along with TSPB immediately,’’ and would remain including prescriptions,6 pharmacy investigators, conducted a closing suspended until a final determination in labels, and patient profiles establishing inventory of controlled substances. GX the matter was reached. GX 4, at 3. On that between June 9 and 12, 2010, B, at 3. In her affidavit, the DI stated that January 18, 2011, Applicant voluntarily Respondent dispensed additional Ms. Clark signed the closing inventory surrendered its registration. GX 5; see prescriptions, which were also sheet attesting to its accuracy, and that also Certified Registration History, GX purportedly issued by the same she later used that inventory in an 2. Houston-based PA for eleven persons. accountability audit she conducted of On July 7, 2011, Applicant re-applied See generally GX 6. The evidence shows Applicant’s handling of six for a registration. GX 3. that Respondent dispensed a total of hydrocodone products from November The 2012 Investigation thirty-three controlled substances, 13, 2009 through June 23, 2010. Id. specifically for 120 Lortab 10/500 mg, According to the DI’s affidavit, each of On August 14, 2012, DEA was alerted 240 ml promethazine/codeine, and 90 the audited drugs had a shortage or by the Pharmacy Buying Association Xanax 2 mg.7 See id. at 13, 18, 35, 42, overage, with some types (notably (PBA), a pharmaceutical distributing 47, 52, 57, 62, 66, 71, 74. These hydrocodone 10/500) short as many as company, that Applicant ordered 1,000 prescriptions were issued to patients 4,000 tablets. Id.; see also GX 12. tablets of carisoprodol, a schedule IV WH, VH, SJ, LFH, SD, EC, HJ, JM, BJR, However, the Government made no controlled substance in Texas,10 on KJ, and FW; each of the prescriptions allegation in the Show Cause Order December 1, 2010, December 27, 2010, listed the same three diagnoses of based on the results of the and February 15, 2011. GX C, at 5. chronic pain/anxiety/bronchitis.8 See accountability audit and I therefore do Based on this information, an SA id.; see also id. at 12, 34, 42, 46, 51, 61, not consider any of this evidence. See accessed the Texas prescription 66–A, 70, 74. Kenneth Harold Bull, 78 FR 62666, monitoring data for this period and Ms. Clark filled the June 2010 62674 (2013); CBS Wholesale discovered that Applicant had prescriptions after she told the SA that Distributors, 74 F 36746, 36749–50 dispensed controlled substances on ten the PA had personally informed her that (2009). occasions after its DEA registration was the prescriptions were fraudulent. The DI also stated that her review of suspended on October 4, 2010. Id. Moreover, Ms. Clark filled the prescriptions seized from Applicant Specifically, the SA found that prescriptions, notwithstanding that the revealed that it filled controlled Applicant made the following SA had previously told her to stop substance prescriptions that were not dispensings: filling the PA’s prescriptions. GX C, at properly executed by the prescribing 4; GX 6, at 11–22, 33–77. practitioner (i.e., they lacked Date Drug and schedule physician’s DEA registration number, 5 Oct. 7, 2010 ... propoxyphene napsylate Also in evidence for each of the prescriptions patient address, date prescription (sch. IV) discussed above, with the exception of the issued, etc.) in violation of 21 CFR prescriptions for LH, is the pharmacy label for each Oct. 9, 2010 ... Lyrica (pregabalin, sch. V) medication. GX 6, at 2, 7, 14, 19, 24, 28, 36. 1306.05. GX B, at 3. While this evidence Oct. 9, 2010 ... Provigil (modafinil, sch. IV) 6 The prescriptions for Patient VH and FW were may have been relevant on the issue of Oct. 11, 2010 diazepam (sch. IV) missing. However, the pharmacy’s patient profile whether Ms. Clark should have known Oct. 19, 2010 clonazepam (sch. IV) for VH establishes that on June 9, 2010, Applicant the PA’s prescription were fraudulent, Oct. 19, 2010 Lyrica dispensed hydrocodone, alprazolam, and none of the prescriptions were Oct. 26, 2010 hydrocodone (sch. III) promethazine with codeine based on a prescription submitted for the record and it is Oct. 26, 2010 propoxyphene napsylate purportedly issued to her by the PA. GX 6, at 18. (two prescriptions) With respect to FW, both the patient profile and the unclear whether any of these Oct. 27, 2010 lorazepam (sch. IV) pharmacy labels establish that on June 12, 2010, prescriptions were issued by the PA. Applicant dispensed the same three drugs based on Moreover, to the extent the a prescriptions purportedly issued to him by the GX C, at 5. PA. GX 6, at 74–75. prescriptions were issued by other 7 In his affidavit, the SA stated that the above- prescribers, the Government made no 10 Carisoprodol was scheduled as a Schedule IV referenced combination of hydrocodone, allegation in the Show Cause Order controlled substance by the Texas Legislature in alprazolam and promethazine with codeine syrup is regarding the filling of these June 2009. See 2009 Tex. Sess. Law Serv. Ch. 774 known in the Dallas area as an illicit drug cocktail prescriptions.9 See Bull, 78 FR at 62674; (S.B. 904) (codified in Tex. Health & Safety Code that is commonly abused and/or diverted by drug Ann. § 481.037). However, there is no evidence in seekers and individuals involved in the trafficking the Investigative Record that Applicant did not hold of controlled substances. GX C, at 2. However, no 9 The DI also stated that Applicant commingled a Texas controlled substance registration when it evidence establishes why a pharmacist would know controlled substance prescriptions with non- obtained these drugs and the rule placing this. controlled substance prescriptions. GX B, at 3. carisoprodol into Schedule IV of the CSA did not 8 The names of four of the purported patients Because the Show Cause Order contains no take effect until January 11, 2012. See DEA, (WH, HL, SJ, and LFH) had been previously used allegation based on this assertion, I do not consider Schedules of Controlled Substances: Placement of on the prescriptions which were presented in May. this evidence. Carisoprodol into Schedule IV, 76 FR 77330 (2011).

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On August 30, 2012, the Texas that he had interviewed the program (4) Compliance with applicable State, Department of Public Safety (DPS) director and medical assistant at BCA, a Federal, or local laws relating to controlled performed a registrant inspection of home healthcare provider, and was told substances. (5) Such other conduct which may threaten Applicant. GX A, at 3. The state that Applicant ‘‘delivered controlled the public health and safety. inspector found that on October 4, 2010, substances to BCA for dispensing to Applicant had dispensed 30 capsules of BCA’s clients,’’ and that it ‘‘was the sole Id. Lyrica. Id. However, it is unclear provider of all prescriptions filled for ‘‘These factors are to be considered in whether the dispensing occurred before BCA.’’ 13 Id. the disjunctive.’’ Robert A. Leslie, M.D., or after the ISO was served.11 During the interview, BCA’s medical 68 FR 15227, 15230 (2003). I ‘‘may rely Later that day, a state search warrant assistant showed the SA a prescription on any one or a combination of factors was executed at Applicant by local law blister pack for 60 tablets of lorazepam and may give each factor the weight enforcement entities and DEA .5mg; the label affixed to the pack . . . [I] deem[] appropriate in personnel. GX C, at 6. During the search, establishes that Applicant dispensed the determining whether . . . an the officers seized prescription vials drugs on August 1, 2012. See GX C, at application for registration [should be] labeled as containing hydrocodone, 8–9; GX 9, at 1–2. The medical assistant denied.’’ Id.; see also Kevin Dennis, propoxyphene napsylate, lorazepam and also showed the SA a second blister M.D., 78 FR 52787, 52794 (2013); Lyrica, pharmacy receipt labels, pack, which originally contained 60 MacKay v. DEA, 664 F.3d 808, 816 (10th prescriptions for controlled substances, tablets of clonazepam 1 mg; its label Cir. 2010). Moreover, while I am and controlled substance dispensing establishes that Applicant dispensed the required to consider each of the factors, records. Id.; see also GX 8. The vials drugs on August 28, 2012. GX C, at I ‘‘need not make explicit findings as to were affixed with labels from both 8–9; GX 9, at 3–5. each one.’’ MacKay, 664 F.3d at 816 Applicant and other Dallas (quoting Volkman v. DEA, 567 F.3d 215, Discussion pharmacies.12 GX 8, at 2; GX C, at 7. 222 (6th Cir. 2009) (quoting Hoxie, 419 14 During the search, the Officers found Pursuant to section 303(f) of the F.3d at 482)). The Government has the burden of controlled substance prescriptions from Controlled Substances Act (CSA), ‘‘[t]he proving, by substantial evidence, that various doctors on Applicant’s fax Attorney General may deny an grounds exist to deny the application machine. GX C, at 8. When asked about application for [a practitioner’s] pursuant to 21 U.S.C. 823(f). 21 CFR the prescriptions, Ms. Clark asserted registration . . . if the Attorney General 1301.44(d). This is so even in a non- that she transferred them to other determines that the issuance of such contested case. pharmacies to fill, and that she would registration would be inconsistent with the public interest.’’ 21 U.S.C. 823(f); Having considered all of the factors, I sometimes bring the filled controlled- conclude that the Government’s substance prescriptions back to see also id. § 802(21) (defining ‘‘[t]he term ‘practitioner’’’ to include a evidence with respect to Applicant’s Applicant and put them with the non- experience in dispensing controlled controlled substance prescriptions to be pharmacy). In making the public interest determination, Congress substances (factor two) and its dispensed or delivered. Id. Ms. Clark compliance with applicable state and also stated that on some occasions, directed that the following factors be considered: federal laws relating to controlled patients came into Applicant to pick up substances (factor four), establishes a their controlled and non-controlled (1) The recommendation of the appropriate prima facie case that issuing it a new substance prescriptions. Id. The State licensing board or professional registration ‘‘would be inconsistent with Government did not, however, provide disciplinary authority. the public interest.’’ 21 U.S.C. 823(f). (2) The Applicant’s experience in copies of the prescriptions nor identify Because Applicant waived its right to how many it found; nor did it produce dispensing . . . controlled substances. (3) The Applicant’s conviction record present evidence in refutation of the any evidence regarding the veracity of Government’s prima facie case, I will Ms. Clark’s statement that she sent the under Federal or State laws relating to the manufacture, distribution, or dispensing of order that its application be denied. prescriptions to other pharmacies for controlled substances. filling. Factor 1: The Recommendation of the In his affidavit, the SA stated that 13 Also included in the record is a signed Appropriate State Licensing Board or Applicant was dispensing controlled statement by the BCA program director stating that Professional Disciplinary Authority substances to clients classified as home she ‘‘has seen the pharmacist drop of [sic] Applicant currently holds a pharmacy healthcare service providers through medication to this office from Wheatland Pharmacy. I have seen Michelle drop of [sic] medication from license issued by the Texas State Board August 2012. GX C, at 8. He also stated Wheatland Pharmacy.’’ GX 10. However, this of Pharmacy and a Controlled Substance statement does not indicate whether the delivered Registration issued by the Texas 11 There is a conflict in the statements of the medication included controlled substances. Department of Public Safety. As found Government’s witnesses as to whether this Moreover, while the statement was witnessed by an prescription, which was issued on October 4, 2010, SA and TFO, it does not include an attestation above, in 2009 the TSBP issued an was dispensed on that date or on October 9, 2010. clause. Order suspending Applicant’s license Compare GX A, at 3; with GX C, at 5–6. However, However, the record also includes a statement on the basis of a felony offense of theft there is no evidence that either affiant participated from the Medical Assistant. GX 11. Therein, the of services in 1991. The Board then in the DPS’s Inspection and both affiants apparently Medical Assistant stated that ‘‘since [she] returned relied on the hearsay statement of the DPS to the Grand Prairie office on May 1st 2012, all the probated the suspension, conditioned Investigator. As the Government has the burden of medications received from Wheatland pharmacy, proving its allegations by a preponderance of the all had labels from Wheatland pharmacy, controlled 14 ‘‘In short, this is not a contest in which score evidence, and it has provided no further evidence and non-controlled medications.’’ Id. The Medical is kept; the Agency is not required to mechanically to resolve the dispute, to the extent this evidence Assistant also stated that when Applicant delivered count up the factors and determine how many favor was offered to support a finding that Applicant drugs, she would review the medications to make the Government and how many favor the registrant. dispensed a controlled substance after it was served sure that it was the correct drug for each patient. Rather, it is an inquiry which focuses on protecting with the ISO, I place no weight on it. Id. This statement was also witnessed by an SA and the public interest; what matters is the seriousness 12 When asked why she continued to possess TFO, and contained an attestation clause. See id. at of the registrant’s misconduct.’’ Jayam Krishna-Iyer, controlled substances, Ms. Clark ‘‘stated that DEA 2. I therefore find that it constitutes substantial 74 FR 459, 462 (2009). Accordingly, as the Tenth must have left the drugs on the premises when they evidence that Applicant continued to dispense Circuit has recognized, findings under a single seized [her] controlled substances on October 4, controlled substances when it did not possess a factor can support the revocation of a registration. 2010.’’ GX C, at 7–8. DEA registration. See MacKay, 664 F.3d at 821.

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upon Applicant complying with the Factors Two and Four: The Applicant’s pharmacist may not intentionally close terms of the order, including that it Experience in Dispensing Controlled [her] eyes and thereby avoid [actual] comply with by all federal and state Substances and Compliance With knowledge of the real purpose of the laws ‘‘with respect to pharmacy, Applicable State, Federal or Local Laws prescription.’’ Bertolino, 55 FR at 4730 controlled substances, dangerous Relating to Controlled Substances (citations omitted). The regulation thus drugs,’’ as well as ‘‘all rules and Under a longstanding DEA regulation, ‘‘requires . . . pharmacists [to] use regulations adopted pursuant to the a prescription for a controlled substance common sense and professional above-mentioned statutes.’’ GX 1, at 3. is unlawful unless it has been ‘‘issued judgment.’’ Id. The Government has provided no for a legitimate medical purpose by an Similarly, under the TSBP’s additional evidence that since 2009, individual practitioner acting in the regulations, a pharmacist is required to either the TSBP or TDPS have taken usual course of his professional ‘‘exercise sound professional judgment action either against Applicant’s practice.’’ 21 CFR 1306.04(a). This with respect to the accuracy and pharmacy license or its state controlled regulation further provides that while authenticity of any prescription drug substance registration. GX A. ‘‘[t]he responsibility for the proper order dispensed.’’ 22 Tex. Admin. Code DEA has long held, however, that a prescribing and dispensing of controlled § 291.29(a). Moreover, ‘‘[a] pharmacist State’s failure to take action against an substances is upon the prescribing shall not dispense a prescription drug if applicant’s pharmacy license or practitioner, . . . a corresponding the pharmacist knows or should have controlled substance registration (where responsibility rests with the pharmacist known that the order for such drug was such registration is also required) is not who fills the prescription.’’ Id. issued without a valid pre-existing dispositive in determining whether the (emphasis added). Continuing, the patient-practitioner relationship.’’ Id. continuation of a registration is in the regulation states that ‘‘[a]n order § 291.29(b). The TSBP’s regulations public interest. East Main Street purporting to be a prescription issued identify various ‘‘[r]easons to suspect Pharmacy, 75 FR 66149, 66162 n.47 not in the usual course of professional that a prescription may have been (2010); Nicholas A. Sychak, d/b/a treatment . . . is not a prescription . . . authorized in the absence of a valid Medicap Pharmacy, 65 FR 75959, 75967 and the person knowingly filling such a patient-practitioner relationship,’’ (2000). ‘‘[T]he Controlled Substances purported prescription . . . shall be including, inter alia: ‘‘(1) The number of Act requires that the Administrator . . . subject to the penalties provided for prescriptions authorized on a daily basis make an independent determination violations of the provisions of law by the practitioner; (2) the manner in [from that made by state officials] as to relating to controlled substances.’’ Id.16 which the prescriptions are . . . whether the granting of controlled DEA has consistently interpreted this received by the pharmacy; [and] (3) [t]he substance privileges would be in the provision ‘‘as prohibiting a pharmacist geographical distance between the public interest.’’ Mortimer Levin, 57 FR from filling a prescription for a practitioner and the patients.’’ Id. 8680, 8681 (1992). Thus, while there is controlled substance when [s]he either § 291.29(c)(1)–(3). no evidence that the Texas Board has ‘knows or has reason to know that the Here, the evidence shows that Ms. revoked Applicant’s pharmacy license prescription was not written for a Clark, Applicant’s owner and or its state registration, DEA has legitimate medical purpose.’’’ Medicine pharmacist, clearly knew or had reason repeatedly held that while a Shoppe-Jonesborough, 73 FR 364, 381, to know that the prescriptions presented practitioner’s possession of state pet. for rev. denied, Medicine Shoppe- on May 6, 2010 by SF, which were authority constitutes an essential Jonesborough v. DEA, 300 Fed. Appd’x. purportedly issued by the Houston- condition for obtaining and maintaining 409, 412 (6th Cir. 2008) (quoting Medic- based PA for some twenty-seven a registration, see 21 U.S.C. 802(21) & Aid Pharmacy, 55 FR 30043, 30044 patients, each of whom received the 823(f); it ‘‘ ‘is not dispositive of the (1990)); see also Frank’s Corner same three controlled substances public interest inquiry.’ ’’ George Pharmacy, 60 FR 17574, 17576 (1995); (hydrocodone/acetaminophen, Mathew, 75 FR 66138, 66145 (2010), Ralph J. Bertolino, 55 FR 4729, 4730 promethazine with codeine cough pet. for rev. denied Mathew v. DEA, No. (1990); United States v. Seelig, 622 F.2d syrup, and alprazolam), were not issued 10–73480, slip op. at 5 (9th Cir., Mar. 207, 213 (6th Cir. 1980). This Agency for a legitimate medical purpose. 21 16, 2012); see also Patrick W. Stodola, has further held that ‘‘[w]hen CFR 1306.04(a). Ms. Clark had ample 74 FR 20727, 20730 n.16 (2009); Robert prescriptions are clearly not issued for reason to know that the prescriptions A. Leslie, 68 FR 15227, 15230 (2003). legitimate medical purposes, a were not legitimate given that the PA, Thus, this factor is not dispositive either whose prescription pad had been used, for or against the issuance of a ‘‘would be inconsistent with the public interest.’’ 21 practiced in Houston, approximately registration to Applicant. See Paul Weir U.S.C. § 823(f). See also Dewey C. MacKay, 75 FR 240 miles from Applicant; each of the Battershell, 76 FR 44359, 44366 (2011) 49956, 49973 (2010); Edmund Chein, 72 FR 6580, persons received the same combination (citing Edmund Chein, 74 FR 6580, 6590 6593 n.22 (2007). of controlled substances; and Ms. Clark 16 To effectuate the dual goals of conquering drug (2007), pet. for rev. denied, Chein v. eventually admitted that all of the 15 abuse and controlling both legitimate and DEA, 533 F.3d 828 (D.C. Cir. 2008)). illegitimate traffic in controlled substances, prescriptions had been brought to ‘‘Congress devised a closed regulatory system Applicant by SF. Ms. Clark nonetheless 15 As for factor three—the Applicant’s Record of making it unlawful to manufacture, distribute, filled the prescriptions.17 Moreover, Convictions of Offenses Related to the Manufacture, dispense, or possess any controlled substance Distribution, or Dispensing of Controlled except in a manner authorized by the CSA.’’ Substances—it is noted that the TSBP’s 2009 Order Gonzales v. Raich, 545 U.S. 1, 13 (2005). As the 17 In East Main Street Pharmacy, the was based on a 1991 felony conviction of Ms. Clark Supreme Court has explained, the prescription Administrator noted the following examples of red for theft of services. GX 1, at 1. However, the requirement, 21 CFR 1306.04(a), advances this flags, including the respective locations of the Government does not contend that this offense falls purpose by ‘‘ensur[ing that] patients use controlled patients and prescriber and that patients were within factor three. Moreover, there is no evidence substances under the supervision of a doctor so as travelling long distances to both obtain the that either Applicant or Ms. Clark has been to prevent addiction and recreational abuse. As a prescriptions and fill them (and were bypassing criminally charged, let alone convicted of, any of corollary, [it] also bars doctors from peddling to numerous pharmacies en route), the lack of the misconduct established on this record. patients who crave the drugs for those prohibited individualization of dosing, and that the patients Accordingly, consistent with DEA precedent, I find uses.’’ Gonzales v. Oregon, 546 U.S. 243, 274 (2006) were obtaining the same combination of multiple that this factor neither weighs in favor of, or against (citing United States v. Moore, 423 U.S. 122, 135, controlled substances. 75 FR 66149, 66157–59 & a determination that Applicant’s registration 143 (1975)). 66164 (2010).

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while Ms. Clark claimed to DEA issued by the PA. See GX C, at 4; see Under the CSA, it is ‘‘unlawful for Investigators that she had verified the generally GX 6. As the evidence shows, any person knowingly or intentionally prescriptions with the PA’s office, the on or about June 9, 2010, Ms. Clark . . . to use in the course of the Investigators ultimately determined that received eleven more prescription manufacture, distribution, or dispensing she did not do so. I thus hold that Ms. forms, which were purportedly issued of a controlled substance . . . a Clark violated federal law by filling each by the PA and authorized the registration number which is revoked of these prescriptions. 21 U.S.C. dispensing of thirty-three additional [or] suspended.’’ 21 U.S.C. 843(a). Also, 841(a)(1); 21 CFR 1306.04(a). prescriptions for the same cocktail of ‘‘[e]very person who dispenses, or who The following day, Ms. Clark again hydrocodone, promethazine with proposes to dispense, any controlled violated federal law by filling at least codeine, and alprazolam, which she had substance, shall obtain from the some of prescriptions for the same three previously filled. Moreover, some of the Attorney General a registration issued in controlled substances, which were prescriptions used the names of the accordance with the rules and purportedly issued in the name of same ‘‘patients’’ whose names were regulations promulgated by him.’’ Id. twenty persons by the same Houston- used on the fraudulent prescriptions § 822(a)(2). Finally, a DEA regulation based physician’s assistant, whose presented by SF to Ms. Clark in early expressly provides that ‘‘[n]o person prescriptions she filled the day before. May. Nonetheless, Ms. Clark filled the required to be registered shall engage in Here again, the prescriptions were prescriptions, in abject disregard of her any activity for which registration is presented to Ms. Clark by SF, and here corresponding responsibility under the required until the application for again, Ms. Clark falsely claimed that she CSA not to fill clearly fraudulent registration is granted and a Certificate verified the prescriptions with the PA’s prescriptions. See 21 CFR 1306.04(a).20 of Registration is issued by the office. While Ms. Clark subsequently Ms. Clark’s filling of the prescriptions is Administrator to such person.’’ 21 CFR stated that she had not filled all of the egregious misconduct and supports the 1301.13(a). See also 21 U.S.C. 841(a) prescriptions, she admitted to filling conclusion that issuing Applicant a new (‘‘Except as authorized by this some of them. I thus hold that Ms. Clark registration ‘‘would be inconsistent with subchapter it shall be unlawful for any violated federal law with respect to the public interest.’’ 21 U.S.C. 823(f). person knowingly or intentionally to those prescriptions she did fill. 21 This, however, is not the only dispense or possess with intent to . . . 18 U.S.C. 841(a)(1); 21 CFR 1306.04(a). misconduct proved on this record, as dispense . . . a controlled On May 14, 2010, Ms. Clark told there is substantial evidence showing substance.’’) 21 Investigators that the day before, KD, a that after Ms. Clark was served with the known associate of SF, had brought in Here again, it is clear that Ms. Clark Immediate Suspension Order on additional controlled substance and Applicant flagrantly violated October 4, 2010, she continued to prescriptions for alprazolam and either federal law by dispensing controlled dispense controlled substances and did promethazine or hydrocodone, which substance knowing that she and so notwithstanding that the Order, in were also purportedly issued by the Applicant lacked authority to do so. addition to its title, clearly stated that it same Houston-based PA. GX C, at 3. Ms. While, by itself, Ms. Clark’s egregious was ‘‘effective immediately.’’ GX 4, at 3. Clark told the Investigators that she did misconduct in dispensing the More specifically, the evidence shows not fill the prescriptions because she fraudulent prescriptions warrants the that Applicant dispensed ten had actually spoken with the PA and denial of Applicant’s application, Ms. prescriptions for controlled substances was told that the prescriptions were Clark’s further misconduct in between October 7 and October 27, fraudulent. Moreover, during the dispensing controlled substances when 2010. GX C, at 5. Moreover, the interview, Ms. Clark was told not to fill she lacked the authority to do so evidence showed that Applicant was any further prescriptions from the PA’s provides an additional basis which still dispensing controlled substances in clinic.19 supports the conclusion that the August 2012, even though Ms. Clark had Notwithstanding that Ms. Clark had issuance of a new registration to voluntarily surrendered Applicant’s been told by the PA that the Applicant ‘‘would be inconsistent with DEA registration in January 2011. See prescriptions that were being presented the public interest.’’ 21 U.S.C. 823(f). GX 5 (Voluntary Surrender form); GX 9 at her pharmacy were fraudulent (and Because Applicant waived its right to a (blister packs for drugs dispensed on had also been told by a DEA Agent not hearing or to submit a written statement August 1 and 28, 2012). Indeed, to fill them)—as if she needed to be told, in lieu of hearing, there is no evidence Investigators found that Applicant was given the circumstances of a single to the contrary. Accordingly, I will order still receiving prescriptions for person presenting on multiple days, controlled substances, notwithstanding 21 prescriptions for multiple controlled While the Government also introduced that the Immediate Suspension Order evidence showing that the Investigators found on substances for more than forty patients, had been served on Ms. Clark nearly Applicant’s premises several vials of controlled all of which were purportedly issued by two years earlier. substances that had been dispensed by other a PA located nearly 240 miles away— pharmacies to persons other than Ms. Clark, it she proceeded to fill additional neither offered evidence establishing that the drugs prescriptions which were purportedly 20 The Government also alleged that Applicant were tested and found to be a controlled substance, and ‘‘Ms. Clark violated federal law by delivering nor evidence showing that the drugs match the prescriptions for controlled substances to persons physical appearance of the various medications as 18 However, with respect to those prescriptions who were not the ultimate users of the’’ drugs. GX set forth in the Physicians’ Desk Reference. she filled based on the instruction of Agency 7, at 2. Because by definition, ‘‘the term ‘ultimate Moreover, the Government offered no evidence personnel to do so, so that the latter could monitor user’ means a person who has lawfully obtained, showing that the patients listed on the vials were SF’s activities, I do not find that she violated federal and who possesses, a controlled substance for his not employees of Applicant. law in doing so. own use or for the use of a member of his As for the three purchases of carisoprodol, as 19 It is noted that on her application, Ms. Clark household,’’ 21 U.S.C. 802(27) (emphasis added), found above, all of these purchases occurred before disputed that she was told not to fill the and it is indisputable that all of the PA’s the drug became a federally controlled substance on prescriptions, stating that ‘‘DEA Agents never prescriptions were fraudulent, the allegation is January 11, 2012. See 76 FR 77330. Moreover, while advised or admonished [her] not to fill the simply duplicative of the allegation that Ms. Clark at the time of the purchase, carisoprodol was a prescriptions.’’ GX 3. However, I find credible the dispensed controlled substances when she had schedule IV controlled substance under Texas law, statement of the SA that during May 14, 2010 reason to know that the prescriptions were there is no evidence that Applicant did not hold a interview, he told her not to fill any further fraudulent and thus obviously not issued for a DPS registration at the time of the purchases. Thus, prescriptions from the PA’s clinic. GX C, at 3. legitimate medical purpose. I do not place any weight on this evidence.

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that Applicant’s pending application be a hearing on such application pursuant listed in schedules I and II, which falls denied. to 21 CFR 1301.43 and in such form as under the authority of section prescribed by 21 CFR 1316.47. 1002(a)(2)(B) of the Act (21 U.S.C. Order Any such written comments or 952(a)(2)(B)) may, in the circumstances Pursuant to the authority vested in me objections should be addressed, in set forth in 21 U.S.C. 958(i), file by 21 U.S.C. 823(f), as well as 28 CFR quintuplicate, to the Drug Enforcement comments or objections to the issuance 0.100(b) and 28 CFR 0.104, I order that Administration, Office of Diversion of the proposed registration and may, at the application of Wheatland Pharmacy, Control, Federal Register Representative the same time, file a written request for for a DEA Certificate of Registration as (ODW), 8701 Morrissette Drive, a hearing on such application pursuant a retail pharmacy, be, and it hereby is, Springfield, Virginia 22152; and must be to 21 CFR 1301.43, and in such form as denied. This order is effective filed no later than December 19, 2013. prescribed by 21 CFR 1316.47. immediately. This procedure is to be conducted Any such written comments or Dated: November 8, 2013. simultaneously with, and independent objections should be addressed, in Thomas M. Harrigan, of, the procedures described in 21 CFR quintuplicate, to the Drug Enforcement Administration, Office of Diversion Deputy Administrator. 1301.34(b), (c), (d), (e), and (f). As noted in a previous notice published in the Control, Federal Register Representative [FR Doc. 2013–27700 Filed 11–18–13; 8:45 am] Federal Register on September 23, 1975, (ODW), 8701 Morrissette Drive, BILLING CODE 4410–09–P 40 FR 43745–46, all applicants for Springfield, Virginia 22152; and must be registration to import basic classes of filed no later than December 19, 2013. This procedure is to be conducted DEPARTMENT OF JUSTICE any controlled substances in schedules I or II are, and will continue to be, simultaneously with, and independent Drug Enforcement Administration required to demonstrate to the Deputy of, the procedures described in 21 CFR Assistant Administrator, Office of 1301.34(b), (c), (d), (e), and (f). As noted Importer of Controlled Substances; Diversion Control, Drug Enforcement in a previous notice published in the Notice of Application; Mylan Administration, that the requirements Federal Register on September 23, 1975, Pharmaceuticals, Inc. for such registration pursuant to 21 40 FR 43745–46, all applicants for U.S.C. 958(a); 21 U.S.C. 823(a); and 21 registration to import a basic class of Pursuant to Title 21 Code of Federal CFR 1301.34(b), (c), (d), (e), and (f) are any controlled substance in schedules I Regulations 1301.34(a), this is notice satisfied. or II are, and will continue to be, that on October 7, 2013, Mylan required to demonstrate to the Deputy Pharmaceuticals, Inc., 781 Chestnut Dated: November 12, 2013. Assistant Administrator, Office of Ridge Road, Morgantown, West Virginia Joseph T. Rannazzisi, Diversion Control, Drug Enforcement 26505, made application by renewal to Deputy Assistant Administrator, Office of Administration, that the requirements the Drug Enforcement Administration Diversion Control, Drug Enforcement for such registration pursuant to 21 (DEA) to be registered as an importer of Administration. U.S.C. 958(a); 21 U.S.C. 823(a); and 21 the following basic classes of controlled [FR Doc. 2013–27660 Filed 11–18–13; 8:45 am] CFR 1301.34(b), (c), (d), (e), and (f) are substances: BILLING CODE 4410–09–P satisfied. Drug Schedule Dated: November 5, 2013. DEPARTMENT OF JUSTICE Joseph T. Rannazzisi, Amphetamine (1100) ...... II Deputy Assistant Administrator, Office of Methylphenidate (1724) ...... II Drug Enforcement Administration Diversion Control, Drug Enforcement Oxycodone (9143) ...... II Administration. Hydromorphone (9150) ...... II Importer of Controlled Substances; [FR Doc. 2013–27661 Filed 11–18–13; 8:45 am] Methadone (9250) ...... II Notice of Application; GE Healthcare Morphine (9300) ...... II BILLING CODE 4410–09–P Fentanyl (9801) ...... II Pursuant to Title 21, Code of Federal Regulations 1301.34(a), this is notice DEPARTMENT OF JUSTICE The company plans to import the that on September 18, 2013, GE listed controlled substances in finished Healthcare, 3350 North Ridge Avenue, Federal Bureau of Investigation dosage form (FDF) from foreign sources Arlington Heights, Illinois 60004–1412, for analytical testing and clinical trials made application by renewal to the [OMB Number 1110–0046] in which the foreign FDF will be Drug Enforcement Administration Agency Information Collection compared to the company’s own (DEA) to be registered as an importer of Activities; Existing Collection, domestically-manufactured FDF. This Cocaine (9041), a basic class of Comments Requested: Friction Ridge analysis is required to allow the controlled substance listed in schedule Cards: Arrest and Institution; company to export domestically- II. manufactured FDF to foreign markets. The company plans to import small Applicant; Personal Identification; FBI Any bulk manufacturer who is quantities of ioflupane, in the form of Standard Palm Print; Supplemental presently, or is applying to be, three separate analogues of Cocaine that Finger and Palm Print registered with DEA to manufacture will be used for the support and ACTION: 30-day Notice of Information such basic classes of controlled manufacture of DaTSCAN (ioflupane Collection for Reinstatement. substances listed in schedule II, which 1–123) injection for distribution as a falls under the authority of section radioactive diagnostic imaging agent The Department of Justice (DOJ), 1002(a)(2)(B) of the Act (21 U.S.C. utilized in the diagnosis of Parkinson’s Federal Bureau of Investigation (FBI), 952(a)(2)(B)) may, in the circumstances disease. Criminal Justice Information Services set forth in 21 U.S.C. 958(i), file Any bulk manufacturer who is (CJIS) Division will be submitting the comments or objections to the issuance presently, or is applying to be, following information collection of the proposed registration and may, at registered with DEA to manufacture renewal to the Office of Management the same time, file a written request for such basic class of controlled substance and Budget (OMB) for review in

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accordance with established review department sponsoring the collection: approval for continued use, without procedures of the Paperwork Reduction Forms FD–249 (Arrest and Institution), change, in accordance with the Act of 1995. The information collection FD–258 (Applicant), and FD–353 Paperwork Reduction Act of 1995 is published to obtain comments from (Personal Identification); FD–884 (FBI (PRA), 44 U.S.C. 3501 et seq. the public and affected agencies. The Standard Palm Print); FD–884a DATES: Submit comments on or before information collection was previously (Supplemental Finger and Palm Print) December 19, 2013. published in the Federal Register encompassed under OMB 1110–0046; ADDRESSES: A copy of this ICR with Volume 78, Number 179, Page 56940, on CJIS Division, FBI, DOJ. applicable supporting documentation; September 16, 2013, allowing for a 60- (4) Affected public who will be asked including a description of the likely day comment period. or required to respond, as well as a brief respondents, proposed frequency of The purpose of this notice is to allow abstract: Primary: City, county, state, response, and estimated total burden for an additional 30 days for public federal and tribal law enforcement may be obtained free of charge from the comment until December 19, 2013. This agencies; civil entities requesting RegInfo.gov Web site at http:// process is conducted in accordance with security clearance and background www.reginfo.gov/public/do/ 5 CFR 1320.10. checks. This collection is needed to PRAViewICR?ref_nbr=201307-1218-004 Written comments and/or suggestions collect information on individuals (this link will only become active on the regarding the items contained in this requesting background checks, security day following publication of this notice) notice, especially the estimated public clearance, or those individuals who or by contacting Michel Smyth by burden and associated response time, have been arrested for or accused of telephone at 202–693–4129 (this is not should be directed to the OMB, Office criminal activities. Acceptable data is a toll-free number) or sending an email of Information and Regulatory Affairs, stored as part of the Integrated to [email protected]. Attention Department of Justice Desk Automated Fingerprint Identification Submit comments about this request Officer, Washington, DC 20503. System (IAFIS) of the FBI. by mail or courier to the Office of Additionally, comments may be (5) An estimate of the total number of Information and Regulatory Affairs, submitted to OMB via facsimile to (202) respondents and the amount of time Attn: OMB Desk Officer for DOL–OSHA, 395–5806. Written comments and estimated for an average respondent to Office of Management and Budget, suggestions from the public and affected respond: There are approximately Room 10235, 725 17th Street NW., agencies concerning the proposed 74,793 agencies as respondents at 10 Washington, DC 20503; by Fax: 202– collection of information are minutes per fingerprint card completed. 395–6881 (this is not a toll-free encouraged. Your comments should (6) An estimate of the total public number); or by email: OIRA_ address one or more of the following burden (in hours) associated with this [email protected]. Commenters four points: collection: There are approximately 10.1 are encouraged, but not required, to (1) Evaluate whether the proposed million annual burden hours associated send a courtesy copy of any comments collection of information is necessary with this collection. by mail or courier to the U.S. for the proper performance of the If additional information is required Department of Labor-OASAM, Office of functions of the agency, including contact: Jerri Murray, Department the Chief Information Officer, Attn: whether the information will have a Clearance Officer, Policy and Planning Information Policy and Assessment practical utility; Staff, Justice Management Division, U.S. Program, Room N1301, 200 Constitution (2) Evaluate the accuracy of the Department of Justice, Two Constitution Avenue NW., Washington, DC 20210; or agency’s estimate of the burden of the Square, 145 N Street NE., Washington, by email: [email protected]. proposed collection of information, DC 20530. FOR FURTHER INFORMATION CONTACT: including the validity of the Dated: November 14, 2013. Contact Michel Smyth by telephone at methodology and assumptions used; Jerri Murray, 202–693–4129 (this is not a toll-free (3) Enhance the quality, utility, and _ _ Department Clearance Officer for PRA, number) or by email at DOL PRA clarity of the information to be United States Department of Justice. [email protected]. collected; and (4) Minimize the burden of the [FR Doc. 2013–27650 Filed 11–18–13; 8:45 am] Authority: 44 U.S.C. 3507(a)(1)(D). collection of information on those who BILLING CODE 4410–02–P SUPPLEMENTARY INFORMATION: This ICR are to respond, including through the seeks continued PRA authorization for use of appropriate automated, the Crawler, Locomotive, and Truck electronic, mechanical, or other DEPARTMENT OF LABOR Cranes Standard information collection technological collection techniques of requirements. The Standard requires Office of the Secretary other forms of information technology, performance of a monthly inspection on cranes and running ropes and e.g., permitting electronic submission of Agency Information Collection preparation of a certification record for responses. Activities; Submission for OMB each inspection. A rope that has been Overview of this information Review; Comment Request; Crawler, idle for a month or more must undergo collection: Locomotive, and Truck Cranes a thorough inspection and a certification (1) Type of information collection: Standard Reinstatement, with change, of a record must be generated. Occupational previously approved collection for ACTION: Notice. Safety and Health Act sections 6(b)(7), which approval has expired. Reference: 29 U.S.C. 655(b)(7), and 8(c), 29 U.S.C. OMB control number of 1110–0046. SUMMARY: The Department of Labor 657(c), authorize this information (2) The title of the form/collection: (DOL) is submitting the Occupational collection. Friction Ridge Cards: Arrest and Safety and Health Administration This information collection is subject Institution; Applicant; Personal (OSHA) sponsored information to the PRA. A Federal agency generally Identification; FBI Standard Palm Print; collection request (ICR) titled, ‘‘Crawler, cannot conduct or sponsor a collection Supplemental Finger and Palm Print. Locomotive, and Truck Cranes of information, and the public is (3) The agency form number, if any, Standard,’’ to the Office of Management generally not required to respond to an and the applicable component of the and Budget (OMB) for review and information collection, unless it is

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approved by the OMB under the PRA Affected Public: Private Sector— Department of Labor-OASAM, Office of and displays a currently valid OMB businesses or other for-profits. the Chief Information Officer, Attn: Control Number. In addition, Total Estimated Number of Information Policy and Assessment notwithstanding any other provisions of Respondents: 3,499. Program, Room N1301, 200 Constitution law, no person shall generally be subject Total Estimated Number of Avenue NW., Washington, DC 20210; or to penalty for failing to comply with a Responses: 80,882. by email: [email protected]. Total Estimated Annual Burden collection of information that does not Authority: 44 U.S.C. 3507(a)(1)(D). display a valid Control Number. See 5 Hours: 30,452. FOR FURTHER INFORMATION CONTACT: CFR 1320.5(a) and 1320.6. The DOL Total Estimated Annual Other Costs Contact Michel Smyth by telephone at obtains OMB approval for this Burden: $0. 202–693–4129 (this is not a toll-free information collection under Control Dated: November 12, 2013. number) or by email at DOL_PRA_ Number 1218–0221. Michel Smyth, [email protected]. OMB authorization for an ICR cannot Departmental Clearance Officer. be for more than three (3) years without SUPPLEMENTARY INFORMATION: In order to [FR Doc. 2013–27587 Filed 11–18–13; 8:45 am] ensure full and meaningful public renewal, and the current approval for BILLING CODE 4510–26–P this collection is scheduled to expire on participation, this notice invites public December 31, 2013. The DOL seeks to comments to be submitted under the PRA about proposed updates to the extend PRA authorization for this DEPARTMENT OF LABOR information collection for three (3) more Claim Adjudication Process for Alleged Presence of Pneumoconiosis years, without any change to existing Office of the Secretary information collection. Specifically, in a requirements. The DOL also notes that Notice of Proposed Rulemaking (NPRM) existing information collection Agency Information Collection published in the Federal Register on requirements submitted to the OMB Activities; Submission for OMB June 13, 2013 (78 FR 35575), the DOL receive a month-to-month extension Review; Comment Request; Claim proposed both updates to its existing while they undergo review. For Adjudication Process for Alleged analog film radiograph standards and additional substantive information Presence of Pneumoconiosis new parallel standards for digital about this ICR, see the related notice ACTION: Notice. radiographs applicable to claims filed published in the Federal Register on under the Black Lung Benefits Act, as SUMMARY: June 5, 2013, (78 FR 33860). The Department of Labor amended, 30 U.S.C. 901 et seq. If Interested parties are encouraged to (DOL) is submitting the Office of adopted in final, physicians obtaining x- send comments to the OMB, Office of Workers’ Compensation Programs rays of miners on digital radiography Information and Regulatory Affairs at (OWCP) sponsored information systems would submit the radiograph to the address shown in the ADDRESSES collection request (ICR) titled, ‘‘Claim the DOL in an electronic format. The section within 30 days of publication of Adjudication Process for Alleged DOL is incorporating this format change this notice in the Federal Register. In Presence of Pneumoconiosis’’ to the into the existing approved information order to help ensure appropriate Office of Management and Budget collection. The DOL believes the NPRM consideration, comments should (OMB) for review and approval for use would not impose a new information mention OMB Control Number 1218– in accordance with the Paperwork collection, change the actual data 0221. The OMB is particularly Reduction Act of 1995 (PRA), 44 U.S.C. collected, or the estimated information interested in comments that: 3501 et seq. collection (paperwork) burdens imposed • Evaluate whether the proposed DATES: Submit comments on or before on the public; however, the additional collection of information is necessary December 19, 2013. format option could be considered a for the proper performance of the ADDRESSES: A copy of this ICR with change to the existing information functions of the agency, including applicable supporting documentation; collection, as currently approved under whether the information will have including a description of the likely the PRA. practical utility; respondents, proposed frequency of This information collection is subject • Evaluate the accuracy of the response, and estimated total burden to the PRA. A Federal agency generally agency’s estimate of the burden of the may be obtained from the RegInfo.gov cannot conduct or sponsor a collection proposed collection of information, Web site at http://www.reginfo.gov/ of information, and the public is including the validity of the public/do/PRAViewICR?ref_ generally not required to respond to an methodology and assumptions used; nbr=201311-1240-001 or by contacting information collection, unless it is • Enhance the quality, utility, and Michel Smyth by telephone at 202–693– approved by the OMB under the PRA clarity of the information to be 4129 (this is not a toll-free number) or and displays a currently valid OMB collected; and sending an email to DOL_PRA_ Control Number. In addition, • Minimize the burden of the [email protected]. notwithstanding any other provisions of collection of information on those who Submit comments about this request law, no person shall generally be subject are to respond, including through the by mail or courier to the Office of to penalty for failing to comply with a use of appropriate automated, Information and Regulatory Affairs, collection of information that does not electronic, mechanical, or other Attn: OMB Desk Officer for DOL– display a valid Control Number. See 5 technological collection techniques or OWCP, Office of Management and CFR 1320.5(a) and 1320.6. The DOL other forms of information technology, Budget, Room 10235, 725 17th Street obtains OMB approval for this e.g., permitting electronic submission of NW., Washington, DC 20503; by Fax: information collection under Control responses. 202–395–6881 (this is not a toll-free Number 1240–0023. Agency: DOL–OSHA. number); or by email: OIRA_ Interested parties are encouraged to Title of Collection: Crawler, [email protected]. Commenters send comments to the OMB, Office of Locomotive, and Truck Cranes are encouraged, but not required, to Information and Regulatory Affairs at Standard. send a courtesy copy of any comments the address shown in the ADDRESSES OMB Control Number: 1218–0221. by mail or courier to the U.S. section within 30 days of publication of

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this notice in the Federal Register. In (OMB) for review and approval for recertification and revalidation records; order to help ensure appropriate continued use, without change, in affixing labels to test rods and to consideration, comments should accordance with the Paperwork certified and recertified presses; and reference OMB Control Number 1240– Reduction Act of 1995 (PRA), 44 U.S.C. notifying an OSHA-recognized third- 0023. The OMB is particularly 3501 et seq. party validation organization when a interested in comments that: DATES: Submit comments on or before safety system component fails, the • Evaluate whether the proposed December 19, 2013. employer modifies the safety system, or collection of information is necessary ADDRESSES: A copy of this ICR with a point-of-operation injury occurs. for the proper performance of the applicable supporting documentation; Occupational Safety and Health Act functions of the agency, including including a description of the likely sections 6(b)(7), 29 U.S.C. 655(b)(7), and whether the information will have respondents, proposed frequency of 8(c), 29 U.S.C. 657(c), authorize this practical utility; response, and estimated total burden information collection. • Evaluate the accuracy of the may be obtained free of charge from the This information collection is subject agency’s estimate of the burden of the RegInfo.gov Web site at http:// to the PRA. A Federal agency generally proposed collection of information, www.reginfo.gov/public/do/ cannot conduct or sponsor a collection including the validity of the PRAViewICR?ref_nbr=201308-1218-001 of information, and the public is methodology and assumptions used; (this link will only become active on the generally not required to respond to an • Enhance the quality, utility, and day following publication of this notice) information collection, unless it is clarity of the information to be or by contacting Michel Smyth by approved by the OMB under the PRA collected; and telephone at 202–693–4129 (this is not and displays a currently valid OMB • Minimize the burden of the a toll-free number) or sending an email Control Number. In addition, collection of information on those who to [email protected]. notwithstanding any other provisions of are to respond, including through the Submit comments about this request law, no person shall generally be subject use of appropriate automated, by mail or courier to the Office of to penalty for failing to comply with a electronic, mechanical, or other Information and Regulatory Affairs, collection of information that does not technological collection techniques or Attn: OMB Desk Officer for DOL–OSHA, display a valid Control Number. See 5 other forms of information technology, Office of Management and Budget, CFR 1320.5(a) and 1320.6. The DOL e.g., permitting electronic submission of Room 10235, 725 17th Street NW., obtains OMB approval for this responses. Washington, DC 20503; by Fax: 202– information collection under Control Agency: DOL–OWCP. 395–6881 (this is not a toll-free Number 1218–0143. Title of Collection: Claim number); or by email: OIRA_ OMB authorization for an ICR cannot Adjudication Process for Alleged [email protected]. Commenters be for more than three (3) years without Presence of Pneumoconiosis. are encouraged, but not required, to renewal, and the current approval for OMB Control Number: 1240–0023. send a courtesy copy of any comments this collection is scheduled to expire on Affected Public: Private Sector— by mail or courier to the U.S. December 31, 2013. The DOL seeks to Businesses or other for-profits. Department of Labor-OASAM, Office of extend PRA authorization for this Total Estimated Number of the Chief Information Officer, Attn: information collection for three (3) more Respondents: 24,000. Information Policy and Assessment years, without any change to existing Total Estimated Number of Program, Room N1301, 200 Constitution requirements. The DOL also notes that Responses: 24,000. Avenue NW., Washington, DC 20210; or existing information collection Total Estimated Annual Burden by email: [email protected]. requirements submitted to the OMB receive a month-to-month extension Hours: 5,840. FOR FURTHER INFORMATION CONTACT: while they undergo review. For Total Estimated Annual Other Costs Michel Smyth by telephone at 202–693– additional substantive information Burden: $0. 4129 (this is not a toll-free number) or about this ICR, see the related notice Dated: November 13, 2013. by email at [email protected]. published in the Federal Register on Michel Smyth, Authority: 44 U.S.C. 3507(a)(1)(D). April 9, 2013, (78 FR 21155). Departmental Clearance Officer. SUPPLEMENTARY INFORMATION: This ICR Interested parties are encouraged to [FR Doc. 2013–27648 Filed 11–18–13; 8:45 am] seeks to maintain PRA authority for send comments to the OMB, Office of BILLING CODE 4510–CK–P information collections contained in the Information and Regulatory Affairs at Presence Sensing Device (PSD) the address shown in the ADDRESSES Initiation Standard. Regulations 29 CFR section within 30 days of publication of DEPARTMENT OF LABOR 1910.217(h) sets standards for using a this notice in the Federal Register. In PSD in a mechanical power-press safety order to help ensure appropriate Office of the Secretary system. A PSD (e.g., a photoelectric field consideration, comments should or curtain) automatically stops the Agency Information Collection mention OMB Control Number 1218– stroke of a mechanical power press Activities; Submission for OMB 0143. The OMB is particularly when the device detects an operator Review; Comment Request; Presence interested in comments that: entering a danger zone near the press. • Sensing Device Initiation Standard Evaluate whether the proposed The PSD initiation standard contains a collection of information is necessary ACTION: Notice. number of information collection for the proper performance of the requirements, including: Certifying functions of the agency, including SUMMARY: The Department of Labor brakemonitor adjustments, alternatives whether the information will have (DOL) is submitting the Occupational to photoelectric PSDs, safety system practical utility; Safety and Health Administration design and installation, and worker • Evaluate the accuracy of the (OSHA) sponsored information training; annual recertification of safety agency’s estimate of the burden of the collection request (ICR) titled, ‘‘Presence systems; establishing and maintaining proposed collection of information, Sensing Device Initiation Standard,’’ to the original certification and validation including the validity of the the Office of Management and Budget records, as well as the most recent methodology and assumptions used;

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• Enhance the quality, utility, and identify the types of audit findings from auditees). The respondents’ clarity of the information to be reported in the audits performed under information is collected by the Federal collected; and the Single Audit Act. The current Form Audit Clearinghouse (maintained by the • Minimize the burden of the SF–SAC was designed for audit periods U.S. Bureau of the Census). collection of information on those who ending in 2011and 2012. The proposed Estimated Time per Respondent: 59 are to respond, including through the revised Form SF–SAC will replace the hours for each of 400 large respondents use of appropriate automated, current form for audit periods ending and 17 hours for each of 85,600 small electronic, mechanical, or other 2013, 2014 and 2015. The detail respondents for estimated annual technological collection techniques or proposed changes along with the burden hours of 1,478,800. other forms of information technology, proposed format are described on OMB Estimated Number of Responses per e.g., permitting electronic submission of Web site at: http://www.whitehouse.gov/ Respondent: 1. responses. omb/grants_forms/ Frequency of Response: Annually. Needs and Uses: Reports from Agency: DOL–OSHA. DATES: Submit comments on or before Title of Collection: Presence Sensing auditors to auditees and reports from December 19, 2013. Late comments will auditees to the Federal government are Device Initiation Standard. be considered to the extent practicable. OMB Control Number: 1218–0143. used by non-Federal entities, pass- ADDRESSES: Due to potential delays in through entities and Federal agencies to Affected Public: Private Sector— OMB’s receipt and processing of mail businesses or other for-profits. ensure that Federal awards are sent through the U.S. Postal Service, we expended in accordance with applicable Total Estimated Number of encourage respondents to submit laws and regulations. The Federal Audit Respondents: 1. comments electronically to ensure Clearinghouse (FAC) (maintained by the Total Estimated Number of timely receipt. We cannot guarantee that U.S. Bureau of the Census) uses the Responses: 1. mailed comments will be received information on the SF–SAC to ensure Total Estimated Annual Burden before the comment closing date. proper distribution of audit reports to Hours: 1. Electronic mail comments may be Federal agencies and identify non- Total Estimated Annual Other Costs submitted to: Gilbert Tran at hai_m._ Federal entities who have not filed the Burden: $0. [email protected]. Please include required reports. The FAC also uses the Dated: November 12, 2013. ‘‘Form SF–SAC 2013 Comments’’ in the information on the SF–SAC to create a Michel Smyth, subject line and the full body of your government-wide database, which Departmental Clearance Officer. comments in the text of the electronic contains information on audit results. [FR Doc. 2013–27550 Filed 11–18–13; 8:45 am] message, not as an attachment. Please This database is publicly accessible on include your name, title, organization, BILLING CODE 4510–26–P the Internet at http:// postal address, telephone number and harvester.census.gov/fac/. It is used by email address in the text of the message. Federal agencies, pass-through entities, Comments may also be submitted via non-Federal entities, auditors, the OFFICE OF MANAGEMENT AND facsimile to 202–395–3952. BUDGET Government Accountability Office, Comments may be mailed to Gilbert OMB and the general public for Information Collection; Request for Tran, Office of Federal Financial management of and information about Public Comments Management, Office of Management and Federal awards and the results of audits. Budget, Room 6025, New Executive Comments are invited on: (a) Whether AGENCY: Office of Management and Office Building, Washington, DC 20503. the proposed information collection is Budget, Executive Office of the All responses will be summarized and necessary for the proper performance of President. included in the request for OMB the functions of the agency, including ACTION: Notice and request for approval. All comments will also be a whether the information shall have comments. matter of public record. practical utility; (b) the accuracy of the FOR FURTHER INFORMATION CONTACT: estimate of the burden of the collection SUMMARY: In compliance with the Gilbert Tran, Office of Federal Financial of the information; (c) ways to enhance Paperwork Reduction Act of 1995 (44 Management, Office of Management and the quality, utility, and clarity of the U.S.C. 3501, et seq.) the Office of Budget, (202) 395–3052. The proposed information to be collected; and (d) Management and Budget (OMB) invites revisions to the Information Collection ways to minimize the burden of the the general public and Federal agencies Form, Form SF–SAC can be obtained by collection of information on those who to comment on a revision of an contacting the Office of Federal respond, including through the use of approved information form (SF–SAC) Financial Management as indicated automated collection techniques or that is used to report audit results, audit above or by download from the OMB other forms of information technology. findings, and questioned costs as Grants Management home page on the required by the Single Audit Act Internet at http://www.whitehouse.gov/ A. Public Comments and Responses Amendments of 1996 (31 U.S.C. 7501, et omb/grants_forms/ Pursuant to the May 9, 2013, Federal seq.) and OMB Circular A–133, ‘‘Audits SUPPLEMENTARY INFORMATION: Register notice, OMB received of States, Local Governments, and Non- OMB Control No.: 0348–0057. comments from 9 commenters relating Profit Organizations.’’ Title: Data Collection Form. to the proposed revision to the The first notice of this information Form No: SF–SAC. information collection. Letters came collection request, as required by the Type of Review: Revision of a from State governments (including State Paperwork Reduction act, was currently approved collection. auditors), the American Institute of published in the Federal Register on Respondents: States, local Certified Public Accountants, certified May 9, 2013 [78 FR 27259]. The governments, non-profit organizations public accountants (CPAs), Federal proposed changes are to revise some (Non-Federal entities) and their agencies and a grantee. The comments existing data elements in the form and auditors. received relating to the information add other data elements that would Estimated Number of Respondents: collection and OMB’s responses are make easier for the Federal agencies to 86,000 (43,000 from auditors and 43,000 summarized below.

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Comment: Part I, Item 6 Primary Response: No Change to Form. The may not be any finding to report. Auditor Information. One commenter Form edits cannot be programmed to However, the form requires it to have a suggested an auto-fill feature for Part I, accurately determine the threshold in finding when showing a modified Line 6 (auditor information) to ease every case, especially where loan or opinion on major programs. administrative burden. loan guarantees exist. In addition, Response: No change to Form. When Response: No Change to Form. auditors are required to determine the an opinion on a major program Auditors should enter data each audit threshold at the start of the audit, not ‘‘modified’’, a finding is required in year to prevent inclusion of outdated when the audit is completed and this accordance with A–133 § ll.510(a) contact information. Form is filled out. However, OMB will (5). Comment: Part I: General Information, continue consideration of development Comment: Part III: Federal Programs, Item 6(b)—Audit Firm/Organization of a threshold validation. Item 6(k)- ‘‘Number of Findings’’ EIN. Auditors are required to report Comment: Part III: Federal Programs, Commenters suggested a change in the their EINs. Commenters support this Item 5, Federal agencies with prior year terminology of ‘‘Number of Findings’’ to proposal and suggest that auditor EINs or current year direct findings. ‘‘Number of Significant Findings.’’ This may be the same as auditee EINs in Commenters suggested because the wording would correlate with the some cases such as statewide audits. addition of information, Item 5 should instances where findings are required by Response: Change made to system be limited to prior year findings only. A–133 § ll.510(a). Response: Change made to Form and edits and Form instructions. The form Comment: Other commenters Instructions. OMB agreed in part and will allow auditor EINs to match auditee suggested that the Form be amended to changed the wording to ‘‘Number of EINs. Additionally, the Federal Audit clarify if agencies are receiving the Audit Findings’’ to improve clarity. Clearinghouse (FAC) will provide report based on current findings, prior Including only ‘‘significant’’ findings guidance in the instructions warning findings, or both current and prior may confuse auditors. against using Social Security Numbers findings. Response: No change to Form. The Comment: Part III: Federal Programs, as EINs when the auditor is a sole question in Item 5 is to determine which Item 7 Federal Award Findings. proprietor. FAC will provide the link to agencies should review the audit. Non- Commenters suggested that listing each IRS.gov used to obtain EINs. conformity of CFDA numbers reported finding for each Federal award affected Comment: Part I, Item 6(b) Some on the Form requires the question to by a finding will create redundancy in commenters suggested that auditors remain on the Form. On the next the report. The same level of specificity report DUNS numbers on the Form in version of the Form, OMB will consider can be achieved by identifying findings addition to their EINs. adding a separate question to and questioned costs by award as is Response: No Change to Form. OMB distinguish if prior year, current year or done currently, and requiring the new will consider this on a future version of both prior and current year findings Item 7 to list each finding along with the the Form. necessitate a review. appropriate Types of Compliance Comment: Part I, Item 7, Secondary Comment: Part III: Federal Programs, Requirements and Deficiencies. The Auditor information. Some commenters Item 6 Federal Awards Expended additional information collected about noted the Form does not indicate During the Fiscal Year. Commenters each finding from the auditor’s report whether Secondary Auditor information noted that it would be more useful to adds burden to the states. is required or optional. They suggested Federal agencies that issue direct Response: No change to Form. OMB that this information be required on the awards if the Form gathered information has determined the level of detail Form. related to the source of pass-through Federal agencies require in order to Response: Change to Form and funds. identify the problem and high risk areas Instructions. OMB revised the Form’s Response: No change to Form. OMB in a specific audit report necessitates current question and instructions to agreed that this information can be the increased finding detail in the clarify that secondary auditor useful. However, this change would proposed Form changes. The FAC will information is required. require significant programming change work with auditees to provide Comments: Part II: Financial to the proposed form. We will consider additional technical guidance to reduce Statements—Commenters suggested a requirement to collect pass-through the burden of data entry. deletion of Part II Items Questions 3,4 information in a future iteration of the Comments: Part III: Federal Programs, and 5 relating to Financial Statements form. Item 7(d)—Standard Audit Finding relating to a significant deficiency, a Comments: Part III: Federal Programs, Reference Numbers. Some states already material weakness and material Item 6(f)—Loan/Loan Guarantee. have specific finding reference noncompliance on a major program as Clarification is needed on how to treat numbering systems. The timing of this these information are added to the new awards with loan and non-loan proposal will require 2013 audits to be Part III of the Form. components.C revised and internal systems to be Response: No change to Form. Part II, Response: Change made to revised causing significant burden. The Questions 3, 4, and 5 will remain on the instructions. Guidance is added to the States request delaying the form, as they are not duplicated ‘‘instructions’’ section to indicate implementation of a new set of standard elsewhere on the Form. However, Part respondents are to treat CFDA numbers audit finding reference numbers. III, Questions 4, 5 and 6 of the 2010 with both loan and non-loan Response: Change made to form will be removed as proposed. components as they treat R&D programs. instructions. No change to Form. This Comment: Part III: Federal Programs, Specifically, respondents are to place requirement will be postponed to apply Item 2, Dollar threshold to distinguish the Loan/Loan Guarantee component on to 2014 audit submissions. For 2013 between Type A and Type B programs. one line, and the non Loan/Loan audit submissions, the Form will Commenters suggested a development Guarantee portion on a separate line. request audit finding reference numbers of a calculation to validate the dollar Comment: Part III: Federal Programs, follow the suggested standard, but will amount entered for Part III, Item 2—the Item 6 (j)—Commenters noted that if a not require it. dollar threshold to distinguish Type A single audit report has a modified Comments: Part III: Federal Programs, and Type B programs. opinion due to a scope limitation, there Item 7(e)—Type(s) of Compliance

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Requirement(s) Commenters suggested Comments: Part III: Federal Programs, Part II (financial Statements) and Part that fields be added in Part III to include Item 7 (k), Questioned Costs—For each III (Federal Programs). Other the name of pass-through entity and the audit finding, the auditor will report commenters suggested that the auditee identifying number assigned to the pass- any Questioned Costs related to that should be required to upload the SEFA through entity if applicable as required finding. The auditor must only mark information into Part III, item 6— by OMB Circular A–133. ‘‘Y’’ or ‘‘N’’ to indicate the existence of Federal Awards Expended During the Response: Change made to questioned costs. Some commenters Fiscal Year. This would allow the Instructions. No change to Form. OMB want to improve accountability by also auditee to take ownership in the will consider this information for capturing the amount of questioned submission, and enable the submission inclusion on the next version of the costs. Other commenters note that the to be completed earlier. Other Form SF–SAC. For the 2013 Form SF– amount is sometimes difficult to commenters questions whether Items 2 SAC, FAC will advise respondents pass- determine. and 3 in Part III should be excluded through information can be entered in Response: No Change to Form. It was from the certification statement, as they the data field for 6(c), the ‘‘Federal noted that the precision and accuracy of are not transferred from the auditor’s Program Name’’ field. the questioned costs amount would be report. Additionally, new item 6(k) and Comment: Part III: Federal Programs, questionable and may be fields in Item 7 may be other exceptions, Item 7(e), Type(s) of Compliance misinterpreted. OMB will revisit this as they are not directly taken from the Requirement(s). Commenters noted that topic for inclusion of questioned costs auditor’s report. one finding could contain multiple on a future version of the Form. Response: Change made to compliance requirements. This would Comments: General—Auditors and instructions. No change to Form. The make analyzing the data more auditees will be required to certify that Form’s auditor certification states the challenging. They noted that it may be their reporting package does not contain data in Part II and Part III was entered helpful to have, for each compliance Personally Identifiable Information (PII). by the auditor. OMB does not believe requirement, a separate row for each Commenters noted inconsistent the responsibility for entering data and finding number and CFDA combination. definitions of PII defined in the Form the certification statements should Response: No Change to Form. and the proposed Grant Reform change at this time. Additional guidance Capturing the compliance requirements guidance. The commenters also will be added in the Form Instructions. separately for each audit finding is a suggested that more guidance is needed Comment: General- One commenter reasonable request, but would require to determine how to address specific expressed concern that password substantial programming and redesign instances where the PII policy is not requirements should be improved to of the proposed form. We will consider clear. make them more secure. Response: No change to Form. OMB for future version of the Form. Response: No change to Form. will table this requirement and continue Currently, the requirements for Comment: Part III: Federal Programs, development of a PII policy for the passwords meet Federal standards. In Items 7(f),(g),(h),(i),(j)—Type(s) of implementation in a later year. Finding(s)—For each audit finding Comments: General- PDFs of audit the new data collection application, listed on Part III, Item 7, the auditor report submissions must be unlocked, each user will have individual must mark a valid combination of five unencrypted, and at least 85% of the passwords to access the application. Type(s) of Finding(s): Modified pages must be text-searchable. Passwords will not be shared between Opinion, Other Noncompliance, Commenters expressed concern the auditors and auditees, or between Material Weakness, Significant electronic signatures in audits could auditor employees. Individuals and Deficiency, or Other. Commenters possibly be misused as well as expose audit firms can implement their own suggested that another combination may independent auditor’s opinions to password requirements in addition to be added to matrix of valid potential alteration in audit reports. Federal requirements. combinations. There are instances of There are specific business risk policies Comment: General- Commenters material noncompliance may be in place at CPA firms that would not recommended that the full single audit identified that do not rise to the level of permit and audit report to be issued in report be made available to pass-through modifying an opinion on a major an unlocked format. Therefore, some entities. This would significantly program. Commenters noted that it is commenters suggested submission of decrease administrative burden to sub- confusing to include ‘‘Modified two documents. recipients, who must submit duplicative Opinion’’ as a type of deficiency at all. Response: No change to Form. OMB information to the Clearinghouse and to They believe it would be more believes the proposed PDF requirements pass-through entities. appropriate for this column to be allow auditors to submit audits with Response: No change to Form. The displayed separately, similar to the non-searchable opinions. Since 85% of proposed revisions to the Grant column for questioned costs. They the pages must be text searchable, Management Circular, published in suggest separating the ‘‘Other allowance for a few scanned pages is February 2013, proposes making audits Noncompliance’’ and ‘‘Material given. However, OMB will consult available publicly. When the audits are Weakness’’ columns to indicate that AICPA and audit firms to improve publically available, pass-through they are related to the opinion on implementation through improved organizations, especially states, will compliance, and not on controls over outreach and instructions. have access to audits through the FAC compliance. Comment: General- Some commenters Web site. OMB will continue Response: Change made to Form and recommended that the costs of the development of a policy for the Instructions. Compliance Findings and single audit be recorded on the Form. implementation. Internal Control Findings will be Response: No change to Form. OMB Comment: General- Commenters ask differentiated. ‘‘Other Noncompliance’’ will consider this on the next version of which information the FAC collects is will change to ‘‘Other Matters’’.’’ Other’’ the Form. the official record of the Single Audit: will change to ‘‘Other Findings’’. Comment: General- One commenter (1) The audit report uploaded to the Additional instructions are provided to requested OMB remove the requirement Clearinghouse Web site, or (2) the audit clarify the reporting combinations. that the auditor is required to complete report given to the auditee.

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Response: No change to Form. Section Comment: General—Some NATIONAL COUNCIL ON DISABILITY § ll.320 of the Circular A–133 states commenters suggested that for audits the submission of the data collection that are currently completed, Notice of Sunshine Act Meetings form and audit package are required to respondents be permitted to submit the comply with the provisions of the 2013 audits on the 2010—2012 Form TIME AND DATES: The Members of the Circular. The submission of these SF–SAC. They note that many audits are National Council on Disability (NCD) documents is the official record of the already done for 2013, and changing will hold a quarterly meeting on single audit for the Federal government. requirements will increase Wednesday, December 4, 9:00 a.m.–5:15 Comment: General—In order to administrative cost and respondent p.m. (GMT), and Thursday, December 5, comply with guidance provided in burden. 2013, 9:00 a.m.–12:15 p.m. (GMT). Section 703 of the OMB Proposed Response: No change to Form. For PLACE: The meeting will occur in Uniform Guidance, CIGIE/and the consistency of reporting, all 2013 audits Topeka, Kansas at the Kansas State NSACs request that OMB consider should be reported using the 2013 form. House in the Old Supreme Court adding an option for ‘‘Audit under We expect the 2013 Form to be available Chambers, located at SW 10th and SW Threshold’’. in October. OMB will extend a waiver Jackson, Topeka, KS 66612. The Response: No change to Form. OMB for due dates falling before the Form is quarterly meeting is available to the will consider alternate submission approved and available. public to attend in-person or by phone. options for audits with expenditures of Comment: General—Commenters Those attending in person should be Federal awards below the minimum advised that the FAC should prepare for prepared to process through Kansas threshold in the future when the numerous submissions in a short State House security upon entrance. proposed uniform guidance is finalized timeframe. When the 2013 Form is Those interested in joining the meeting and effective. approved and released, there will be by phone in a listen-only capacity (with Comment: General—Commenters numerous submissions occurring the exception of the public comment requested a question be added: ‘‘Was a simultaneously. period) may access the proceedings by Management Letter Issued?’’ Under new Response: No change to Form. The phone by using the following call-in GAS and AICPA standards, auditors are FAC is working to ensure a smooth number: 1–888–417–8533; Passcode/ no longer required to include a transition to the new submission Conference ID: 3860992. If asked, the statement regarding management letters system. call host’s name is Jeff Rosen. in the report. Agency officials will not Comment: General- Commenters MATTERS TO BE CONSIDERED: The Council be notified when a management letter recommends rigorous testing of the will receive reports from its standing has been issued. internet submission system to ensure committees; and receive panel Response: No Change to Form. OMB that it is working properly. AICPA presentations from policy experts on the will consider adding this information on comments that they would be willing to topics of living with a disability in rural a future iteration of the Form. assist the Clearinghouse with this America, Kansas legislation on the Comment: General—Some endeavor. rights of parents with disabilities, the commenters asked for a new Response: No change to Form. The Kansas Employment First initiative, and requirement for the text of each finding FAC staff is continuously improving finally, on the topic of KanCare and auditee response be added to the and testing the usability and implementation. The Council will also data collection form. functionality of the new Form and the receive public comment exclusively Response: No Change to Form. OMB new system. from Kansans on Day 1 and from all will consider adding this information on Comment: General- Commenters other interested parties on Day 2. a future iteration of the Form. requested that due dates for reporting AGENDA: The times provided below are Comment: General—Some packages be clarified when due dates approximations for when each agenda commenters questioned why the fall on holidays or weekends. item is anticipated to be discussed (all estimated hours to complete the SF– Additionally, AICPA notes that times CMT): SAC have not changed since 2008, questions arise as to the time zone that Wednesday, December 3: particularly considering the changes to is used to identify when the audit is 9:00–9:30 a.m.—Call to Order and expand the amount of data collected on due. AICPA recommends that FAC and Welcome the Form. OMB address these questions in the 9:30–10:00 a.m.—Committee Reports Response: No Change to Form. Frequently Asked Questions section or (Audit and Finance; Governance; Although the Form has been revised to in another readily available manner. Policy Development and Program add a few additional information inputs, Response: No change to Form. OMB Evaluation) it has also been revised to streamline the agreed to allow extensions until the next 10:00–11:30 a.m.—Policy Panel and reporting of data inputs including the business day for nine-month due dates Discussion—Panel 1: Living with a upload of the Form electronically. We that fall on non-business days such as Disability in Rural America believe that on the average hours to weekends and holidays. FAC will make 11:30 a.m.–1:00 p.m.—Break for Lunch complete the form remain leveled. these adjustments automatically. If a 1:00–2:30 p.m.—Policy Panel and Comment: General—Commenters submission in a different time zone was Discussion—Panel 2: Kansas requested training materials such as on time in the auditee’s time zone, but Legislation for Parents with how-to videos, articles, and other means marked as late by the FAC system in the Disabilities to help auditors and auditees prepare Eastern time zone, the FAC is allowed 2:30–4:00 p.m.—Policy Panel and and avoid last minute submission to make time-zone adjustments to Discussion—Panel 3: Kansas problems with the new Form. submissions by request. Employment First Response: No change to Form. The 4:00–4:15 p.m.—Break FAC will make additional efforts to Norman S. Dong, 4:15–5:15 p.m.—Kansas Public disseminate information on upcoming Deputy Controller. Comments (phone and in-person; changes before the official roll-out of the [FR Doc. 2013–27585 Filed 11–18–13; 8:45 am] all topics; this public comment Form. BILLING CODE P period is intended for Kansans

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only; all those who plan to make that all those attending the meeting in Communications for the Digital public comment are asked to please person please refrain from wearing Humanities Start Up Grants grant register their intent to comment in scented personal care products such as program, submitted to the Office of advance. Please see details below. A perfumes, hairsprays, colognes, and Digital Humanities. general public comment is open to deodorants. 3. DATE: December 05, 2013. all other interested parties on Day 2 Dated: November 15, 2013. TIME: 8:30 a.m. to 5:00 p.m. ROOM: 402. of the Council meeting) Rebecca Cokley, 5:15 p.m.—Adjourn This meeting will discuss Executive Director. Thursday, December 5: applications on the subject of Research 9:00–9:30 a.m.—Call to Order and [FR Doc. 2013–27776 Filed 11–15–13; 11:15 am] for the Digital Humanities Start Up Welcome BILLING CODE 6820–MA–P Grants grant program, submitted to the 9:30–11:00 a.m.—Policy Panel and Office of Digital Humanities. Discussion—Panel 4: KanCare 4. DATE: December 05, 2013. Implementation NATIONAL FOUNDATION ON THE TIME: 8:30 a.m. to 5:00 p.m. 11:00–11:15 a.m.—Break ARTS AND THE HUMANITIES ROOM: 415. 11:15–11:45 a.m.—Public Comment This meeting will discuss (phone and in-person; all topics) Meetings of Humanities Panel applications on the subject of American 11:45 a.m.–12:15 p.m.—Council AGENCY: National Endowment for the Studies for the Humanities Collections Business continued Humanities. and Reference Resources grant program, 12:15 p.m.–Council Meeting Adjourns submitted to the Division of ACTION: Notice of meetings. PUBLIC COMMENT REGISTRATION: To better Preservation and Access. facilitate NCD’s public comment SUMMARY: Pursuant to section 10(a)(2) of 5. DATE: December 06, 2013. periods, any individual interested in the Federal Advisory Committee Act (5 TIME: 8:30 a.m. to 5:00 p.m. providing public comment will be asked U.S.C. App.), notice is hereby given that ROOM: 402. to register their intent to provide twelve meetings of the Humanities This meeting will discuss comment in advance by sending an Panel will be held during December, applications on the subject of Research email to [email protected] with 2013 as follows. The purpose of the for the Digital Humanities Start Up the subject line ‘‘Public Comment, meetings is for panel review, discussion, Grants grant program, submitted to the Topeka, KS’’ with your name, evaluation, and recommendation of Office of Digital Humanities. organization, state, and topic of applications for financial assistance 6. DATE: December 09, 2013. comment included in the body of your under the National Foundation on the TIME: 8:30 a.m. to 5:00 p.m. email. Full-length written public Arts and Humanities Act of 1965 (20 ROOM: 402. This meeting will discuss comments may also be sent to that email U.S.C. 951–960, as amended). applications on the subjects of Archives address. All emails to register for public DATES: See SUPPLEMENTARY INFORMATION comment at the October quarterly and Collections for the Digital section for meeting dates. Humanities Start Up Grants grant meeting must be received by Monday, ADDRESSES: The meetings will be held at December 2, 2013. Priority will be given program, submitted to the Office of the Old Post Office Building, 1100 Digital Humanities. on both days to those individuals who Pennsylvania Ave. NW., Washington, are in-person to provide their 7. DATE: December 10, 2013. DC 20506, unless otherwise indicated. TIME: 8:30 a.m. to 5:00 p.m. comments. Those commenters on the See SUPPLEMENTARY INFORMATION section ROOM: 415. phone will be called on according to the for meeting room numbers. This meeting will discuss list of those registered via email. Due to FOR FURTHER INFORMATION CONTACT: applications on the subject of Historical time constraints, NCD asks all Lisette Voyatzis, Committee Geography for the Humanities commenters to limit their comments to Management Officer, 1100 Pennsylvania Collections and Reference Resources three minutes. Ave. NW., Room 529, Washington, DC grant program, submitted to the Division CONTACT PERSON FOR MORE INFORMATION: 20506, or call (202) 606–8322. Hearing- of Preservation and Access. Anne Sommers, NCD, 1331 F Street impaired individuals are advised that 8. DATE: December 10, 2013. NW., Suite 850, Washington, DC 20004; information on this matter may be TIME: 8:30 a.m. to 5:00 p.m. 202–272–2004 (V), 202–272–2074 obtained by contacting the National ROOM: 402. (TTY). Endowment for the Humanities’ TDD This meeting will discuss ACCOMMODATIONS: A CART streamtext terminal at (202) 606–8282. applications on the subjects of link has been arranged for each day of SUPPLEMENTARY INFORMATION: Geospatial and Visualization for the the board meeting. For Wednesday, Digital Humanities Start Up Grants grant beginning at 9:00 a.m., CMT, the web Meetings program, submitted to the Office of link to access CART is http:// 1. DATE: December 03, 2013. Digital Humanities. www.streamtext.net/ TIME: 8:30 a.m. to 5:00 p.m. 9. DATE: December 11, 2013. text.aspx?event=120413NCD1000am. ROOM: 415. TIME: 8:30 a.m. to 5:00 p.m. For Thursday, beginning at 9:00 a.m., This meeting will discuss ROOM: 402. CMT, the web link to access CART is applications on the subjects of Music This meeting will discuss http://www.streamtext.net/ and Performing Arts for the Humanities applications on the subject of New text.aspx?event=120513NCD1000am. Collections and Reference Resources Media for the Digital Humanities Start Those who plan to attend the meeting grant program, submitted to the Division Up Grants grant program, submitted to in-person and require accommodations of Preservation and Access. the Office of Digital Humanities. should notify NCD as soon as possible 2. DATE: December 04, 2013. 10. DATE: December 12, 2013. to allow time to make arrangements. TIME: 8:30 a.m. to 5:00 p.m. TIME: 8:30 a.m. to 5:00 p.m. Please note: To help reduce exposure ROOM: 402. ROOM: 402. to fragrances for those with multiple This meeting will discuss This meeting will discuss chemical sensitivities, NCD requests applications on the subject of Scholarly applications on the subject of Education

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for the Digital Humanities Start Up this notice describes some changes and Prior to soliciting comments directed Grants grant program, submitted to the additions the NTSB has made to Form to OMB, the applicable regulations Office of Digital Humanities. 6120.1 after receiving feedback from the require an agency to first publish in the 11. DATE: December 13, 2013. general aviation community. Federal Register a notice describing the TIME: 8:30 a.m. to 5:00 p.m. DATES: Submit written comments information collection, and requesting ROOM: 402. regarding this proposed collection of the public submit comments directly to This meeting will discuss information by December 19, 2013. the agency. 5 CFR 1320.8(d). The NTSB applications on the subjects of Archives ADDRESSES: Interested members of the published such notice on May 7, 2013. and Collections for the Digital public may submit written comments on 78 FR 26659. Humanities Start Up Grants grant the collection of information to the Public Input Regarding NTSB Form program, submitted to the Office of OMB Desk Officer for the NTSB at 6120.1 Digital Humanities. Office of Management and Budget, 725 The NTSB did not receive any written 12. DATE: December 16, 2013. 17th Street NW., Washington, DC 20503, comments concerning the proposed TIME: 8:30 a.m. to 5:00 p.m. Fax: 202–395–5806 (this is not a toll- renewal of the information collection. ROOM: 402. free number), email: OIRA_submission@ However, the NTSB held what it has This meeting will discuss omb.eop.gov. Commenters are termed a ‘‘listening session’’ to obtain applications on the subject of Public encouraged, but not required, to send a feedback from the general aviation (GA) Programs for the Digital Humanities courtesy copy of any comments to the community concerning NTSB Start Up Grants grant program, National Transportation Safety Board, investigations. The majority of NTSB submitted to the Office of Digital ATTN: Office of Research and aviation investigations concern GA Humanities. Engineering, 490 L’Enfant Plaza East accidents or incidents, and with recent Because these meetings will include SW., Washington, DC 20594. review of personal and/or proprietary advances in technology, the NTSB seeks FOR FURTHER INFORMATION CONTACT: to ensure it is collecting the most financial and commercial information Loren Groff, NTSB Office of Research given in confidence to the agency by accurate and important information and and Engineering, at (202) 314–6517. data to ensure appropriate findings of grant applicants, the meetings will be SUPPLEMENTARY INFORMATION: The NTSB closed to the public pursuant to sections probable cause. announces the proposed extension of a In furtherance of this goal, the NTSB 552b(c)(4) and 552b(c)(6) of Title 5 public information collection and seeks met with a group of 28 people who U.S.C., as amended. I have made this public comment on the collection in participated in the NTSB’s GA listening determination pursuant to the authority accordance with the Paperwork session on April 3, 2013. These owners, granted me by the Chairman’s Reduction Act. The NTSB’s collection of operators, and other members of the GA Delegation of Authority to Close information on Form 6120.1 is community (such as safety researchers, Advisory Committee Meetings dated necessary to fulfill the NTSB’s statutory educators, owner and builder July 19, 1993. mandate to investigate transportation associations, and manufacturers) Dated: November 12, 2013. accidents, because the form requests provided input that prompted the NTSB Lisette Voyatzis, information concerning aviation to include a question on the form asking Committee Management Officer. accidents and incidents. This Notice what ‘‘additional equipment’’ the [FR Doc. 2013–27572 Filed 11–18–13; 8:45 am] informs the public that it may submit aircraft contained, within the aircraft BILLING CODE 7536–01–P comments concerning the proposed use information category. In addition, the of this form to the OMB Desk Officer NTSB considered this feedback and now who oversees NTSB information proposes updates to the form to include NATIONAL TRANSPORTATION collections. This renewal request is not additional options for answers to some SAFETY BOARD associated with a rulemaking activity. of the questions on the form. These Paperwork Reduction Act Requirement changes are explained more fully below. Notice To Reinstate a Previously Description of NTSB Form 6120.1 Approved Information Collection; In accordance with OMB regulations Comment Request that require this Notice for proposed The Pilot/Operator Aircraft Accident/ ICRs, the NTSB herein notifies the Incident Report Form is used in AGENCY: National Transportation Safety public that it may submit comments on determining the facts, conditions, and Board (NTSB). this proposed renewal of information circumstances for aircraft accident ACTION: Notice to reinstate a previously collection. Title 5 CFR 1320.5(a)(1)(iv) prevention activities and for statistical approved information collection for requires an agency to publish in the purposes. In furtherance of its goal to review and comment. Federal Register a notice soliciting ensure the form is updated and includes comments regarding the proposed information that will assist the NTSB in SUMMARY: In compliance with the information collection. The notice must investigating accidents and incidents, Paperwork Reduction Act, this notice describe the information collection, the the NTSB recently determined it should announces the NTSB is submitting an necessity for the collection, and the replace some questions and reorganize Information Collection Request (ICR), estimated burden the submission of the form. These changes will ensure the described below, to the Office of information will impose on form solicits information concerning the Management and Budget (OMB) for respondents. This notice must advise latest technologies about which the renewal of a previously approved the public that it may submit comments NTSB will need information. In information collection, NTSB Form directly to OMB. In accordance with addition, some questions on the form 6120.1. This ICR is the second notice, as these regulations, the NTSB now will now solicit more specific required by OMB regulations advises the public, via this notice, that information. concerning approvals of information it may submit comments directly to The majority of the form’s contents collections. This notice again describes OMB concerning the NTSB’s renewal of remains unchanged; the form is still the nature of the information collection the information collected on NTSB divided into 17 categories, which are and its expected burden; in addition, Form 6120.1. titled as follows: Basic information;

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aircraft information; owner/operator continues to request ‘‘yes’’ or ‘‘no’’ C. Owner/Operator Information information; airport information (to be answers to the following: Whether the The owner/operator section of NTSB completed if accident or incident aircraft had a stall warning system Form 6120.1 also remains largely occurred on approach, takeoff, or within installed; whether the emergency unchanged, but is organized in a way 3 miles of an airport); ‘‘flight crew locator transmitter (ELT) was activated, that is more easily understandable. The member 1’’ information; ‘‘flight crew and additional information about the section continues to request specific member 2’’ information 1; additional ELT, such as whether it aided in information concerning the status of the flight crew members; passengers/other locating the accident/incident, its aircraft, such as the names and contact personnel; flight itinerary information; manufacturer, model/series, serial information for both the owner and the weather information at the accident/ number, and battery type. This section operator of the aircraft, the Federal incident site; damage to aircraft and of the form also still requests detailed Aviation Regulation (FAR) under which other property 2; narrative history of information concerning the engine(s) on the flight was conducted, whether the flight; recommendation (concerning the aircraft, such as the engine flight was a revenue sightseeing flight or how the accident or incident may have manufacturer, model/series, serial air medical flight,3 the purpose of the been prevented); mechanical number, date of manufacture, type of flight, the type of revenue operation, malfunction/failure; fuel and services power measurement (horsepower or type of cargo operation (if applicable), information; evacuation of aircraft; and pounds of thrust), total time on engine, and the type of commercial operating information concerning any other time since last inspection, and time certificate the operator holds. These aircraft involved in the accident or since overhaul. questions now contain additional incident (in the event of a collision). options, such as FAR 415, FAR 431, 2. New Requests A. Basic Information FAR 435, and FAR 437 in the question Also within the aircraft information asking the ‘‘regulation’’ under which the The basic information category flight was conducted; these new FAR remains largely unchanged; as described section, the new version of the form will now request information concerning the parts will assist the NTSB in identifying in the NTSB’s previous notice flights that were conducted as part of a concerning this ICR, the category following: The year of manufacture of the aircraft and if amateur built, the commercial space launch. It also requests information concerning the contains updated options concerning make of the kit/plans used or whether location and date and time of the the purpose of the flight, such as banner the aircraft was built according to accident or incident, the phase of tow, external load, firefighting, glider ‘‘original design.’’ In addition, the form operation during which the accident or tow, and skydiving. The NTSB believes now requests a selection from the incident occurred, and whether the including these options to the questions following options: ‘‘IFR [instrument occurrence was a collision with other will ensure it obtains the most accurate aircraft. The question concerning the flight rules] equipped and certified,’’ responses to the form. altitude if the event was an in-flight ‘‘commercial space flight,’’ or Regarding airport information, the occurrence is no longer on the form; ‘‘unmanned aircraft.’’ The aircraft form continues to request the airport instead, the basic information section information category also now includes name and identifier, the aircraft’s includes fields in which the respondent space for two propellers, rather than proximity to the airport (as off or on the can enter in decimal degrees one; if applicable, respondents will airport or airstrip), distance and ‘‘minutes:seconds’’ the latitude and complete information indicating the direction from airport, and the elevation longitude of the accident or incident. manufacturer and model of both of the airport. The form includes boxes propellers. For the question concerning for respondents to check describing the B. Aircraft Information the ELT on the aircraft, the new form approach segment, type of IFR 1. Prior Requests includes additional questions: The TSO approach, type of visual flight rules Number, from a selection of the The aircraft information category (VFR) approach, runway information, following choices: C91 (121.5 MHz); continues to request the following and type and condition of runway or information concerning the aircraft: C91a (121.5 MHz); or C126 (406 MHz). landing surface. These questions remain manufacturer, model, serial number, In this regard, the form also solicits unchanged. However, within the airport registration number, weight and center answers to whether the ELT was still departure segment question, the form of gravity of the aircraft, whether the mounted in the aircraft, whether it was will now offer the following options in aircraft was amateur-built, category of still connected to antenna, and, if it was addition to the existing ones: ‘‘taxi,’’ aircraft, type of airworthiness certificate, not activated, the reason for its damage ‘‘takeoff,’’ ‘‘initial climb,’’ ‘‘VFR number of seats, type of landing gear, (impact damage, fire damage, battery departure,’’ ‘‘IFR departure/clearance,’’ type of maintenance program, type and expired/damaged, or unknown). and ‘‘unknown.’’ The NTSB believes date of last inspection, total time on Finally, the aircraft information these additional options will ensure the airframe, type of fire extinguishing section also now includes a selection most accurate responses. system, type of reciprocating fuel from the following list of equipment, D. Crew Information system, and type of propeller. The and asks respondents to check any of 1. Prior Requests aircraft information category also the following items that were on the aircraft: ADS–B, airframe parachute, Concerning the crew aboard the 1 Previously, the titles of the sections for pilot angle of attack indicator, autopilot, data aircraft, the form continues to request information were entitled, ‘‘Pilot ‘A’ Information’’ recorder, electronic flight bag or information on both pilots, such as and ‘‘Pilot ‘B’ Information,’’ respectively. handheld device, electronic malfunction names and contact information, dates of 2 Previously, the questions concerning the degree birth, certificate numbers, degree of of damage the aircraft sustained, whether it was on display, electronic primary flight fire, whether it exploded, and a description of the display, handheld GPS, heads up injury, seats occupied, whether the damage were all in distinct categories. In the display, onboard weather, satellite proposed new form, the NTSB will seek tracking device, stall warning system, 3 The instructions section of the form, which information concerning aircraft damage, fire, and precedes all questions, now includes brief explosion in a general category entitled ‘‘damage to video recording device, and an option definitions of ‘‘revenue sightseeing flight’’ and ‘‘air aircraft and other property.’’ stating ‘‘other, specify.’’ medical flight.’’

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pilots used seat belts and shoulder hours) concerning: all aircraft, the make in the accident or incident, and the total harnesses, the types of pilot and and model of the aircraft in which the flight time at the time of the accident or medical certificates held, the principal pilot accrued the flight time, airplane incident. With regard to passengers, the occupation, and date of last aviation single- and multi-engine, night, form only requests the name, city, state, medical examination. With regard to instrument, rotorcraft, glider, and lighter and zip code for each passenger, as well each pilot’s medical information, the than air. The only addition to the as the seat number, whether the form also requests a listing of any sections soliciting information on flight passenger is crew, non-revenue, medical certificate limitations and crew member 1 and flight crew member revenue, non-occupant, or Federal waivers. The form also requests 2 is a ‘‘yes’’ or ‘‘no’’ answer to the Aviation Administration (FAA). information concerning each pilot’s statement ‘‘Flight crew member 1 was Previously, the form included eight flight reviews, such as the date of the the pilot flying’’ and ‘‘Flight crew spaces for listing eight passengers’ last flight review and the type of aircraft member 2 was the pilot flying,’’ information. The new form includes used on the last flight review; further, respectively. four spaces for passenger information, the form solicits information concerning as the NTSB determined four spaces are 2. New Requests and Other Changes each pilot’s ratings, such as aircraft sufficient. ratings, instrument ratings, instructor In a category concerning additional In both the flight crew member 1 and ratings, and type ratings, as well as crewmembers, the form now includes 2 sections, the additional flight student endorsements. Finally, the form two spaces 4 for listing the following crewmember section, and in the includes a table requesting the amount information concerning different passengers/other personnel section, the of flight time (categorized into the crewmembers: Crewmembers’ names NTSB has reorganized them and following sections: Total flight time, and contact information, degree of included additional options concerning pilot-in-command time, instructor time, injury, seat occupied, type of pilot its questions about restraints. Each of time in this make/model, and time certificates, whether the crewmember these questions now include the during the last 90 days, 30 days, and 24 was type-rated for the aircraft involved following table:

Restraint type Inflatable restraints Available Used

Æ None ...... Æ None ...... Æ Not installed. Æ Lap Only ...... Æ Lap Only ...... Æ Installed. Æ 3-point ...... Æ 3-point ...... Æ Not deployed. Æ 4-point ...... Æ 4-point ...... Æ Deployed. Æ 5-point ...... Æ 5-point ...... Æ Unknown. Æ Unknown ...... Æ Unknown ......

In addition, the passenger(s)/other time of the accident. These requests G. Narrative History of Flight personnel section, which contains four within the weather category continue to As stated above, the form concludes spaces, now will also include a section ask for information concerning the with areas for a narrative history of the of the restraint table requesting whether weather observation facility; the source flight and the events or actions the a child under 5 years old was on the of weather information; the method of respondent believes may have aircraft, and whether the restraint was: briefing concerning weather as well as prevented the accident or incident. The ‘‘child restraint,’’ ‘‘lap-held,’’ or the type and completeness of the proposed new form contains these ‘‘unknown.’’ briefing; the light condition; categories in a new location, but the text E. Flight Itinerary Information characterization of visibility; sky and of the questions are the same. lowest cloud condition; the ceiling and As described in the NTSB’s previous its height; the restriction on visibility; H. Other Information notice concerning this form, the NTSB the wind direction, speed, and gusts; the also requests information concerning The form seeks information type and severity of turbulence; and a the flight itinerary, such as the last concerning whether the aircraft list of Notices to Airman and other departure point and time of departure, sustained a mechanical malfunction or and the destination. By way of check- similar advisories in effect at the time of failure. The questions within this the-box responses, this category also the flight. In addition, the form requests category, as well as the categories requests information concerning the the temperature, altimeter setting, requesting fuel and services type of flight plan filed, type of air density altitude, and dew point. Finally, information, data concerning the traffic control clearance or service, this category of the form requests evacuation of the aircraft (if applicable), airspace where the accident or incident information concerning actual and and information concerning the other occurred, and a description of the forecasted conditions concerning icing, aircraft (if a collision occurred) remain aircraft load. This section does not as well as the type and intensity of any the same as described in the NTSB’s contain any proposed changes. precipitation. This category only earlier notice concerning this contains the addition of one option in information collection. F. Weather Information at the Accident/ the ‘‘source of pilot weather information I. Certification Statement Incident Site section’’: Respondents may now select The form requests information ‘‘on-board weather’’ as their means of Finally, as described in the NTSB’s concerning weather conditions at the receiving weather information. previous notice regarding this

4 Previously, the form included spaces for three pilots. The NTSB determined only two spaces are necessary.

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information collection, the form also contemporaneously submit an ASRP that the specified acceptance criteria are includes a certification statement for the report to NASA. met for ITAAC E.3.8.05.01.01, for the respondent to sign, attesting that the The NTSB notes completion of NTSB Vogtle Unit 3 Combined License. information provided on the form is Form 6120.1 is not voluntary, but is ADDRESSES: Please refer to Docket ID complete and accurate to the best of his required by 49 CFR 830.15(a). The NRC–2008–0252 when contacting the or her knowledge. The proposed new NTSB, in general, will not accept NRC about the availability of version of the form will allow partially completed forms; NTSB information regarding this document. respondents to electronically sign the investigators will exercise their You may access publicly-available form by checking a box. discretion in requesting completion of a information related to this document copy of Form 6120.1 a respondent using any of the following methods: Use of Information on NTSB Form submits that is partially completed. In 6120.1 • Federal Rulemaking Web site: Go to many cases, the NTSB recognizes not all http://www.regulations.gov and search As described in its May 7, 2013 fields will apply to each event; for Docket ID NRC–2008–0252. Address notice, the NTSB generally uses the therefore, the NTSB will not require questions about NRC dockets to Carol information provided on Form 6120.1 to completion of inapplicable fields. Gallagher; telephone: 301–287–3422; Currently, the NTSB accepts paper determine the facts, conditions, and email: [email protected]. For copies of Form 6120.1 sent via postal circumstances for aircraft accident technical questions, contact the mail or facsimile, as well as electronic prevention activities and for statistical individuals listed in the FOR FURTHER copies of Form 6120.1 that respondents purposes. The NTSB typically receives INFORMATION CONTACT section of this submit via electronic mail. For several notifications for each accident or document. electronically submitted copies, the incident, but only requests completion • NRC’s Agencywide Documents of Form 6120.1 once the NTSB has NTSB notes its public Web site contains a fill-able version of Form 6120.1. As Access and Management System determined it will pursue an (ADAMS): You may access publicly investigation into the event. The NTSB described above, the updated version of the form will include a box the available documents online in the NRC utilizes a ‘‘party process,’’ as described Library at http://www.nrc.gov/reading- in 49 CFR part 831, for its respondent can check to electronically sign the form; therefore, respondents rm/adams.html. To begin the search, investigations. This process involves the select ‘‘ADAMS Public Documents’’ and NTSB’s invitation to outside entities to need not scan a copy of the form to send it via electronic mail, because then select ‘‘Begin Web-based ADAMS assist with an investigation as a ‘‘party.’’ Search.’’ For problems with ADAMS, The NTSB extends party status to those respondents now have the option of completing the form by typing answers please contact the NRC’s Public organizations that can provide the Document Room (PDR) reference staff at necessary technical assistance to the within the electronic version and sending it via electronic mail. 1–800–397–4209, 301–415–4737, or by investigation. The investigator-in-charge email to [email protected]. The (IIC), for example, often confers party The NTSB has carefully reviewed the form to ensure that it has used plain, ADAMS accession number for each status to the operator, aircraft, systems, document referenced in this document and powerplant manufacturers, and coherent, and unambiguous terminology in its request for information. The NTSB (if that document is available in labor organizations involved because of ADAMS) is provided the first time that the accident circumstances. Everyone estimates that respondents will spend approximately 60 minutes in a document is referenced. involved in an NTSB investigation, • NRC’s PDR: You may examine and including the parties, depend on completing the form. The NTSB estimates that approximately 1,800 purchase copies of public documents at accurate information contained in NTSB the NRC’s PDR, Room O1–F21, One Form 6120.1 while conducting the respondents per year will complete the form, but notes that this number may White Flint North, 11555 Rockville investigation and determining which Pike, Rockville, Maryland 20852. areas warrant focus and attention. vary, given the unpredictable nature of Overall, the NTSB considers Form the frequency of aviation accidents and FOR FURTHER INFORMATION CONTACT: 6120.1 to be critical to its statutory incidents. David Jaffe, Office of New Reactors, U.S. Nuclear Regulatory Commission, function of investigation accidents and Deborah A.P. Hersman, Washington, DC 20555–0001; telephone: incidents, and subsequently issuing Chairman. safety recommendations in an effort to 301–415–1439, email: David.Jaffe@ [FR Doc. 2013–27654 Filed 11–18–13; 8:45 am] prevent future accidents and incidents. nrc.gov. BILLING CODE 7533–01–P The NTSB has carefully considered SUPPLEMENTARY INFORMATION: whether this collection of information Licensee Notification of Completion of on Form 6120.1 is duplicative of any NUCLEAR REGULATORY ITAAC other agency’s collections of COMMISSION information. The NTSB is unaware of On October 1, 2013, Southern Nuclear any form the FAA disseminates that [Docket No. 5200025; NRC–2008–0252] Operating Company, Inc., (the licensee) solicits the same information Form submitted an ITAAC closure 6120.1 requires. However, the NTSB Vogtle Unit 3 Combined License notification (ICN) under § 52.99(c)(1) of notes some operators may choose to AGENCY: Nuclear Regulatory Title 10 of the Code of Federal provide a voluntary report to the Commission. Regulations (10 CFR) informing the NRC National Aeronautics and Space ACTION: Determination of inspections, that the licensee has successfully Administration (NASA) in accordance tests, analyses, and acceptance criteria performed the required inspections, with the Aviation Safety Reporting (ITAAC). tests, and analyses for ITAAC System (ASRS). NASA will not accept E.3.8.05.01.01, and that the specified ASRS reports concerning aircraft SUMMARY: The U.S. Nuclear Regulatory acceptance criteria are met for Vogtle accidents; however, it is possible that an Commission (NRC) staff has determined Unit 3 Combined License (ADAMS operator could report an incident to the that the inspections, tests, and analyses Accession No. ML13276A034). This NTSB, as defined in 49 CFR 830.2, and have been successfully completed, and ITAAC was approved as part of the

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issuance of the combined license, For the Nuclear Regulatory Commission. Administration, Mail Stop: 3WFN–06– NPF–91, for this facility. David Jaffe, 44M, U.S. Nuclear Regulatory Project Manager, Division of New Reactor Commission, Washington, DC 20555– NRC Staff Determination of Completion Licensing, Office of New Reactors. 0001. of ITAAC [FR Doc. 2013–27727 Filed 11–18–13; 8:45 am] For additional direction on accessing information and submitting comments, The NRC staff has determined that the BILLING CODE 7590–01–P see ‘‘Accessing Information and inspections, tests, and analyses have Submitting Comments’’ in the been successfully completed, and that NUCLEAR REGULATORY SUPPLEMENTARY INFORMATION section of the specified acceptance criteria are met COMMISSION this document. for Vogtle Unit 3 Combined License, FOR FURTHER INFORMATION CONTACT: Jean ITAAC E.3.8.05.01.01. This notice [NRC–2013–0251] Trefethen, Office of Federal and State fulfills the staff’s obligations under 10 Materials and Environmental CFR 52.99(e)(1) to publish a notice in Proposed License Renewal of the Prairie Island Independent Spent Fuel Management Programs, U.S. Nuclear the Federal Register of the NRC staff’s Storage Installation Regulatory Commission, Washington determination of the successful DC, 20555–0001; telephone: 301–415– completion of inspections, tests and AGENCY: Nuclear Regulatory 7000; email: [email protected]. analyses. Commission. SUPPLEMENTARY INFORMATION: The documentation of the NRC staff’s ACTION: Draft environmental assessment I. Accessing Information and determination is in the ITAAC Closure and draft finding of no significant Submitting Comments Verification Evaluation Form (VEF), impact; request for comment. dated October 21, 2013 (ADAMS A. Accessing Information SUMMARY: On October 20, 2011, Accession No. ML13294A349). The VEF Northern States Power Company, a Please refer to Docket ID NRC–2013– is a form that represents the NRC staff’s Minnesota Corporation, (NSPM) (doing 0251 when contacting the NRC about structured process for reviewing ICNs. business as Xcel Energy), submitted an the availability of information regarding The ICN presents a narrative description application to the U.S. Nuclear this document. You may access of how the ITAAC was completed, and Regulatory Commission (NRC) publicly-available information related to the NRC’s ICN review process involves requesting renewal of Special Nuclear this document by any of the following a determination on whether, among Materials (SNM) license number SNM– methods: • other things: (1) The ICN provides 2506 for the Prairie Island Nuclear Federal Rulemaking Web site: Go to sufficient information, including a Generating Plant (PINGP) site-specific http://www.regulations.gov and search summary of the methodology used to for Docket ID NRC–2013–0251. Independent Spent Fuel Storage • perform the ITAAC, to demonstrate that Installation (ISFSI) located in Red Wing, NRC’s Agencywide Documents the inspections, tests, and analyses have Goodhue County, Minnesota, for an Access and Management System been successfully completed; (2) the additional 40 years. The NRC staff is (ADAMS): You may access publicly ICN provides sufficient information to conducting an environmental review of available documents online in the NRC demonstrate that the acceptance criteria the proposed license renewal and has Library at http://www.nrc.gov/reading- rm/adams.html. To begin the search, are met; and (3) any inspections for the prepared a draft environmental select ‘‘ADAMS Public Documents’’ and ITAAC have been completed and any assessment (EA) and draft finding of no then select ‘‘Begin Web-based ADAMS ITAAC findings associated with the significant impact (FONSI) in Search.’’ For problems with ADAMS, ITAAC have been closed. accordance with NRC regulations. The NRC is requesting public comments on please contact the NRC’s Public The NRC staff’s determination of the the draft EA and the draft FONSI. Document Room (PDR) reference staff at successful completion of this ITAAC is 1–800–397–4209, 301–415–4737, or by DATES: based on information available at this Submit comments by December email to [email protected]. The draft 19, 2013. Comments received after this time and is subject to the licensee’s EA is available in ADAMS under date will be considered if it is practical ability to maintain the condition that Accession No. ML13205A120. The draft to do so, but the NRC is able to assure the acceptance criteria are met. If new FONSI is included in the Draft EA. consideration only for comments • NRC’s PDR: You may examine and information disputes the NRC staff’s received on or before this date. determination, this ITAAC will be purchase copies of public documents at ADDRESSES: You may submit comments reopened as necessary. The NRC staff’s the NRC’s PDR, Room O1–F21, One by any of the following methods (unless determination will be used to support a White Flint North, 11555 Rockville this document describes a different Pike, Rockville, Maryland 20852. subsequent finding, pursuant to 10 CFR method for submitting comments on a 52.103(g), at the end of construction that specific subject): B. Submitting Comments all acceptance criteria in the combined • Federal Rulemaking Web site: Go to Please include Docket ID NRC–2013– license are met. The ITAAC closure http://www.regulations.gov and search 0251 in the subject line of your process is not finalized for this ITAAC for Docket ID NRC–2013–0251. Address comment submission, in order to ensure until the NRC makes an affirmative questions about NRC dockets to Carol that the NRC is able to make your finding under 10 CFR 52.103(g). Any Gallagher; telephone: 301–287–3422; comment submission available to the future updates to the status of this email: [email protected]. For public in this docket. ITAAC will be reflected on the NRC’s technical questions, contact the The NRC cautions you not to include Web site at http://www.nrc.gov/reactors/ individuals listed in the FOR FURTHER identifying or contact information that new-reactors/oversight/itaac.html. INFORMATION CONTACT section of this you do not want to be publicly document. disclosed in your comment submission. Dated at Rockville, Maryland, this 8th day • of November 2013. Mail comments to: Cindy Bladey, The NRC will post all comment Chief, Rules, Announcements, and submissions at http:// Directives Branch, Office of www.regulations.gov as well as enter the

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comment submissions into ADAMS. The NRC staff’s environmental review • SMALL—environmental effects are The NRC does not routinely edit of the proposed license renewal is not detectable or are so minor that they comment submissions to remove documented in the draft EA and draft will neither destabilize nor noticeably identifying or contact information. FONSI, which was prepared in alter any important attribute of the If you are requesting or aggregating accordance with the NRC’s regulations resource. comments from other persons for in 10 CFR part 51 and NRC staff • MODERATE—environmental submission to the NRC, then you should guidance in NUREG–1748, effects are sufficient to alter noticeably, inform those persons not to include ‘‘Environmental Review Guidance for but not to destabilize important identifying or contact information that Licensing Actions Associated with attributes of the resource. they do not want to be publicly NMSS programs’’ (ADAMS Accession • LARGE—environmental effects are disclosed in their comment submission. No. ML032450279). An EA (1) briefly clearly noticeable and are sufficient to Your request should state that the NRC provides sufficient evidence and destabilize important attributes of the does not routinely edit comment analysis for determining whether to resource. submissions to remove such information prepare an Environmental Impact The NRC staff preliminarily finds that before making the comment Statement (EIS) or a FONSI, (2) the impacts from the proposed action submissions available to the public or facilitates creation of an EIS when one would be SMALL and, thus, not entering the comment submissions into is necessary, and (3) aids the NRC’s significant for all environmental ADAMS. compliance with NEPA when an EIS is resource areas. In addition, the NRC staff preliminarily concludes that there II. Summary of Draft Environmental not necessary. Pursuant to 10 CFR 51.33, the NRC staff is making the draft would be no disproportionately high Assessment and Draft Finding of No and adverse impacts to minority and Significant Impact EA and the draft FONSI available for public review and comment. low-income populations, historical and The NRC staff has prepared a draft EA In October 2012, the NRC and the cultural resources, and that Federally- and draft FONSI (ADAMS Accession Prairie Island Indian Community (PIIC) listed threatened and endangered No. ML13205A120) under the NRC’s entered into a Memorandum of species are not likely to be adversely regulations in part 51 of Title 10 of the Understanding (MOU) (ADAMS affected by the continued operation of Code of Federal Regulations (10 CFR), Accession No. ML12284A456). The the PI ISFSI during the proposed license ‘‘Environmental Protection Regulations MOU acknowledges the PIIC’s special renewal period. for Domestic Licensing and Related expertise in the areas of historic and The NRC staff is also performing a Regulatory Functions,’’ which cultural resources, socioeconomics, land detailed safety analysis of the NSPM’s implement the National Environmental use, and environmental justice as they license renewal application to assess Policy Act of 1969, as amended (NEPA) relate to license renewal for the PI compliance with 10 CFR part 20, (42 U.S.C. 4321 et seq), for NSPM’s ISFSI, and establishes a cooperating ‘‘Standards for Protection Against application to renew license SNM–2506 agency relationship between the NRC Radiation,’’ and 10 CFR part 72, for the Prairie Island (PI) site-specific and the PIIC. The MOU also defines the ‘‘Licensing Requirements for the ISFSI for up to an additional 40 years. roles and responsibilities of both Independent Storage of Spent Nuclear In 1993, the NRC issued a 20-year entities and the process they will use to Fuel, High-Level Radioactive Waste, and license to NSPM to receive, possess, prepare an EA that incorporates and Reactor-Related Greater Than Class C store, and transfer spent nuclear fuel reflects the PIIC’s views in the areas of Waste.’’ The NRC staff’s analysis will be generated at the PINGP, Units 1 and 2, special expertise. documented in a separate safety in the PI ISFSI. License SNM–2506 In the draft EA, the NRC staff evaluation report (SER). The NRC staff’s currently allows NSPM to store up to 48 describes the affected environment and decision whether to renew the NSPM’s transnuclear-40 casks (TN–40) and TN– evaluates the potential environmental PI ISFSI license as proposed will be 40 high thermal (TN–40HT) casks at the impacts from the proposed 40-year based on the results of the NRC staff’s ISFSI. The PI ISFSI is located within the renewal of license SNM–2506 on land review as documented in the final EA, facility boundary of the PINGP, which is use; transportation; socioeconomics; the final FONSI, and in the SER. located within the city limits of Red climatology, meteorology and air On June 8, 2012, the United States Wing in Goodhue County, Minnesota, quality; geology and soils; water Court of Appeals for the District of approximately 45 kilometers (km) [28 resources; ecology and threatened and Columbia Circuit [New York v. NRC, miles (mi)] southeast of the endangered species; visual and scenic 681 F.3d 471 (D.C. Cir. 2012)], in Minneapolis-St. Paul metropolitan area. resources; noise; historic and cultural response to a legal challenge to the The proposed action is whether to resources; public and occupational NRC’s Waste Confidence (WC) Decision renew the license for up to an additional health and safety; waste management; and Rule Update, vacated the NRC’s WC 40 years. If approved, NSPM would and environmental justice. The draft EA Decision and Rule Update (75 FR 81032 continue to possess and store the also discusses the alternatives to the and 75 FR 81037). The Court held that PINGP, Units 1 and 2, spent fuel at the proposed action. The staff also the WC Decision and Rule Update is a PI ISFSI under the requirements in 10 evaluated the potential environmental major Federal action necessitating either CFR part 72, ‘‘Licensing Requirements impacts from decommissioning of the PI an EIS or a FONSI, and the for the Independent Storage of Nuclear ISFSI, taking into consideration an Commission’s evaluation of the risks Fuel, High-Level Radioactive Waste, and additional 40 years of operation. associated with the storage of spent Reactor-Related Greater than Class C Additionally, NRC staff analyzed the nuclear fuel for at least 60 years beyond Waste.’’ The NRC’s regulations at 10 cumulative impacts from past, present, the licensed life of a reactor is deficient. CFR 72.42 authorize the renewal of and reasonably foreseeable future In response to the Court’s ruling, the ISFSI-specific licenses for a period not actions when combined with the Commission, in CLI–12–16 (ADAMS to exceed 40 years. The NRC issued this potential environmental impacts of the Accession No. ML12220A100), provision, allowing for renewals of up proposed action. determined that it would not issue to 40 years, in a final rule published in The NRC staff evaluated potential licenses dependent upon the WC the Federal Register on February 16, environmental impacts and categorized Decision and Rule until the issues 2011 (76 FR 8890). the impacts as follows: identified in the Court’s decision are

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appropriately addressed. In CLI–12–16, staff has preliminarily determined that Week of December 16, 2013—Tentative the Commission also noted that this an EIS is not warranted and, pursuant There are no meetings scheduled for determination extends only to final to 10 CFR 51.31, a FONSI is appropriate. the week of December 16, 2013. license issuance; all current licensing The draft EA and the draft FONSI for reviews and proceedings should the proposed PI ISFSI license renewal Week of December 23, 2013—Tentative continue to move forward. The will also be available at the following There are no meetings scheduled for Commission directed the NRC staff to public library: Red Wing Public Library, the week of December 23, 2013. proceed with a rulemaking that includes 225 East Avenue, Red Wing, MN 55066. * * * * * the development of an EIS to support an Pursuant to 10 CFR 51.33, the NRC updated WC Decision and Rule within staff is making this draft EA and this Additional Information 24 months (by September 2014). draft FONSI available for public review The Briefing on Spent Fuel Pool The updated rule and supporting and comment. In doing so, the NRC staff Safety and Consideration of Expedited Generic EIS (GEIS) will provide the determined that preparation of the draft Transfer to Dry Casks scheduled on necessary NEPA analyses of waste- EA and the draft FONSI furthers the November 21, 2013, was postponed. confidence-related environmental purposes of NEPA. Based on the * * * * * issues. As directed by the Commission, comments received, the NRC staff may The schedule for Commission the NRC will not issue a renewed determine that a final FONSI is meetings is subject to change on short license for the PI ISFSI before waste- appropriate or instead find that notice. To verify the status of meetings, confidence-related issues are resolved. preparation of an EIS is warranted call (recording)—301–415–1292. This will ensure the NRC’s should significant impacts resulting Contact person for more information: consideration of any resource from the proposed action be identified. Rochelle Bavol, 301–415–1651. commitments or potential harm to the The NRC staff’s final determination will environment before WC impacts have * * * * * be noticed in the Federal Register. The NRC Commission Meeting been addressed. If the results of the WC Schedule can be found on the Internet GEIS identify information that requires Dated at Rockville, Maryland, this 7th day of November 2013. at: http://www.nrc.gov/public-involve/ a supplement to this draft EA and draft public-meetings/schedule.html. FONSI, the NRC staff will perform any For the U.S. Nuclear Regulatory Commission. appropriate additional NEPA review for * * * * * those issues before the NRC makes a Aby Mohseni, The NRC provides reasonable final licensing decision. Deputy Director, Environmental Protection accommodation to individuals with Based on its review of the proposed and Performance Assessment Directorate, disabilities where appropriate. If you action in the draft EA relative to the Division of Waste Management and need a reasonable accommodation to Environmental Protection, Office of Federal requirements set forth in 10 CFR part participate in these public meetings, or and State Materials and Environmental need this meeting notice or the 51, the NRC staff has preliminarily Management Programs. determined that renewal of NRC license transcript or other information from the [FR Doc. 2013–27730 Filed 11–18–13; 8:45 am] SNM–2506, which would authorize public meetings in another format (e.g. continued operation of the PI ISFSI in BILLING CODE 7590–01–P braille, large print), please notify Goodhue County, Minnesota, for a Kimberly Meyer, NRC Disability period of up to 40 years, will not Program Manager, at 301–287–0727, or NUCLEAR REGULATORY by email at Kimberly.Meyer-Chambers@ significantly affect the quality of the COMMISSION human environment. No significant nrc.gov. Determinations on requests for changes in NSPM’s authorized [NRC–2013–0001] reasonable accommodation will be operations for the PI ISFSI were made on a case-by-case basis. requested as part of the license renewal Sunshine Act Meeting Notice * * * * * application. Approval of the proposed Members of the public may request to DATE: Weeks of November 18, 25, action would not result in any new receive this information electronically. December 2, 9, 16, 23, 2013. construction or expansion of the If you would like to be added to the existing ISFSI footprint beyond that PLACE: Commissioners’ Conference distribution, please contact the Office of previously approved. The ISFSI is a Room, 11555 Rockville Pike, Rockville, the Secretary, Washington, DC 20555 passive facility that produces no liquid Maryland. (301–415–1969), or send an email to or gaseous effluents. No significant STATUS: Public and Closed. [email protected]. radiological or nonradiological impacts Week of November 18, 2013 Dated: November 14, 2013. are expected from continued normal Rochelle C. Bavol, Thursday, November 21, 2013 operations. Occupational dose estimates Policy Coordinator, Office of the Secretary. from routine monitoring activities and 4:00 p.m. Discussion of Management [FR Doc. 2013–27812 Filed 11–15–13; 4:15 pm] transfer of spent fuel for disposal are and Personnel Issues (Closed—Ex. 2 BILLING CODE 7590–01–P expected to be at as low as reasonably and 6) achievable (ALARA) levels and are expected to be within the limits of 10 Week of November 25, 2013—Tentative CFR 20.1201. The estimated annual OFFICE OF SCIENCE AND There are no meetings scheduled for TECHNOLOGY POLICY OFFICE dose to the nearest potential member of the week of November 25, 2013. the public from ISFSI activities is 0.02 Week of December 2, 2013—Tentative National Nanotechnology Initiative millisieverts/year (mSv/yr) [2.20 Strategic Plan; National Science and millirem/year (mrem/yr)], which is There are no meetings scheduled for Technology Council; National below the 0.25 mSv/yr [25 mrem/yr] the week of December 2, 2013. Nanotechnology Coordination Office limit specified in 10 CFR 72.104(a) and the 1 mSv/yr (100 mrem/yr) limit in 10 Week of December 9, 2013—Tentative AGENCY: Executive Office of the CFR 20.1301(a)(1). Therefore, based on There are no meetings scheduled for President, Office of Science and this preliminary assessment, the NRC the week of December 9, 2013. Technology Policy.

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ACTION: Request for public comment. independent agencies working together cross-sector collaboration designed to toward the common vision of a future in accelerate innovation in areas of SUMMARY: The National Science and which the ability to understand and national priority. Technology Council; Committee on control matter at the nanoscale level Technology; Nanoscale Science, FOR FURTHER INFORMATION CONTACT: Any leads to a revolution in technology and questions about the content of this Engineering, and Technology industry that benefits society. The Subcommittee requests public notice should be sent to combined, coordinated efforts of these [email protected]. comments on the draft 2014 National agencies have accelerated discovery, Questions and responses may also be Nanotechnology Initiative (NNI) development, and deployment of sent by mail (please allow additional Strategic Plan. The draft plan will be nanotechnology towards agency time for processing) to: Stacey posted at www.nano.gov/2014strategy. missions and the broader national Standridge, ATTN: NNI Strategic Plan Comments of approximately one page or interest. Established in 2001, the NNI Comments, 4201 Wilson Blvd., Stafford less in length (4,000 characters) are involves nanotechnology-related II Suite 405, Arlington, VA 22230. requested and must be received by activities by the 20 member agencies, 11 Phone: (703) 292–8103, Fax: (703) 292– December 17, 2013 to be considered. of which have budgets for 9312. DATES: Comments must be received by nanotechnology R&D in Fiscal Year (FY) 11:59 p.m. EST on December 17, 2013. 2014. Ted Wackler, ADDRESSES: Respondents are The NNI is managed within the Deputy Chief of Staff and Assistant Director. encouraged to submit their comments framework of the National Science and [FR Doc. 2013–27548 Filed 11–18–13; 8:45 am] (4,000 characters or less) through one of Technology Council (NSTC), the BILLING CODE 3270–F4–P the following methods. Please reference Cabinet-level council that coordinates page and line numbers in your response, science and technology across the as appropriate Submission via the Web Federal government and interfaces with site is the preferred method of other sectors. The Nanoscale Science, SECURITIES AND EXCHANGE submission. Please do not include in Engineering, and Technology (NSET) COMMISSION your comments information of a Subcommittee of the NSTC coordinates confidential nature, such as sensitive planning, budgeting, program Notice of Sunshine Act Meeting personal information or proprietary implementation, and review of the NNI. information. Responses to this notice The NSET Subcommittee is composed Notice is hereby given, pursuant to are not offers and cannot be accepted by of senior representatives from agencies the provisions of the Government in the the Federal Government to form a participating in the NNI Sunshine Act, Public Law 94–409, that binding contract or issue a grant. (www.nano.gov/nset). the Securities and Exchange Information obtained as a result of this The NSET Subcommittee has solicited Commission will hold a Closed Meeting notice may be used by the Federal multiple streams of input to inform the on Thursday, November 21, 2013 at 2:00 Government for program planning on a development of a revised NNI Strategic p.m. non-attribution basis. Do not include Plan. Independent reviews of the NNI Commissioners, Counsel to the any information that might be by the President’s Council of Advisors Commissioners, the Secretary to the considered proprietary or confidential. on Science and Technology and the Commission, and recording secretaries Please be aware that your comments National Research Council of the will attend the Closed Meeting. Certain may be posted online. National Academies have made specific • staff members who have an interest in Web site: www.nano.gov/ recommendations for improving the the matters also may be present. 2014strategy. NNI. Additional input has come from • Email: 2014NNIStrategy@ the NNI Strategic Planning Stakeholders The General Counsel of the nnco.nano.gov. Workshop in Washington, DC, on June Commission, or her designee, has • Postal Mail: Stacey Standridge, 11–12, 2013 (details available online: certified that, in her opinion, one or ATTN: NNI Strategic Plan Comments, www.nano.gov/stakeholderworkshop), more of the exemptions set forth in 5 4201 Wilson Blvd., Stafford II Suite 405, as well as in responses to targeted U.S.C. 552b(c)(3), (5), (7), 9(B) and (10) Arlington, VA 22230. questions that were posted on and 17 CFR 200.402(a)(3), (5), (7), 9(ii) • Fax: (703) 292–9312. www.nano.gov/stakeholderworkshop and (10), permit consideration of the SUPPLEMENTARY INFORMATION: The from June 7-June 14, 2013. scheduled matter at the Closed Meeting. National Nanotechnology Initiative The NNI Strategic Plan represents the Commissioner Stein, as duty officer, (NNI) Strategic Plan is the framework consensus of the participating agencies voted to consider the items listed for the that underpins the nanotechnology as to the high-level goals and priorities Closed Meeting in a closed session. work of the NNI member agencies. It of the NNI and specific objectives for at The subject matter of the Closed aims to ensure that advances in least the next three years. It describes Meeting will be: nanotechnology research and the four overarching goals of the NNI; Settlement of injunctive actions; the major Program Component Areas, development (R&D) and their institution and settlement of established in 2004 and revised in 2013, applications to agency missions and the administrative proceedings; and broader national interest continue to broadly track the categories of unabated in this still-young field. Its investments needed to ensure the other matters relating to enforcement purpose is to facilitate achievement of success of the initiative; and the near- proceedings. the NNI vision by laying out targeted term objectives that will be the concrete At times, changes in Commission guidance for agency leaders, program steps taken toward collectively priorities require alterations in the managers, and the research community achieving the NNI vision and goals. scheduling of meeting items. regarding planning and implementation Finally, the plan describes collaborative For further information and to of nanotechnology R&D investments and interagency activities, including five ascertain what, if any, matters have been activities. Nanotechnology Signature Initiatives added, deleted or postponed, please The NNI is a U.S. Government R&D that are a model of specifically targeted contact the Office of the Secretary at program of 20 departments and and closely coordinated interagency, (202) 551–5400.

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Dated: November 14, 2013. II. Self-Regulatory Organization’s controls. The Exchange notes that it Elizabeth M. Murphy, Statement of the Purpose of, and operates in a highly competitive market Secretary. Statutory Basis for, the Proposed Rule in which market participants can [FR Doc. 2013–27764 Filed 11–15–13; 11:15 am] Change readily direct order flow to competing BILLING CODE 8011–01–P In its filing with the Commission, the venues if they deem fee structures at a Exchange included statements particular venue to be unreasonable concerning the purpose of and basis for and/or excessive. The Exchange believes SECURITIES AND EXCHANGE the proposed rule change and discussed that the proposed changes to the COMMISSION any comments it received on the Exchange’s routing fee for orders proposed rule change. The text of these executed on BZX through the TRIM and [Release No. 34–70852; File No. SR–BYX– statements may be examined at the SLIM routing strategies are equitably 2013–038] places specified in Item IV below. The allocated, fair and reasonable, and non- Exchange has prepared summaries, set discriminatory in that they are equally Self-Regulatory Organizations; BATS forth in Sections A, B, and C below, of applicable to all Members and are Y-Exchange, Inc.; Notice of Filing and the most significant parts of such designed to mirror the fee applicable to Immediate Effectiveness of Proposed statements. the execution if such routed orders were Rule Change Related to Fees for Use executed directly by the Member at of BATS Y-Exchange, Inc. A. Self-Regulatory Organization’s BZX. Statement of the Purpose of, and November 13, 2013. Statutory Basis for, the Proposed Rule B. Self-Regulatory Organization’s Pursuant to Section 19(b)(1) of the Change Statement on Burden on Competition Securities Exchange Act of 1934 (the The Exchange does not believe that 1. Purpose ‘‘Act’’),1 and Rule 19b–4 thereunder,2 the proposed rule change will impose notice is hereby given that on October The Exchange proposes to modify its any burden on competition not 31, 2013, BATS Y-Exchange, Inc. (the fee schedule applicable to the use of the necessary or appropriate in furtherance ‘‘Exchange’’ or ‘‘BYX’’) filed with the Exchange effective November 1, 2013, in of the purposes of the Act, as amended. Securities and Exchange Commission order to modify pricing related to Because the market for order execution (‘‘Commission’’) the proposed rule executions that occur on BATS is extremely competitive, Members may change as described in Items I, II, and Exchange, Inc. (‘‘BZX’’) through the readily opt to disfavor the Exchange’s III below, which Items have been Exchange’s TRIM 6 and SLIM routing routing services if they believe that prepared by the Exchange. The strategies.7 BZX implemented certain alternatives offer them better value. For Exchange has designated the proposed pricing changes effective October 1, orders routed through the Exchange and rule change as one establishing or 2013, including modification of the fee executed at BZX through the TRIM and changing a member due, fee, or other of $0.0029 per share when removing SLIM routing strategies, the proposed charge imposed by the Exchange under liquidity to a fee of $0.0030 per share fee change is designed to equal the fee Section 19(b)(3)(A)(ii) of the Act 3 and when removing liquidity. To create a that a Member would have received if Rule 19b–4(f)(2) thereunder,4 which direct pass through of the applicable such routed orders would have been renders the proposed rule change economics of executions at BZX through executed directly by a Member at BZX. effective upon filing with the the TRIM and SLIM routing strategies, C. Self-Regulatory Organization’s Commission. The Commission is the Exchange proposes to charge Statement on Comments on the publishing this notice to solicit $0.0030 per share for orders routed Proposed Rule Change Received From comments on the proposed rule change through such strategies and executed on Members, Participants, or Others from interested persons. BZX, rather than the $0.0029 per share that it currently charges for such orders. No written comments were solicited I. Self-Regulatory Organization’s The Exchange is not proposing any or received. Statement of the Terms of the Substance other changes to its routing fees at this III. Date of Effectiveness of the of the Proposed Rule Change time. Proposed Rule Change and Timing for The Exchange proposes to amend the 2. Statutory Basis Commission Action fee schedule applicable to Members 5 and non-members of the Exchange The Exchange believes that the The foregoing rule change has become pursuant to BYX Rules 15.1(a) and (c). proposed rule change is consistent with effective pursuant to Section 19(b)(3)(A) While changes to the fee schedule the requirements of the Act and the of the Act 10 and paragraph (f) of Rule pursuant to this proposal will be rules and regulations thereunder that 19b–4 thereunder.11 At any time within effective upon filing, the proposed are applicable to a national securities 60 days of the filing of the proposed rule changes will become operative on exchange, and, in particular, with the change, the Commission summarily may November 1, 2013. requirements of Section 6 of the Act.8 temporarily suspend such rule change if The text of the proposed rule change Specifically, the Exchange believes that it appears to the Commission that such is available at the Exchange’s Web site the proposed rule change is consistent action is necessary or appropriate in the at http://www.batstrading.com, at the with Section 6(b)(4) of the Act,9 in that public interest, for the protection of principal office of the Exchange, and at it provides for the equitable allocation investors, or otherwise in furtherance of the Commission’s Public Reference of reasonable dues, fees and other the purposes of the Act. charges among members and other Room. IV. Solicitation of Comments persons using any facility or system Interested persons are invited to 1 15 U.S.C. 78s(b)(1). which the Exchange operates or 2 17 CFR 240.19b–4. submit written data, views and 3 15 U.S.C. 78s(b)(3)(A)(ii). 6 As defined in BYX Rule 11.13(a)(3)(G). arguments concerning the foregoing, 4 17 CFR 240.19b–4(f)(2). 7 As defined in BYX Rule 11.13(a)(3)(H). 5 A Member is any registered broker or dealer that 8 15 U.S.C. 78f. 10 15 U.S.C. 78s(b)(3)(A)(ii). has been admitted to membership in the Exchange. 9 15 U.S.C. 78f(b)(4). 11 17 CFR 240.19b–4(f).

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including whether the proposed rule SECURITIES AND EXCHANGE A. Self-Regulatory Organization’s change is consistent with the Act. COMMISSION Statement of the Purpose of, and Comments may be submitted by any of Statutory Basis for, the Proposed Rule [Release No. 34–70854; File No. SR– Change the following methods: NYSEMKT–2013–90] Electronic Comments 1. Purpose Self-Regulatory Organizations; NYSE • Use the Commission’s Internet MKT LLC; Notice of Filing and The Exchange is proposing to amend comment form (http://www.sec.gov/ Immediate Effectiveness of Proposed Commentary .09(d) to Rule 903 related rules/sro.shtml); or Rule Change Amending Commentary to the QOS Program to eliminate the cap on the number of additional series that • Send an email to rule-comments@ .09 to Rule 903 To Modify the Quarterly may be listed per expiration month for sec.gov. Please include File Number SR– Option Series Program To Eliminate each QOS in ETF options.4 As set out BYX–2013–038 on the subject line. the Cap on the Number of Additional Series That May Be Listed Per in Commentary .09, the Exchange may Paper Comments Expiration Month for Each QOS in list QOS for up to five currently listed options classes that are either index • Send paper comments in triplicate Exchange-Traded Fund Options options or options on ETFs. The to Elizabeth M. Murphy, Secretary, Exchange may also list QOS on any Securities and Exchange Commission, November 13, 2013. 1 option classes that are selected by other 100 F Street NE., Washington, DC Pursuant to Section 19(b)(1) of the securities exchanges that employ a 20549–1090. Securities Exchange Act of 1934 (the ‘‘Act’’) 2 and Rule 19b–4 thereunder,3 similar program under their respective All submissions should refer to File notice is hereby given that, on rules. Currently, for each QOS in ETF Number SR–BYX–2013–038. This file November 5, 2013, NYSE MKT LLC (the options that has been initially listed on number should be included on the ‘‘Exchange’’) filed with the Securities the Exchange, the Exchange may list up subject line if email is used. To help the and Exchange Commission (‘‘SEC’’ or to 60 additional series per expiration Commission process and review your ‘‘Commission’’) the proposed rule month. comments more efficiently, please use change as described in Items I and II The Exchange is proposing to amend only one method. The Commission will below, which Items have been prepared Commentary .09(d) to make the post all comments on the Commission’s by the self-regulatory organization. The treatment of QOS in ETF options Internet Web site (http://www.sec.gov/ Commission is publishing this notice to consistent with the treatment of QOS in rules/sro.shtml). Copies of the solicit comments on the proposed rule stock index options. Rule 900C(a)(iv) submission, all subsequent change from interested persons. [sic] governs the QOS Program in stock amendments, all written statements index options. A stock index option is with respect to the proposed rule I. Self-Regulatory Organization’s ‘‘an option contract on a specific stock change that are filed with the Statement of the Terms of Substance of index group.’’ 5 Options on ETFs are Commission, and all written the Proposed Rule Change similar to index options because ETFs communications relating to the The Exchange proposes to amend hold securities based on an index or proposed rule change between the Commentary .09 to Rule 903 to modify portfolio of securities.6 The Commission and any person, other than the Quarterly Option Series (‘‘QOS’’) requirements and conditions of the QOS those that may be withheld from the Program to eliminate the cap on the Program in index options, moreover, public in accordance with the number of additional series that may be parallel those of the QOS Program in provisions of 5 U.S.C. 552, will be listed per expiration month for each ETF options. For example, like the QOS available for Web site viewing and QOS in exchange-traded fund (‘‘ETF’’) Program in ETF options, the QOS printing in the Commission’s Public options. The text of the proposed rule Program in index options permits QOS Reference Room, 100 F Street NE., change is available on the Exchange’s in up to five currently-listed options Washington, DC 20549, on official Web site at www.nyse.com, at the business days between the hours of principal office of the Exchange, and at 4 A Quarterly Option Series is a series of an 10:00 a.m. and 3:00 p.m. Copies of such the Commission’s Public Reference option class that is approved for listing and trading on the Exchange in which the series is opened for filing also will be available for Room. trading on any business day, and that expires at the inspection and copying at the principal II. Self-Regulatory Organization’s close of business on the last business day of a office of the Exchange. All comments calendar quarter. The Exchange lists series that Statement of the Purpose of, and received will be posted without change; expire at the end of the next consecutive four (4) Statutory Basis for, the Proposed Rule the Commission does not edit personal calendar quarters, as well as the fourth quarter of Change the next calendar year. See Rules 900C(26) and 903, identifying information from Commentary .09(a). submissions. You should submit only In its filing with the Commission, the 5 Rule 900C(b)(2). ‘‘Stock index group’’ means: information that you wish to make self-regulatory organization included ‘‘[A] group of stocks each of whose inclusion and available publicly. All submissions statements concerning the purpose of, relative representation in the group is determined and basis for, the proposed rule change by the inclusion and relative representation of their should refer to File Number SR–BYX– current market values or market prices in a widely 2013–038 and should be submitted on and discussed any comments it received disseminated stock index. A stock index group may or before December 10, 2013. on the proposed rule change. The text relate to a stock index which reflects representative of those statements may be examined at stock market values or prices of either a broad For the Commission, by the Division of the places specified in Item IV below. segment of the stock market (‘‘broad stock index Trading and Markets, pursuant to delegated group’’) or stocks representing a particular industry authority.12 The Exchange has prepared summaries, or related industries (‘‘stock index industry Kevin M. O’Neill, set forth in sections A, B, and C below, group’’).’’ Rule 900C(b)(1). of the most significant parts of such 6 Rule 900.2NY(24) defines ‘‘Exchange-Traded Deputy Secretary. statements. Fund Share’’ as ‘‘Exchange-listed securities [FR Doc. 2013–27618 Filed 11–18–13; 8:45 am] representing interests in open-end unit investment BILLING CODE 8011–01–P trusts or open-end management investment 1 15 U.S.C.78s(b)(1). companies that hold securities (including fixed 2 15 U.S.C. 78a. income securities) based on an index or a portfolio 12 17 CFR 200.30–3(a)(12). 3 17 CFR 240.19b–4. of securities.’’

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classes; requires the listing of series that closed the previous trading day at On the other hand, in contrast to the expire at the end of the next (as of the $162.02, with initial strikes from $115 limitations imposed on the Exchange for listing date) consecutive four quarters, to $210, and additional strikes in $1 quarterly expiration options on ETFs, as well as the fourth quarter of the next intervals from $131 to $189. But during the absence of a similar cap on quarterly calendar year; requires the strike price 2013, GLD has closed at a range of expiration options on indexes means of each QOS to be fixed at a price per $115.94 to $163.67 and is currently that the Exchange can list, and investors share; and establishes parameters for the trading around $125. As a result of the can achieve, more granularity in index- number of strike prices above and below cap, the Exchange cannot offer based options. For example, S&P 500 the underlying index. The QOS Program December 2013 Quarterlies on GLD in Mini—SPX options (‘‘SPX’’) are options in index options, however, does not $1 intervals within $10 of the closing on the S&P 500 index, as opposed to place a cap on the number of additional price of GLD because the number of options on SPY, the ETF based on that series that the Exchange may list per strikes would exceed the cap of 60 same S&P 500 index. SPX options are expiration month for each QOS in index additional strikes. Consequently, the used to hedge SPY positions and are options. Elimination of the cap set out Exchange is not able to list important at- traded at the equivalent of one point in Commentary .09(d), therefore, would the-money strikes due to the cap on and one-half point intervals. The SPX result in similar regulatory treatment of additional strikes. While the Exchange trades at 10 times the value of SPY, so similar options products.7 has the ability to delist strikes with no that if SPY trades at $168.70, SPX trades The Exchange believes that the open interest so that it may list strikes at $1687. Therefore, the strike price for proposed revision to the QOS Program that are closer to the money, delisting is a quarterly expiration option on SPX, would provide market participants with not always possible. If all of the existing that is a hedge for a quarterly expiration the ability to better tailor their trading strikes have open interest, the Exchange option on SPY at $170, would be $1700. to meet their investment objectives, cannot delist strikes so that it may list The Exchange can offer quarterly including hedging securities positions, strikes closer to the money. expiration options on SPX with strike by permitting the Exchange to list But the Exchange is not subject to a prices of $1670, $1680, $1690, and additional QOS in ETF options that similar cap on the number of additional $1700 because there is no cap on meet such objectives. The Exchange has weekly or monthly expiration options it quarterly expiration index-based observed that situations arise in which can list on ETFs.8 So, for example, the options. However, the Exchange cannot the market value of the ETF underlying Exchange can list additional weekly similarly offer quarterly expiration QOS moves to the point that additional expiration options on GLD in $1 and options on SPY with similar strike price strike prices in smaller intervals would $0.50 intervals within $5 of the closing continuity because of the cap on be valuable to investors. However, due price of GLD, and additional monthly quarterly expiration ETF-based options. to the cap on additional QOS series, the expiration options in $1 intervals from Elimination of the cap would also Exchange cannot always provide these $85 to $178. Therefore, due to the cap, help market participants meet their important at-the-money strikes. the Exchange cannot list, and an investment objectives by providing Elimination of the cap would remedy investor cannot structure, an investment expanded opportunities to roll ETF this issue. on a quarterly basis with the same options into later quarters. For example, Currently, the Exchange lists quarterly granularity that can be achieved on a a market participant that holds one or expiration options on six ETFs, but the weekly or monthly basis. more contracts in a QOS in an ETF put cap restricts the number of strikes on Similarly, the Exchange lists quarterly option that has a strike price of $120 these options, which often results in a options on SPDR S&P 500 ETF (‘‘SPY’’), and an expiration date of the last day of lack of strike continuity. For example, which during 2013 closed at a range of the third quarter may wish to roll that the Exchange lists quarterly expiration $145.55 to $173.05. Again, due to the position into the fourth quarter. That is, options on SPDR Gold Trust (‘‘GLD’’). cap, the Exchange cannot offer quarterly the market participant may wish to On January 2, 2013, the Exchange expiration options on SPY in $1 close out the contracts set to expire at initially listed December 31, 2013 intervals above $170 because the the end of the third quarter and instead quarterly expiration options (‘‘December number of additional strikes would establish a position in the same number 2013 Quarterlies’’) on GLD, which exceed the cap of 60. Instead, the of contracts in a QOS in a put option on Exchange is forced to list quarterly the same ETF with the same strike price 7 The Exchange notes that Rule 903C(a)(iv)(4), expiration options on SPY at $5 of $120, but with an expiration date of which governs the addition of new series of Quarterly Options Series on index options, states: intervals above $170, despite the fact the last day of the fourth quarter. ‘‘The Exchange may open additional strike prices of that SPY has recently traded between Because of the cap on additional QOS a Quarterly Options Series that are above the value $165 and $170. As such, if SPY would in ETF options, however, the Exchange of the underlying index provided that the total again increase to $170, then the may not be able to list additional QOS number of strike prices above the value of the underlying index is no greater than five. The Exchange would only be able to offer in the ETF. Elimination of the cap, Exchange may open additional strike prices of a options with a strike price $5 away from though, would allow the Exchange to Quarterly Options Series that are below the value the price of the underlying ETF due to meet the investment needs of market of the underlying index provided that the total participants in such situations. number of strike prices is below the value of the the cap on additional strikes. underlying index is no greater than five. The The Exchange has sufficient capacity opening of any new Quarterly Options series shall 8 For Short Term Options Series (‘‘weekly to handle increased quote and trade not affect the series of options of the same class options’’), commentary .10 to Rule 903 sets a reporting traffic that might be expected previously opened.’’ In practice, this means that the maximum number of strikes, but the Exchange can to result from listing additional QOS in Exchange may add Quarterly Options Series at exceed this maximum number of strikes under strikes above and below the current index value, so certain circumstances. Specifically, ‘‘in the event ETF options. The Exchange notes that it long as there are not more than five strikes above, that the underlying security has moved such that has purchased capacity from the and five strikes below, the current index value after there are no series that are at least 10% above or Options Price Reporting Authority such additions are made. The total number of below the current price of the underlying security (‘‘OPRA’’) to handle its options quote Quarterly Options Series that can be listed at any and all existing series have open interest, the 9 one time is, therefore, theoretically unlimited, so Exchange may list additional series, in excess of the and trade reporting traffic. The long as there are no more than five strikes above 30 allowed under Commentary .10, that are between (or below) a given index value when new strikes are 10% and 30% above or below the price of the 9 See Exchange Act Release No. 48822 (Nov. 21, added. underlying security.’’ 2003), 68 FR 66892 (Nov. 28, 2003) (SR–OPRA–

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Exchange believes that it has acquired objectives of Section 6(b)(5),13 in additional QOS in ETF options by sufficient capacity to handle increased particular, in that it is designed to providing investors with more quote and trade reporting traffic that promote just and equitable principles of flexibility to closely tailor their might be expected to result from listing trade, to remove impediments to, and investment and hedging decisions to additional QOS in ETF options.10 In the perfect the mechanism of a free and their needs. Additionally, Exchange Exchange’s view, it would be open market and, in general, to protect procedures for delisting inactive series inconsistent to prohibit the listing of investors and the public interest. will ensure that only active series with additional QOS beyond a specified cap The Exchange believes that the sufficient investor interest will be made when each exchange independently proposed rule change is designed to available and maintained on the purchases capacity to meet its quote and remove impediments to and perfect the Exchange. trade reporting traffic needs. mechanism of a free and open market Moreover, the Exchange has in place because it will expand the investment C. Self-Regulatory Organization’s a quote mitigation plan that helps it options available to investors and will Statement on Comments on the maintain sufficient capacity to handle allow for more efficient risk Proposed Rule Change Received From quote traffic. The plan, which has been management. The Exchange believes Members, Participants, or Others that removing the cap on the number of approved by the Commission, reduces No written comments were solicited the number of quotations that the QOS in ETF options permitted to be listed on the Exchange will result in a or received with respect to the proposed Exchange disseminates by limiting rule change. disseminated quotes to active options continuing benefit to investors by giving series only.11 them more flexibility to closely tailor III. Date of Effectiveness of the To help ensure that only active their investment and hedging decisions Proposed Rule Change and Timing for options series are listed, the Exchange to their needs, and therefore, the Commission Action also has in place procedures to delist proposal is designed to protect investors and the public interest. Additionally, by inactive series. Commentary .09(f) to Because the foregoing proposed rule removing the cap, the proposed rule Rule 903 requires the Exchange to change does not: (i) Significantly affect change will make the treatment of QOS review QOS that are outside of a range the protection of investors or the public in ETF options consistent with the of five strikes above and five strikes interest; (ii) impose any significant treatment of QOS in index options, thus below the current price of the burden on competition; and (iii) become resulting in similar regulatory treatment underlying ETF. Based on that review, operative for 30 days after the date of for similar options products. the filing, or such shorter time as the the Exchange must delist series with no While the expansion of the number of open interest in both the call and the Commission may designate, it has QOS in ETF options is expected to become effective pursuant to Section put series having (i) a strike price higher generate additional quote traffic, the than the highest price with open interest 19(b)(3)(A) of the Act 14 and Rule 19b– Exchange believes that this increased 4(f)(6) 15 thereunder. in the put and/or call series for a given traffic will be manageable and will not expiration month, and (ii) a strike price present capacity problems. As At any time within 60 days of the lower than the lowest strike price with previously stated, the Exchange has in filing of the proposed rule change, the open interest in the put and/or call place a quote mitigation plan that helps Commission summarily may series for a given expiration month. it maintain sufficient capacity to handle temporarily suspend such rule change if Finally, the Exchange is proposing to quote traffic. To help ensure that only it appears to the Commission that such update an outdated cross-reference in active options series are listed, action is necessary or appropriate in the Commentary .09(d) to Rule 903. Exchange procedures are designed to public interest, for the protection of Commentary .09(d) currently states that delist inactive series, ensuring that any investors, or otherwise in furtherance of the term ‘‘Exchange-Traded Fund additional quote traffic is a result of the purposes of the Act. If the Share’’ is defined in Rule 900(b)(42); interest in active series. Commission takes such action, the however, that term is defined in Rule Finally, amending Commentary .09(d) Commission shall institute proceedings 900.2NY(24). The Exchange proposes to to Rule 903 to correct an outdated cross- under Section 19(b)(2)(B) 16 of the Act to update the language accordingly. reference to the definition of Exchange- determine whether the proposed rule 2. Statutory Basis Traded Fund Shares will remove change should be approved or impediments to, and perfect the disapproved. The Exchange believes that the mechanism of a free and open market IV. Solicitation of Comments proposal is consistent with Section 6(b) system. The Exchange believes that the 12 of the Act, in general, and furthers the proposed rule change will resolve any Interested persons are invited to investor confusion regarding the submit written data, views and 2003–01) (requiring exchanges to acquire options incorrect cross-reference, and ensures arguments concerning the foregoing, market data transmission capacity independently, that the Exchange provides a clear and rather than jointly). including whether the proposed rule 10 The SEC has relied upon an exchange’s well-defined rule set. change is consistent with the Act. representation that it has sufficient capacity to B. Self-Regulatory Organization’s Comments may be submitted by any of support new options series in approving a rule the following methods: amendment permitting the listing of additional Statement on Burden on Competition option series. See Exchange Act Release No. 57410 The Exchange does not believe that 14 (Jan. 17 [sic], 2008), 73 FR 12483, 12484 (Mar. 7, the proposed rule change will impose 15 U.S.C. 78s(b)(3)(A). 2008) (SR–CBOE–2007–96) (amendments to CBOE 15 17 CFR 240.19b–4(f)(6). In addition, Rule 19b– Rule 5.5(e)(3)) (‘‘In approving the proposed rule any burden on competition not 4(f)(6) requires a self-regulatory organization to give change, the Commission has relied upon the necessary or appropriate in furtherance the Commission written notice of its intent to file Exchange’s representation that it has the necessary of the purposes of the Act. Specifically, the proposed rule change at least five business days systems capacity to support new options series that the Exchange believes that investors prior to the date of filing of the proposed rule will result from this proposal’’). change, or such shorter time as designated by the 11 The Exchange’s quote mitigation plan is set out would benefit from the introduction of Commission. The Exchange has satisfied this in Rule 970.1NY, adopted in 2009. requirement. 12 15 U.S.C. 78f(b). 13 15 U.S.C. 78f(b)(5). 16 15 U.S.C. 78s(b)(2)(B).

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Electronic Comments SECURITIES AND EXCHANGE of trading in an option class (a ‘‘Post- Halt Notification’’) following a • COMMISSION Use the Commission’s Internet regulatory halt, trading pause or market- comment form (http://www.sec.gov/ [Release No. 34–70862; File No. SR–MIAX– 2013–51] wide trading halt. rules/sro.shtml); or Currently, the Exchange’s Trading • Send an email to rule-comments@ Self-Regulatory Organizations; Miami Operations staff at the MIAX Help Desk sec.gov. Please include File Number SR– International Securities Exchange LLC; issues a Post-Halt Notification twenty NYSEMKT–2013–90 on the subject line. Notice of Filing and Immediate seconds before trading resumes in an Effectiveness of Proposed Rule option class that has been halted Paper Comments Change To Amend Exchange Rule 504, pursuant to Rule 504(a). The Post-Halt • Trading Halts Notification states the time at which Send paper comments in triplicate trading in the option class or classes is to Elizabeth M. Murphy, Secretary, November 13, 2013. expected to resume providing Securities and Exchange Commission, Pursuant to Section 19(b)(1) of the subscribers of the Exchange’s data feeds 100 F Street NE., Washington, DC Securities Exchange Act of 1934 (the with a brief notice period (twenty 20549–1090. ‘‘Act’’),1 and Rule 19b–4 thereunder,2 seconds) to prepare for the beginning or notice is hereby given that on November All submissions should refer to File resumption of trading after a trading 1, 2013, Miami International Securities system halt has ended. For trading halts Number SR–NYSEMKT–2013–90. This Exchange LLC (‘‘MIAX’’ or ‘‘Exchange’’) initiated by the System due to a file number should be included on the filed with the Securities and Exchange regulatory halt, trading pause or market- subject line if email is used. To help the Commission (‘‘Commission’’) the wide trading halt, no Post-Halt Commission process and review your proposed rule change as described in Notification currently is provided to comments more efficiently, please use Items I and II below, which Items have market participants.3 Not providing a only one method. The Commission will been prepared by the Exchange. The Post-Halt Notification for these types of post all comments on the Commission’s Commission is publishing this notice to trading halts while providing one for Internet Web site (http://www.sec.gov/ solicit comments on the proposed rule halts pursuant to Rule 504(a) potentially rules/sro.shtml). Copies of the change from interested persons. creates unnecessary confusion on the submission, all subsequent I. Self-Regulatory Organization’s part of market participants seeking amendments, all written statements Statement of the Terms of Substance of information about when options trading with respect to the proposed rule the Proposed Rule Change may restart following a trading halt. In change that are filed with the addition, without the Post-Halt Commission, and all written The Exchange is filing a proposal to Notification after a regulatory halt, communications relating to the amend Rule 504, Trading Halts. The text trading pause or market-wide trading of the proposed rule change is available proposed rule change between the halt, market participants may not be on the Exchange’s Web site at http:// Commission and any person, other than able to be in a position to resume www.miaxoptions.com/filter/wotitle/ quoting and/or submitting orders as those that may be withheld from the rule_filing, at MIAX’s principal office, public in accordance with the soon as such an option class begins and at the Commission’s Public trading following a trading halt, thus provisions of 5 U.S.C. 552, will be Reference Room. available for Web site viewing and delaying reopening. The Exchange printing in the Commission’s Public II. Self-Regulatory Organization’s proposes to eliminate any potential Reference Room, 100 F Street NE., Statement of the Purpose of, and confusion that may be caused by the Washington, DC 20549, on official Statutory Basis for, the Proposed Rule disparate treatment resulting from providing Post-Halt Notifications after business days between the hours of Change trading halts pursuant to Rule 504(a), 10:00 a.m. and 3:00 p.m. Copies of the In its filing with the Commission, the but not regulatory halts, trading pauses filing also will be available for Exchange included statements concerning the purpose of, and basis for, or market-wide trading halts. inspection and copying at the principal The Exchange proposes to amend office of the Exchange. All comments the proposed rule change and discussed any comments it received on the Rule 504 to provide that in situations of received will be posted without change; a regulatory halt, trading pause or the Commission does not edit personal proposed rule change. The text of these statements may be examined at the market-wide trading halt, a Post-Halt identifying information from Notification will be broadcast between submissions. You should submit only places specified in Item IV below. The Exchange has prepared summaries, set five and twenty seconds before trading information that you wish to make forth in sections A, B and C below, of will begin or resume. The Post-Halt available publicly. All submissions the most significant aspects of such Notification period for a regulatory halt, should refer to File Number SR– statements. trading pause or market-wide trading NYSEMKT–2013–90 and should be halt will be configurable in the MIAX submitted on or before December 10, A. Self-Regulatory Organization’s System for a time period between five 2013. Statement of the Purpose of, and the and twenty seconds before trading in Statutory Basis for, the Proposed Rule the option class resumes. The MIAX For the Commission, by the Division of Change System will send a broadcast message Trading and Markets, pursuant to delegated indicating that trading in the option authority.17 1. Purpose class will begin or resume within the Kevin M. O’Neill, The Exchange proposes to amend configurable Post-Halt Notification Deputy Secretary. Rule 504 in order to provide for an period. The Exchange will announce the [FR Doc. 2013–27620 Filed 11–18–13; 8:45 am] automated notification between five and duration of the Post-Halt Notification BILLING CODE 8011–01–P twenty seconds prior to the resumption 3 See Exchange Rule 504(d) (specifically carving 1 15 U.S.C. 78s(b)(1). out regulatory halts, trading pauses or market-wide 17 17 CFR 200.30–3(a)(12). 2 17 CFR 240.19b–4. trading halts from the Post-Halt Notification).

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period through a Regulatory Circular, B. Self-Regulatory Organization’s Electronic Comments and will issue a Regulatory Circular Statement on Burden on Competition • prior to the beginning of trading on any Use the Commission’s Internet day that the Post-Halt Notification The Exchange does not believe that comment form (http://www.sec.gov/ period is reconfigured.4 The Exchange the proposed rule change will impose rules/sro.shtml); or believes that the new Post-Halt any burden on competition not • Send an email to rule-comments@ Notification will eliminate potential necessary or appropriate in furtherance sec.gov. Please include File Number SR– confusion on the timing of reopening of the purposes of the Act. The MIAX–2013–51 on the subject line. after a regulatory halt, trading pause or Exchange believes that the Post-Halt market-wide trading halt and thus Notification broadcast by the MIAX Paper Comments provide market participants with the System actually enhances competition • opportunity to be in a position to by expeditiously notifying Members that Send paper comments in triplicate resume quoting and/or submitting an affected option class will begin or to Elizabeth M. Murphy, Secretary, orders as soon as such an option class resume trading, thus incenting market Securities and Exchange Commission, begins trading in a manner that participants to resume quoting 100 F Street NE., Washington, DC facilitates the reopening of trading after competitively and/or to submit orders to 20549–1090. a halt and benefits all market the Exchange for execution upon such All submissions should refer to File participants on the Exchange. resumption. Number SR–MIAX–2013–51. This file The Exchange notes that in the number should be included on the situation of a halt pursuant to Rule C. Self-Regulatory Organization’s 504(a), just as today, the Post-Halt Statement on Comments on the subject line if email is used. To help the Notification will continue to be initiated Proposed Rule Change Received From Commission process and review your by Help Desk staff and broadcast twenty Members, Participants, or Others comments more efficiently, please use seconds before trading will begin or only one method. The Commission will resume. Written comments were neither post all comments on the Commission’s solicited nor received. Internet Web site (http://www.sec.gov/ 2. Statutory Basis III. Date of Effectiveness of the rules/sro.shtml). Copies of the The Exchange believes that its Proposed Rule Change and Timing for submission, all subsequent proposed rule change is consistent with Commission Action amendments, all written statements Section 6(b) 5 of the Act in general, and with respect to the proposed rule furthers the objectives of Section Because the foregoing proposed rule change that are filed with the 6 6(b)(5) of the Act in particular, in that change does not: (i) Significantly affect Commission, and all written it is designed to prevent fraudulent and the protection of investors or the public communications relating to the manipulative acts and practices, to interest; (ii) impose any significant proposed rule change between the promote just and equitable principles of burden on competition; and (iii) become Commission and any person, other than trade, to foster cooperation and operative for 30 days from the date on those that may be withheld from the coordination with persons engaged in which it was filed, or such shorter time facilitating transactions in securities, to public in accordance with the as the Commission may designate, it has provisions of 5 U.S.C. 552, will be remove impediments to and perfect the become effective pursuant to 19(b)(3)(A) mechanisms of a free and open market available for Web site viewing and of the Act 7 and Rule 19b–4(f)(6) 8 and a national market system and, in printing in the Commission’s Public thereunder. general, to protect investors and the Reference Room, 100 F Street NE., public interest. At any time within 60 days of the Washington, DC 20549, on official The proposal is designed to enhance filing of the proposed rule change, the business days between the hours of the Exchange’s ability to notify Commission summarily may 10:00 a.m. and 3:00 p.m. Copies of the participants when a previously halted temporarily suspend such rule change if filing also will be available for option class will begin or resume it appears to the Commission that such inspection and copying at the principal trading, which removes impediments to, action is necessary or appropriate in the office of the Exchange. All comments and perfects the mechanisms of, a free public interest, for the protection of received will be posted without change; and open market and the national investors, or otherwise in furtherance of the Commission does not edit personal market system as a whole, by ensuring the purposes of the Act. identifying information from that participants are in a position to IV. Solicitation of Comments submissions. You should submit only resume quoting and/or submitting information that you wish to make orders as soon as such an option class Interested persons are invited to available publicly. All submissions begins trading following a regulatory submit written data, views, and should refer to File Number SR–MIAX– halt, trading pause or market-wide arguments concerning the foregoing, 2013–51 and should be submitted on or trading halt. The system change also including whether the proposed rule fosters cooperation and coordination before December 10, 2013. change is consistent with the Act. with persons engaged in facilitating For the Commission, by the Division of Comments may be submitted by any of transactions in securities by ensuring Trading and Markets, pursuant to delegated the following methods: that all subscribers to the Exchange’s authority.9 data feeds receive automatic notification 7 Kevin M. O’Neill, of the trading status of a halted issue. 15 U.S.C. 78s(b)(3)(A). 8 17 CFR 240.19b–4(f)(6). In addition, Rule 19b– Deputy Secretary. 4(f)(6) requires a self-regulatory organization to give [FR Doc. 2013–27628 Filed 11–18–13; 8:45 am] 4 The Post-Halt Notification period will not be the Commission written notice of its intent to file reconfigured on an intra-day basis. The Exchange the proposed rule change at least five business days BILLING CODE 8011–01–P does not anticipate changing the configuration on prior to the date of filing of the proposed rule a frequent basis. change, or such shorter time as designated by the 5 15 U.S.C. 78f(b). Commission. The Exchange has satisfied this 6 15 U.S.C. 78f(b)(5). requirement. 9 17 CFR 200.30–3(a)(12).

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SECURITIES AND EXCHANGE the proposed rule change and discussed ADAV,10, and average daily TCV 11 any COMMISSION any comments it received on the day that trading is not available on the proposed rule change. The text of these Exchange for more than sixty (60) [Release No. 34–70853; File No. SR–BATS– statements may be examined at the minutes during regular trading hours 2013–058] places specified in Item IV below. The (i.e., 9:30 a.m. to 4:00 p.m. Eastern Self-Regulatory Organizations; BATS Exchange has prepared summaries, set Time) but continues on other markets Exchange, Inc.; Notice of Filing and forth in Sections A, B, and C below, of during such time (an ‘‘Exchange Immediate Effectiveness of Proposed the most significant parts of such Outage’’). Rule Change Related to Fees for Use statements. The Exchange currently offers a tiered of BATS Exchange, Inc. structure for determining the rebates A. Self-Regulatory Organization’s that Members receive for executions that Statement of the Purpose of, and November 13, 2013. add liquidity to the Exchange. Under Statutory Basis for, the Proposed Rule the tiered pricing structure, the Pursuant to Section 19(b)(1) of the Change Securities Exchange Act of 1934 (the Exchange provides different rebates to ‘‘Act’’),1 and Rule 19b–4 thereunder,2 1. Purpose Members based on a Member’s ADV or notice is hereby given that on October ADAV as a percentage of average daily 31, 2013, BATS Exchange, Inc. (the The Exchange proposes to modify its TCV. The Exchange notes that it is not ‘‘Exchange’’ or ‘‘BATS’’) filed with the fee schedule applicable to use of the proposing to modify any of the existing Securities and Exchange Commission Exchange effective November 1, 2013, in rebates or the percentage thresholds at (‘‘Commission’’) the proposed rule order to: (1) Modify the fees applicable which a Member may qualify for certain change as described in Items I, II, and to executions occurring through certain rebates pursuant to the tiered pricing III below, which Items have been routing strategies at the Exchange’s structure. Rather, as mentioned above, prepared by the Exchange. The affiliate, BATS Y-Exchange, Inc. the Exchange is proposing to modify its Exchange has designated the proposed (‘‘BYX’’); and (2) modify the way that, fee schedule in order to exclude trading rule change as one establishing or for purposes of tiered pricing on the activity occurring on any day that the changing a member due, fee, or other Exchange’s equities trading platform Exchange experiences an Exchange charge imposed by the Exchange under (‘‘BATS Equities’’), the Exchange Outage, defined as an outage lasting for Section 19(b)(3)(A)(ii) of the Act 3 and calculates ADV, ADAV, and TCV (as more than sixty (60) minutes, from the Rule 19b–4(f)(2) thereunder,4 which such terms are defined below). calculation of ADV, ADAV and average renders the proposed rule change Routing Strategies to BYX daily TCV. The Exchange believes that effective upon filing with the including trading activity on days when Commission. The Commission is BYX currently provides a base rebate trading on the Exchange is unavailable publishing this notice to solicit of $0.0001 per share when removing for a significant portion of the day can comments on the proposed rule change liquidity. To create a direct pass through unfairly skew the calculation of ADV, from interested persons. of the applicable economics of ADAV and TCV. Thus, the Exchange executions at BYX through the believes that the most accurate and fair I. Self-Regulatory Organization’s Destination Specific,6 TRIM (including implementation of its tiered pricing Statement of the Terms of the Substance TRIM2 and TRIM3),7 and SLIM 8 routing structure is to exclude from the of the Proposed Rule Change strategies, the Exchange proposes to calculation of ADV, ADAV and TCV all The Exchange filed a proposal to rebate $0.0001 per share for orders days where the Exchange experiences amend the fee schedule applicable to routed through such strategies and an Exchange Outage. Members 5 and non-members of the executed on BYX, rather than the The Exchange believes that Exchange pursuant to BATS Rules $0.0002 per share that it currently eliminating days where the Exchange 15.1(a) and (c). While changes to the fee rebates for such orders. The Exchange is experiences an Exchange Outage from schedule pursuant to this proposal will not proposing any other changes to its the definition of ADV, ADAV and TCV, be effective upon filing, the proposed routing fees at this time. and thereby eliminating that day from changes will become operative on the calculation as it relates to rebates Modifications to Definitions Used for November 1, 2013. and fees based on trading activity on the Equities Pricing Tiers The text of the proposed rule change Exchange, will help to eliminate is available at the Exchange’s Web site The Exchange proposes to modify its significant uncertainty faced by at http://www.batstrading.com, at the fee schedule in order to amend the way Members as to their monthly ADV or principal office of the Exchange, and at that the Exchange calculates rebates for ADAV as a percentage of average daily the Commission’s Public Reference removing liquidity from and fees for TCV and the rebates that this percentage Room. adding liquidity to the Exchange. will qualify for, providing Members Specifically, the Exchange is proposing with an increased certainty as to their II. Self-Regulatory Organization’s monthly cost for trades executed on the Statement of the Purpose of, and to amend the methodology by which it determines the rebate that it will Exchange. Statutory Basis for, the Proposed Rule The Exchange notes that it recently provide to Members based on the Change adopted changes to exclude the last Exchange’s tiered pricing structure by Friday of June from the calculation of In its filing with the Commission, the excluding from the calculation of ADV,9 Exchange included statements concerning the purpose of and basis for 10 As provided in the fee schedule, ‘‘ADAV’’ 6 As defined in BATS Rule 11.9(c)(12). means average daily volume calculated as the 7 As defined in BATS Rule 11.13(a)(3)(G). number of shares added per day on a monthly basis; 1 15 U.S.C. 78s(b)(1). 8 As defined in BATS Rule 11.13(a)(3)(H). routed shares are not included in ADV calculation. 2 17 CFR 240.19b–4. 9 As provided in the fee schedule, ‘‘ADV’’ means 11 As provided in the fee schedule ‘‘TCV’’ means 3 15 U.S.C. 78s(b)(3)(A)(ii). average daily volume calculated as the number of total consolidated volume calculated as the volume 4 17 CFR 240.19b–4(f)(2). shares added or removed, combined, per day on a reported by all exchanges and trade reporting 5 A Member is any registered broker or dealer that monthly basis; routed shares are not included in facilities to a consolidated transaction reporting has been admitted to membership in the Exchange. ADV calculation. plan for the month for which the fees apply.

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ADV and average daily TCV.12 The last to the execution if such routed orders market quality. Further, the Exchange day of June is the day that Russell were executed directly by the Member believes that a tiered pricing model not Investments reconstitutes its family of at BYX. significantly altered by a day of atypical indexes (‘‘Russell Reconstitution’’), With respect to the proposed changes trading behavior which allows Members resulting in particularly high trading to the tiered pricing structure for to predictably calculate what their costs volumes, much of which the Exchange removing liquidity from the Exchange associated with trading activity on the believes derives from market and adding liquidity to the Exchange, Exchange will be is reasonable, fair and participants who are not generally as the Exchange believes that its proposal equitable and not unreasonably active entering the market to rebalance is reasonable because, as explained discriminatory as it is uniform in their holdings in-line with the Russell above, it will help provide Members application amongst Members and Reconstitution. The Exchange also notes with a greater level of certainty as to should enable such participants to that its affiliate, BYX, recently their level of rebates and costs for operate their business without concern implemented a similar change to its trading in any month where the of unpredictable and potentially definitions of ADV and TCV for Exchange experiences an Exchange significant changes in expenses. purposes of BYX tiered pricing.13 Outage on one or more trading days. The Exchange also believes that its B. Self-Regulatory Organization’s 2. Statutory Basis proposal is reasonable because it is not Statement on Burden on Competition The Exchange believes that the changing the thresholds to become The Exchange does not believe that proposed rule change is consistent with eligible or the dollar value associated the proposed rule change will result in the requirements of the Act and the with the tiered rebates or fees and, any burden on competition that is not rules and regulations thereunder that moreover, by eliminating the inclusion necessary or appropriate in furtherance are applicable to a national securities of a trading day that would almost of the purposes of the Act, as amended. exchange, and, in particular, with the certainly lower a Member’s ADV or Because the market for order execution requirements of Section 6 of the Act.14 ADAV as a percentage of average daily is extremely competitive, Members may Specifically, the Exchange believes that TCV, it will make the majority of readily opt to disfavor the Exchange’s the proposed rule change is consistent Members more likely to meet the routing services if they believe that with Section 6(b)(4) of the Act,15 in that minimum or higher tier thresholds, alternatives offer them better value. For it provides for the equitable allocation which will provide additional incentive orders routed through the Exchange and of reasonable dues, fees and other to Members to increase their executed at BYX through the TRIM charges among members and other participation on the Exchange in order (including TRIM2 and TRIM3), SLIM persons using any facility or system to meet the next tier. In addition, the and Destination Specific Order which the Exchange operates or Exchange believes that the proposed strategies, the proposed fee change is controls. The Exchange notes that it changes to fees are equitably allocated designed to equal the rebate that a operates in a highly competitive market among Exchange constituents as the Member would have received if such in which market participants can methodology for calculating ADV, routed orders would have been executed readily direct order flow to competing ADAV and TCV will apply equally to all directly by a Member at BYX. Further, venues if they deem fee levels at a Members. While, although unlikely, the proposed changes will help to particular venue to be excessive. certain Members may have a higher promote intramarket competition by The Exchange believes that the ADV or ADAV as a percentage of avoiding a penalty to Members for days proposed changes to the Exchange’s average daily TCV with their activity when trading on the Exchange is rebate for TRIM (including TRIM2 and included from days where the Exchange unavailable for a significant portion of TRIM3), SLIM and Destination Specific has an Exchange Outage, the proposal the day. As stated above, the Exchange Orders executed on BYX are equitably will make all Members’ cost of trading notes that it operates in a highly allocated, fair and reasonable, and non- on the Exchange more predictable, competitive market in which market discriminatory in that they are equally regardless of how the proposal affects participants can readily direct order applicable to all Members and are their ADV or ADAV as a percentage of flow to competing venues if the deem designed to mirror the rebate applicable average daily TCV. The Exchange also fee structures to be unreasonable or notes that its affiliate, BYX, recently excessive. 16 12 Securities Exchange Act Release No. 69793 made a similar change. (June 18, 2013), 78 FR 37865 (SR–BATS–2013–034) Volume-based tiers such as the C. Self-Regulatory Organization’s (notice of filing and immediate effectiveness of liquidity adding tiers maintained by the Statement on Comments on the proposed rule change to exclude the Russell Exchange have been widely adopted, Proposed Rule Change Received From Reconstitution day from the calculation of ADV and Members, Participants, or Others TCV for purposes of BATS Equities tiered pricing). and are equitable and not unfairly The Exchange notes that while it did not have a discriminatory because they are open to The Exchange has neither solicited definition of ADAV in its fee schedule at the time all members on an equal basis and nor received written comments on the the Russell Reconstitution exclusion was added, the provide higher rebates or lower fees that proposed rule change. exclusion does apply to ADAV pursuant to the fee are reasonably related to the value to an schedule, as amended. See Securities Exchange Act III. Date of Effectiveness of the Release No. 70664 (October 11, 2013), 78 FR 68204 exchange’s market quality associated (October 22, 2013) (SR–BATS–2013–054) (notice of with higher levels of market activity, Proposed Rule Change and Timing for filing and immediate effectiveness to modify the such as higher levels of liquidity Commission Action fees of BATS Exchange, Inc., including the addition provision and introduction of higher of a definition of ADAV). The foregoing rule change has become 13 Securities Exchange Act Release No. 70666 volumes of orders into the price and effective pursuant to Section 19(b)(3)(A) (October 11, 2013), 78 FR 37865 [sic] (October 22, volume discovery process. Accordingly, of the Act 17 and paragraph (f) of Rule 2013) (SR–BYX–2013–034) (notice of filing and the Exchange believes that the proposal 19b–4 thereunder.18 At any time within immediate effectiveness of proposed rule change to is equitably allocated and not unfairly 60 days of the filing of the proposed rule exclude from the definition of ADV and TCV days that BATS Y-Exchange, Inc. experiences an outage discriminatory because it is consistent change, the Commission summarily may lasting more than 60 minutes). with the overall goals of enhancing 14 15 U.S.C. 78f. 17 15 U.S.C. 78s(b)(3)(A). 15 15 U.S.C. 78f(b)(4). 16 See supra note 13. 18 17 CFR 240.19b–4(f).

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temporarily suspend such rule change if 2013–058 and should be submitted on concerning the purpose of and basis for it appears to the Commission that such or before December 10, 2013. the proposed rule change and discussed action is necessary or appropriate in the For the Commission, by the Division of any comments it received on the public interest, for the protection of Trading and Markets, pursuant to delegated proposed rule change. The text of these investors, or otherwise in furtherance of authority.19 statements may be examined at the the purposes of the Act. Kevin M. O’Neill, places specified in Item IV below. The Exchange has prepared summaries, set IV. Solicitation of Comments Deputy Secretary. [FR Doc. 2013–27619 Filed 11–18–13; 8:45 am] forth in sections A, B, and C below, of the most significant aspects of such Interested persons are invited to BILLING CODE 8011–01–P submit written data, views and statements. arguments concerning the foregoing, A. Self-Regulatory Organization’s including whether the proposed rule SECURITIES AND EXCHANGE Statement of the Purpose of, and change is consistent with the Act. COMMISSION Statutory Basis for, the Proposed Rule Comments may be submitted by any of Change the following methods: [Release No. 34–70866; File No. SR–Phlx– 2013–113] 1. Purpose Electronic Comments Self-Regulatory Organizations; The purpose of the proposed rule • Use the Commission’s Internet NASDAQ OMX PHLX LLC; Notice of change is to amend the Customer Rebate comment form (http://www.sec.gov/ Filing and Immediate Effectiveness of Program in Section B of the Pricing rules/sro.shtml); or Proposed Rule Change To Offer a Schedule to increase Customer rebates • Send an email to rule-comments@ Customer Rebate available to market participants that sec.gov. Please include File Number SR– transact Customer-denominated orders November 13, 2013. BATS–2013–058 on the subject line. on Phlx. Specifically, Phlx proposes to Pursuant to Section 19(b)(1) of the offer its members the opportunity to Paper Comments Securities Exchange Act of 1934 increase the Customer rebates offered in (‘‘Act’’),1 and Rule 19b–4 thereunder,2 • Send paper comments in triplicate Section B of the Pricing Schedule for notice is hereby given that, on October transactions on Phlx if the aggregate to Elizabeth M. Murphy, Secretary, 31, 2013, NASDAQ OMX PHLX LLC Securities and Exchange Commission, volumes of Customer orders transacted (‘‘Phlx’’ or ‘‘Exchange’’) filed with the by a member organization and its 100 F Street NE., Washington, DC Securities and Exchange Commission 20549–1090. affiliates on Phlx, The NASDAQ (‘‘SEC’’ or ‘‘Commission’’) the proposed Options Market LLC (‘‘NOM’’) and/or All submissions should refer to File rule change as described in Items I, II, NASDAQ OMX BX, Inc. (‘‘BX Options’’) Number SR–BATS–2013–058. This file and III below, which Items have been (collectively ‘‘NASDAQ OMX number should be included on the prepared by the Exchange. The exchanges’’) exceed a specified volume. subject line if email is used. To help the Commission is publishing this notice to The Exchange would increase the Commission process and review your solicit comments on the proposed rule applicable Phlx Customer rebate for comments more efficiently, please use change from interested persons. which the member organization only one method. The Commission will I. Self-Regulatory Organization’s qualified in the Customer Rebate post all comments on the Commission’s Statement of the Terms of Substance of Program by $0.02 per contract, in any Internet Web site (http://www.sec.gov/ the Proposed Rule Change category, provided the member rules/sro.shtml). Copies of the The Exchange proposes to amend organization, together with any affiliate submission, all subsequent under Common Ownership,3 transacts amendments, all written statements Section B of the Exchange’s Pricing Schedule, entitled ‘‘Customer Rebate Customer volume on Phlx, NOM and/or with respect to the proposed rule BX in multiply-listed options that is change that are filed with the Program’’, to offer its market participants an additional rebate. electronically delivered and executed Commission, and all written equal to or greater than 2.5% of national communications relating to the While changes to the Pricing Schedule pursuant to this proposal are customer volume in multiply-listed proposed rule change between the options during the month. Commission and any person, other than effective upon filing, the Exchange has designated the proposed amendment to Today, the Exchange pays Customer those that may be withheld from the Rebates based on a four-tier structure public in accordance with the be operative on November 1, 2013. The text of the proposed rule change comprised of percentage thresholds of provisions of 5 U.S.C. 552, will be Customer Orders in multiply-listed available for Web site viewing and is available on the Exchange’s Web site at http:// options based on national volume. printing in the Commission’s Public There are two Categories, A and B, of Reference Room, 100 F Street NE., nasdaqomxphlx.cchwallstreet.com/, at the principal office of the Exchange, and transactions eligible for rebates. In Washington, DC 20549, on official Category A, rebates are paid to members business days between the hours of at the Commission’s Public Reference Room. executing electronically-delivered 10:00 a.m. and 3:00 p.m. Copies of such Customer Simple Orders in Penny Pilot filing also will be available for II. Self-Regulatory Organization’s Options and Customer Simple Orders in inspection and copying at the principal Statement of the Purpose of, and Non-Penny Pilot Options in Section II office of the Exchange. All comments Statutory Basis for, the Proposed Rule symbols.4 In Category B, rebates are received will be posted without change; Change the Commission does not edit personal 3 In its filing with the Commission, the Common ownership is defined in the Preface to identifying information from Exchange included statements the Pricing Schedule as [sic] member organizations submissions. You should submit only under 75% common ownership or control. information that you wish to make 4 Rebates are paid on PIXL Orders in Section II 19 17 CFR 200.30–3(a)(12). symbols that execute against non-Initiating Order available publicly. All submissions 1 15 U.S.C. 78s(b)(1). interest, except in the case of Customer PIXL Orders should refer to File Number SR–BATS– 2 17 CFR 240.19b-4. that are greater than 999 contracts. All Customer

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paid to members executing of total national customer volume in (‘‘SPY’’)) 7 that are electronically- electronically-delivered Customer multiply-listed options that are delivered and executed, except volume Complex Orders in Penny Pilot Options transacted monthly on Phlx. To associated with electronic Qualified and Non-Penny Pilot Options in Section determine the applicable rebate, the Contingent Cross (‘‘QCC’’) Orders. 8 II symbols.5 The Exchange bases a Exchange totals Customer volume in Today, the Customer Rebate Tiers 9 are market participant’s qualification for a Multiply Listed Options 6 (including as follows: 10 Customer Rebate Tier on the percentage options overlying the SPDR S&P 500

Percentage thresholds of national customer volume in Customer rebate tiers multiply-listed equity and ETF Category A Category B options classes, excluding SPY options (monthly)

Tier 1 ...... 0.00%–0.75% ...... $0.00 $0.00 Tier 2 ...... Above 0.75%–1.60% ...... 0.12 0.17 Tier 3 ...... Above 1.60%–2.50% ...... 0.14 0.17 Tier 4 ...... Above 2.50% ...... 0.15 0.17

The Exchange proposes to offer Phlx 2. Statutory Basis consistent with the Act. As the members the opportunity to earn a The Exchange believes that its Commission found: higher rebate on Phlx by transacting a proposal to amend its Pricing Schedule If competitive forces are operative, the self- quantity of electronically delivered and is consistent with Section 6(b) of the interest of the exchanges themselves will executed Multiply Listed Customer Act 13 in general, and furthers the work powerfully to constrain unreasonable or volume that is equal to or greater than objectives of Section 6(b)(4) and (b)(5) of unfair behavior. . . . [W]hen an exchange is 2.5% percent of national customer the Act 14 in particular, in that it subject to competitive forces in its volume in multiply-listed options. The provides for the equitable allocation of distribution of non-core data, many market participants would be unlikely to purchase Exchange desires to incentivize its reasonable dues, fees and other charges the exchange’s data products if it sets fees among members and issuers and other members to achieve this type of volume that are inequitable, unfair, unreasonable, or by offering to aggregate Customer persons using any facility or system unreasonably discriminatory. As a result, volume transacted on Phlx with volume which Phlx operates or controls, and is competitive forces generally will constrain an transacted on NOM and/or BX Options not designed to permit unfair exchange in setting fees for non-core data for the sole purpose of measuring the discrimination between customers, because it should recognize that its own volume criteria. Phlx would pay the issuers, brokers, or dealers. profits will suffer if it attempts to act In analyzing the market for non-core additional $0.02 per contract rebate, unreasonably or unfairly. For example, an market data, the Commission developed exchange’s attempt to impose unreasonably above and beyond other Customer or unfairly discriminatory fees on a certain 11 a framework for analyzing whether rebates, on all eligible orders market data fees are equitable, fair and category of customers would likely be transacted on Phlx by the qualifying reasonable, and not unreasonably counter-productive for the exchange because, 12 member organization. The Exchange discriminatory.15 NASDAQ [sic] in a competitive environment, such believes that the additional rebate believes that the analytical framework customers generally would be able to respond by using alternatives to the would lower costs to transact business adopted in the ArcaBook order with on Phlx and increase the volume of exchange’s data. The Commission therefore respect to non-core market data is believes that the existence of significant Customer orders directed to and equally applicable to exchange competition provides a substantial basis for executed on Phlx, to the benefit of all transaction fees, which must also be finding that the terms of an exchange’s fee other market participants on Phlx. reasonable, equitably allocated, and not proposal are equitable, reasonable, and not unfairly discriminatory in order to be unreasonably or unfairly discriminatory.16

PIXL Orders that are greater than 999 contracts will 7 SPY is a Multiply Listed Option that is priced Tiers 3 and 4 as of November 1, 2013. See SR-Phlx- be paid a rebate regardless of the contra-party to the differently on Phlx as compared to other Multiply 2013–108 (not yet published). transaction. PIXL is the Exchange’s price Listed Option symbols. See Section I of the Pricing 10 Members and member organizations under improvement mechanism known as Price Schedule. Common Ownership may aggregate their Customer Improvement XL or (PIXLSM). See Rule 1080(n). A 8 A QCC Order is comprised of an order to buy volume for purposes of calculating the Customer member may electronically submit for execution an or sell at least 1000 contracts that is identified as Rebate Tiers and receiving rebates. order it represents as agent on behalf of a public being part of a qualified contingent trade, as that 11 Orders that are eligible for Customer rebates are customer, broker-dealer, or any other entity (‘‘PIXL term is defined in Rule 1080(o)(3), coupled with a specified in Section B of the Exchange’s Pricing Order’’) against principal interest or against any contra-side order to buy or sell an equal number of Schedule. other order (except as provided in Rule contracts. The QCC Order must be executed at a 12 A member organization, together with its 1080(n)(i)(E)) it represents as agent (‘‘Initiating price at or between the National Best Bid and Offer affiliate under Common Ownership, that qualifies Order’’), provided it submits the PIXL order for (‘‘NBBO’’) and be rejected if a Customer order is for any rebate tier in the Customer Rebate Program resting on the Exchange book at the same price. A electronic execution into the PIXL Auction in Section B of the Pricing Schedule, will have the QCC Order shall only be submitted electronically (‘‘Auction’’) pursuant to Rule 1080. See Exchange opportunity to increase the applicable Customer from off the floor to the PHLX XL II System. See Rule 1080(n). rebate by $0.02 per contract on Phlx. Rule 1080(o). See also Securities Exchange Act 5 13 Rebates are paid on PIXL Orders in Section II Release No. 64249 (April 7, 2011), 76 FR 20773 15 U.S.C. 78f(b). symbols that execute against non-Initiating Order (April 13, 2011) (SR-Phlx-2011–47) (a rule change 14 15 U.S.C. 78f(b)(4), (5). interest, except in the case of Customer PIXL to establish a QCC Order to facilitate the execution 15 Securities Exchange Act Release No. 59039 Complex Orders that are greater than 999 contracts. of stock/option Qualified Contingent Trades (December 2, 2008), 73 FR 74770 (December 9, All Customer PIXL Complex Orders that are greater (‘‘QCTs’’) that satisfy the requirements of the trade- 2008) (SR–NYSEArca–2006–21) (‘‘ArcaBook than 999 contracts will be paid a rebate regardless through exemption in connection with Rule 611(d) Order’’), vacated on other grounds, NetCoalition v. of the contra-party to the transaction. of the Regulation NMS). SEC, 615 F.3d 525 (D.C. Cir. 2010) (‘‘NetCoalition 6 A Multiply Listed security means an option that 9 The Exchange recently filed a rule change to I’’). is listed on more than one exchange. amend the percentage threshold requirements in 16 ArcaBook Order, 73 FR at 74781–74782.

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This reasoning applies with equal determined using a cost-based approach. The in addition to competitive fees and weight to transaction fees, since SEC counters that, because it has statutorily- liquidity rebates. Price competition is a members that believe fees at a particular granted flexibility in evaluating market data central component of the competition fees, its market-based approach is fully venue to be unreasonable, inequitable, for order flow. As part of this or unfairly discriminatory are able to consistent with the Exchange Act. We agree with the SEC.17 competition, the NASDAQ OMX respond by using the numerous exchanges have modified options Thus, in analyzing the consistency of competitive alternatives that exist. trading fees monthly or even bi-monthly a fee change with the Act, NASDAQ Moreover, although the Court of to attract new order flow, retain existing [sic] believes that it is justified in Appeals for the District of Columbia order flow, and regain order flow lost to analyzing, first and foremost, the Circuit vacated the ArcaBook Order competitors’ price cuts. In 2012, PHLX, competitive nature of the market in because it concluded that the record NOM and BX Options filed 72 execution before it in that case did not adequately which the fee is adopted. fee changes. As one would expect in a support the Commission’s The Exchange operates in a highly competitive market, the overall effect of determination that the market for depth- competitive market, comprised of of-book data was competitive, the twelve exchanges, in which market these fee changes has been to lower Court’s opinion endorsed the participants can easily and readily options trading costs, benefitting Commission’s view that the existence of direct order flow to competing venues if investors and promoting the goals of the competitive markets may be used as the they deem fee levels at a particular Securities Exchange Act of 1934. For basis for concluding that a fee is venue to be excessive or rebates to be example, based on publicly available consistent with the requirements of the inadequate.18 Accordingly, in order to data, average revenue per contract has Act. remain competitive in its efforts to generally declined for major options market operators as they compete for The petitioners believe that the SEC’s attract order flow, the Exchange must market-based approach is prohibited under offer market participants an attractive order flow. The following table the Exchange Act because the Congress trading platform, responsive customer illustrates the results of that intended ‘‘fair and reasonable’’ to be service, and effective management tools, competition.

Empirical evidence also demonstrates control the order flow that options customers rather than sellers of a that no exchange has market power markets compete to attract. Only by product—is reflected both in the large sufficient to raise prices for attracting members’ orders can options number of pricing-related rule changes competitively-traded options in an exchanges display bids and offers that and also in rapid shifts of market share unreasonable or unfairly discriminatory are the sine qua non of trade executions. among multiple effective competitors manner in violation of the Exchange This ‘‘second-order’’ competition— seen on the chart of equity options Act. In actuality, it is member firms that where competition is driven by market share below.

17 NetCoalition I, 615 F.3d at 534. of where to route orders for execution’; [and] ‘no ArcaBook Order, 73 FR at 74782–74783). Although 18 ‘‘No one disputes that competition for order exchange can afford to take its market share the Court and the SEC were discussing the cash flow is ‘fierce.’ . . . As the SEC explained, ‘[i]n the percentages for granted’ because ‘no exchange equities markets, NASDAQ believes that, as U.S. national market system, buyers and sellers of possesses a monopoly, regulatory or otherwise, in discussed above, these views apply with equal force securities, and the broker-dealers that act as their the execution of order flow from broker dealers’. to the options markets. order-routing agents, have a wide range of choices . . .’’ NetCoalition I, 615 F.3d at 539 (quoting

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This level of competition is also fluctuations in the volume of Customer fluctuations in volume of more than readily apparent in the behavior of orders routed to the NASDAQ OMX 50% occur, as member organizations market participants with respect to the exchanges by their top five member respond to varying pricing incentives. Customer orders that are the subject of organizations since the beginning of this filing. The chart below shows 2013. As is apparent from the chart,

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The Commission has a statutory duty Commission with supervising the rebate that is the subject of this filing. to promote competition, including price development of a ‘‘national market In doing so, Phlx notes that the competition. The Commission’s system’’ for securities, a premise of its ArcaBook Order cited the possibility traditional restraint in regulating fees action was that prices ordinarily would that even in a competitive market, a fee has fostered intense competition that be determined by market forces.20 might be subject to disapproval if ‘‘there benefits investors and all market Consistent with this purpose, Congress is a substantial countervailing basis for participants greatly. In mature markets and the Commission have repeatedly determining that a proposal is where competition is vibrant, pricing stated their preference for competition, inconsistent with the Act.’’ 22 By way of changes are often the most effective way rather than regulatory intervention, to example, the Commission theorized that for markets to compete vigorously. determine prices, products, and services such a basis might exist in the case of Where participants view pricing on one in the securities markets.21 an exchange proposal that seeks to options market as unpalatable, they are Against this background, which ‘‘penalize market participants for free to move business to another market establishes that exchange transaction trading in markets other than the or markets with favorable pricing, and fees should be presumed reasonable, proposing exchange’’ because it might in fact do so with regularity, as equitable, and not unfairly constitute ‘‘unreasonable and unfair demonstrated by the empirical data discriminatory, Phlx now turns to a discrimination.’’ 23 Although the issue provided above. Price competition particularized analysis of the proposed was not before it, the Commission also works best where a variety of different ventured that ‘‘the Exchange Act models and pricing schemes exist from 20 See, e.g., H.R. Rep. No. 94–229, at 92 (1975) (Conf. Rep.) (stating Congress’s intent that the precludes anti-competitive tying of the which to choose and market ‘‘national market system evolve through the liquidity pools of separately registered participants are highly knowledgeable interplay of competitive forces as unnecessary national securities exchanges even if about alternatives. regulatory restrictions are removed’’). they are under common control.’’ 24 As 21 See S. Rep. No. 94–75, 94th Cong., 1st Sess. 8 Diversity in the products and services (1975) (‘‘The objective [in enacting the 1975 discussed in greater detail below, offered by market participants enhances amendments to the Exchange Act] would be to although the proposal considers volume competition and benefits consumers. To enhance competition and to allow economic forces, on NOM and BX Options in determining establish policies that artificially interacting within a fair regulatory field, to arrive whether a member organization is at appropriate variations in practices and enforce price uniformity would (i) services.’’); ArcaBook Order, 73 FR at 74781 (‘‘The eligible for a rebate on Phlx, the eliminate incentives for innovative Exchange Act and its legislative history strongly proposal at issue is not tying, because market participants to invest in support the Commission’s reliance on competition, whenever possible, in meeting its regulatory providing desirable products, (ii) foster 22 responsibilities for overseeing the SROs and the ArcaBook Order, 73 FR at 74782. marketplace stagnation, and (iii) run national market system. Indeed, competition among 23 Id. See also Securities Exchange Act Release directly contrary to sound policy.19 multiple markets and market participants trading No. 65362 (September 20, 2011), 76 FR 59466 When Congress charged the the same products is the hallmark of the national (September 26, 2011) (SR–NASDAQ–2011–010) market system.’’); Securities Exchange Act Release (decision pursuant to delegated authority to No. 51808 (June 9, 2005), 70 FR 37496, 37499 (June disapprove proposal to discount market data fees 19 See, e.g., United States v. Microsoft Corp., 147 29, 2005) (File No. S7–10–04) (‘‘Regulation NMS for NASDAQ market participants), petition for F.3d 935, 948 (D.C. Cir. 1998) (‘‘Antitrust scholars Adopting Release’’) (observing that national market Commission review granted by Securities Exchange have long recognized the undesirability of having system regulation ‘‘has been remarkably successful Act Release No. 66667 (March 28, 2012), 77 FR courts oversee product design, and any dampening in promoting market competition in [the] forms that 20079 (April 3, 2012). of technological innovation would be at cross are most important to investors and listed 24 ArcaBook Order, 73 FR at 74790 (emphasis purposes with antitrust law.’’). companies’’). added).

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the Phlx member organization is not The Proposal Is Consistent With the offers such a pro rata allocation.26 NOM required to use NOM or BX Options at Requirement That Phlx’s Fees Provide and BX Options would allocate the all in order to receive the rebate. for an Equitable Allocation of Fees same SPY transaction using a price-time Similarly, the proposal is not anti- execution algorithm.27 Similarly, each competitive, because Phlx lacks market The Exchange’s proposal is consistent exchange offers an array of services in power, and because the proposal is a with an equitable allocation of fees order to accommodate the wide array of price incentive paid by Phlx to Phlx because it benefits not only market demands that market participants member organizations with respect to participants receiving the proposed represent on behalf of investors. Finally, orders executed on Phlx, just like any rebate, but has the potential to benefit because different pricing incentives are other exchange price discount. all other Phlx market participants as available on different exchanges, firms Moreover, in discussing why anti- well. Specifically, the proposal is may divide order flow in order to competitive tying between two intended to attract a larger amount of minimize trading costs. One exchange’s exchanges would present concerns, the Customer liquidity to the Exchange. technology and one exchange’s array of Commission stated that ‘‘a proposed Today, Phlx offers members certain services may not be adequate to meet exchange rule must stand or fall based, Customer rebates to encourage Phlx the needs of all investors in all among other things, on the interests of member organizations to direct circumstances. A one-size-fits-all customers, issuers, broker-dealers, and Customer order flow to the Exchange, pricing mechanism would not reflect other persons using the facilities of that and the proposal will provide an the reality of those market participants exchange.’’ 25 In other words, Phlx must additional incentive for Customer order who represent a diverse set of investors’ explain why its proposal is in the best flow. Customer liquidity benefits all demands. interests of Phlx’s members to enable market participants by providing more Therefore, recognizing Customer the Commission to determine that a trading opportunities, which attract orders on other NASDAQ OMX countervailing basis does not exist for Specialists and Market Makers. An exchanges for purposes of determining concluding that the proposal is increase in the activity of these market volume is aimed at providing market inconsistent with the Act in any respect. participants in turn facilitates tighter participants an incentive that does not For the reasons discussed below, Phlx spreads, which may cause an additional make unreasonable demands to send all believes that the proposal readily meets corresponding increase in order flow order flow to Phlx, but rather permits these standards. from other market participants. those market participants to seek different economics and execution The Proposal Is Consistent With the The proposed rebate is structured as a volume-based discount, similar to the models while still receiving the benefit Requirement That Phlx Fees Must Be of an additional rebate for those Reasonable existing rebate tiers in Section B of the Pricing Schedule. The Commission has Customer orders that are transacted on The Exchange’s proposal is reasonable previously accepted such volume tiers, Phlx. Thus, the rebate is an equitable because it provides an opportunity for and they have been adopted by various means of incentivizing a member with market participants to receive greater options exchanges. Tiers are a well- large quantities of Customer orders to rebates and therefore enables them to established method for drawing increase the amount of Customer order lower costs. In this respect, the proposal liquidity to an exchange by paying flow transacted on Phlx, even though should be considered, like any fee higher rebates to those members that the current market structure requires it decrease or rebate increase, direct a greater amount of order flow to to fragment Customer orders in its presumptively consistent with the efforts to improve execution quality and requirement that exchange fees must be the Exchange. Volume tiers in both the cash equity and options markets provide reduce execution costs across its total reasonable, since trading costs will be book of orders. Through the proposal, lower following implementation of the reduced pricing to the heaviest liquidity providers and liquidity takers. As with the Exchange seeks to reduce proposal than before. Since existing fees distortionary incentives created by one- are themselves the product of the existing tiers, the higher the percentage of a market participant’s Customer size-fits-all pricing by including intense competition described above, it Customer volumes traded on NOM and is difficult to see how a fee decrease or orders on Phlx, the higher the rebate. However, the aspect of the proposal BX Options in determining eligibility rebate increase could in any set of for the Phlx rebate. circumstances cause fees to become under which a member organization’s unreasonable. Moreover, because the eligibility is determined by volume on The Proposal Is Not Unfairly rebate is specific to Customer orders all of the NASDAQ OMX exchanges Discriminatory transacted on Phlx, it benefits retail broadens the potential availability of a The Exchange’s proposal is not investors when member organizations higher rebate to market participants that unfairly discriminatory. As discussed choose to pass on some portion of the spread volume across multiple above, the proposal broadens the rebate to their customers. Finally, Phlx exchanges, rather than requiring a availability of an enhanced rebate notes that the proposal does not restrict concentration of activity on Phlx. because it does recognize that market any existing rebates or increase any Market participants with Customer participants with high volumes of other fees, and therefore will not place order flow often divide that order flow Customer orders may need to fragment any market participants that do not among Phlx, NOM and BX Options, as their order flow among options markets qualify for the rebate in a less favorable well as other options exchanges; due to to improve execution quality and lower position than under the existing Pricing the different market and pricing models costs by taking advantage of different Schedule. However, as discussed below, available at various exchanges, dividing market structures and pricing options. to the extent that the proposal succeeds order flow may allow them to improve in its competitive goal of attracting more execution quality and to minimize costs. 26 See Phlx Rule 1080. Customer orders to the Exchange, it has For example, a market participant that 27 See NOM and BX Options Rules at Chapter VI, the potential to benefit all Phlx market wants to transact contracts in SPY under Section 7. BX Options utilizes a price-time a pro rata allocation would necessarily execution, as specified on BX Options’ system participants. setting page located at: http://www.nasdaqomx send order flow to Phlx, rather than trader.com/Content/TechnicalSupport/BXOptions_ 25 ArcaBook Order, 73 FR at 74793. NOM or BX Options, because Phlx SystemSettings.pdf.

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Similar to current volume tiers on Phlx Specifically, options exchanges have compared to electronic transactions.35 A and volume tiers at other options filed and continue to file rule filings Phlx member transacting Customer exchanges, the value of the incentive with the Commission proposing fees orders on the floor is not entitled to the received for Customer orders executed and rebates that create price Customer Rebate Program described on Phlx increases as the volume of differentiations and segmentations; Phlx herein because that program applies qualifying orders on Phlx increases. Any believes that such differentiations exist only to electronic transactions.36 Phlx market participant may qualify for in mature healthy competitive markets Indeed, the Exchange today the Customer Rebate Program. Those such as the options market, because differentiates various aspects of floor Phlx members that are able to aggregate pricing is a key means by which and electronic pricing.37 Other types of their Customer volume and achieve high exchange participants compete with one differentials include Simple versus national customer volume on Phlx another. Today, various options Complex Orders; 38 auction 39 versus already benefit by receiving rebates for exchanges segment pricing related to non-auction orders; 40 opening that Customer volume when transacted Multiply Listed Options as compared to transactions 41 versus regular hours on Phlx. This proposal seeks to Singly Listed Options.30 Penny Pilot trading; order types; 42 floor incentivize those members to send more Options 31 are also assessed different facilitation 43 versus non-agency Customer volume to Phlx in order to fees and paid different rebates 32 as receive an enhanced rebate paid only compared to Non-Penny Options.33 Options Floor Procedure Advices C–1, C–2, C–3, F– with respect to orders on Phlx, while Options exchanges differentiate fees for 2 and F–14. See also NYSE MKT and NYSE ARCA’s permitting them to aggregate Customer options transacted in open outcry 34 as Fee Schedule. 35 Electronically delivered orders do not include volume across NASDAQ OMX orders delivered through the Floor Broker exchanges for purposes of determining quality of the market. It may be helpful to Management System. eligibility for the rebate. Therefore, the understand ‘‘unfair discrimination’’ as 36 See Section B of the Phlx Pricing Schedule. discrimination based on factors other than 37 proposal does not discriminate among competition, such as pricing designed to exclude or See Section II of the Phlx Pricing Schedule, Phlx members that control high volumes impair a class of participants. CBOE’s Fee Schedule, NYSE Arca’s Fee Schedule and NYSE MKT’s Fee Schedule. of Customer orders, but rather 30 Singly Listed Option means an option that is 38 incentivizes them to execute as many only listed on the Exchange and is not listed by any A Complex Order is any order involving the other national securities exchange. simultaneous purchase and/or sale of two or more Customer orders as possible on Phlx in different options series in the same underlying 31 The Penny Pilot was established in January security, priced at a net debit or credit based on the order to receive the benefit of the rebate 2007; and in October 2009, it was expanded and relative prices of the individual components, for the on those orders; moreover, the proposal extended through December 31, 2013. See same account, for the purpose of executing a Securities Exchange Act Release Nos. 55153 does not require them to fragment their particular investment strategy. Furthermore, a Customer orders to achieve this goal, (January 23, 2007), 72 FR 4553 (January 31, 2007) (SR–Phlx–2006–74) (notice of filing and approval Complex Order can also be a stock-option order, but neither does it discriminate against order establishing Penny Pilot); 60873 (October 23, which is an order to buy or sell a stated number them by denying eligibility for the 2009), 74 FR 56675 (November 2, 2009) (SR–Phlx– of units of an underlying stock or exchange-traded higher rebate if they do in fact direct 2009–91) (notice of filing and immediate fund (‘‘ETF’’) coupled with the purchase or sale of options contract(s). See Exchange Rule 1080, order flow away from Phlx. Thus, this effectiveness expanding and extending Penny Pilot); 60966 (November 9, 2009), 74 FR 59331 Commentary .08(a)(i). See also Section I of the proposal provides market participants (November 17, 2009) (SR–Phlx–2009–94) (notice of Exchange’s Pricing Schedule. See also CBOE’s Fees the ability to achieve lower costs filing and immediate effectiveness adding seventy- Schedule, ISE’s Fee Schedule, NYSE Arca’s Fee without compromising their execution five classes to Penny Pilot); 61454 (February 1, Schedule, C2’s Fee Schedule and NYSE MKT’s Fee Schedule. obligations. Fundamentally, however, 2010), 75 FR 6233 (February 8, 2010) (SR–Phlx– 2010–12) (notice of filing and immediate 39 PIXL is the Exchange’s price improvement the proposed incentive rewards market effectiveness adding seventy-five classes to Penny mechanism known as Price Improvement XL or participants for directing a greater Pilot); 62028 (May 4, 2010), 75 FR 25890 (May 10, (PIXLSM). See Rule 1080(n). A member may number of Customer orders to Phlx, just 2010) (SR–Phlx–2010–65) (notice of filing and electronically submit for execution an order it as is the case with existing tier immediate effectiveness adding seventy-five classes represents as agent on behalf of a public customer, to Penny Pilot); 62616 (July 30, 2010), 75 FR 47664 broker-dealer, or any other entity (‘‘PIXL Order’’) structures at Phlx and other options (August 6, 2010) (SR–Phlx–2010–103) (notice of against principal interest or against any other order markets.28 filing and immediate effectiveness adding seventy- (except as provided in Rule 1080(n)(i)(E)) it To the extent that they offer better five classes to Penny Pilot); 63395 (November 30, represents as agent (‘‘Initiating Order’’) provided it pricing to higher volume members, 2010), 75 FR 76062 (December 7, 2010) (SR–Phlx– submits the PIXL order for electronic execution into 2010–167) (notice of filing and immediate the PIXL Auction (‘‘Auction’’) pursuant to Rule existing tier structures that exist at Phlx effectiveness extending the Penny Pilot); 65976 1080. See Exchange Rule 1080(n). COLA is the and other options markets are (December 15, 2011), 76 FR 79247 (December 21, automated Complex Order Live Auction process. A inherently discriminatory, but this 2011) (SR–Phlx–2011–172) (notice of filing and COLA may take place upon identification of the discrimination has been widely immediate effectiveness extending the Penny Pilot); existence of a COLA-eligible order either: (1) 67326 (June 29, 2012), 77 FR 40126 (July 6, 2012) Following a COOP, or (2) during normal trading if accepted as not unfairly discriminatory (SR–Phlx–2012–86) (notice of filing and immediate the Phlx XL system receives a Complex Order that because it incentivizes greater usage of effectiveness extending the Penny Pilot); 68534 improves the cPBBO. See Exchange Rule 1080. See the market offering the pricing tier, (December 21, 2012), 77 FR 77174 (December 31, also CBOE’s Fees Schedule and ISE’s Fee Schedule. thereby benefitting the market’s viability 2012) (notice of filing and immediate effectiveness 40 See Phlx’s Pricing Schedule, CBOE’s Fees extending the Penny Pilot); and 69786 (June 18, Schedule, ISE’s Fee Schedule, NYSE Arca’ Fees and providing liquidity benefits to other 2013), 78 FR 37863 (June 24, 2013) (SR–Phlx–2013– Schedule and BATS BZX’s Fee Schedule. 29 market participants at that market. 64) (notice of filing and immediate effectiveness 41 See Exchange Rule 1017. See also Section II of extending the Penny Pilot). See also Exchange Rule the Exchange’s Pricing Schedule. 28 See Phlx’s Pricing Schedule, NOM at Chapter 1034. 42 For example, a Qualified Contingent Cross IV, Section 2, NYSE Arca’s Fee Schedule, NYSE 32 See Phlx’s Pricing Schedule, NOM Pricing at (‘‘QCC’’) Order, which is an order comprised of an MKT’s Fee Schedule, Chicago Board Options Chapter IV, Section 2, ISE’s Fee Schedule, CBOE’s order to buy or sell at least 1000 contracts that is Exchange, Incorporated’s (‘‘CBOE’’) Fees Schedule, Fees Schedule, NYSE MKT’s Fee Schedule, BATS identified as being part of a qualified contingent MIAX’s Fee Schedule, BATS BZX’s Fee Schedule, BZX’s Fee Schedule, MIAX’s Fee Schedule, trade, as that term is defined in Rule 1080(o)(3), Gemini’s Fee Schedule, C2’s Options Exchange, Gemini’s Fee Schedule and NYSE Arca’s Fee coupled with a contra-side order to buy or sell an Incorporated (‘‘C2’’) Fee Schedule and ISE’s Fee Schedule. equal number of contracts, has different pricing Schedule. 33 Non-Penny Pilot refers to options classes not in compared to other types of order types. See Section 29 Arguably, a uniform fee schedule in which all the Penny Pilot. II of the Exchange’s Pricing Schedule. members pay the same fee would also be 34 The Exchange has Rules in place which govern 43 See Exchange Rule 1064. The Exchange offers discriminatory, because it would fail to recognize the submission of Orders in an open outcry market certain fee waivers for floor facilitation transactions reasoned bases for reflecting in the fees that for execution. See Exchange Rules 110, 155, 1000, at Section II of the Exchange’s Pricing Schedule. members pay their differing contributions to the 1014, 1033, 1060, 1063, 1064, 1066, 1080 and See also NYSE MKT’s Fee Schedule.

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transactions; directed 44 versus non- the proposed rule change serves to If all of the participant’s Customer directed orders; 45 pricing by market incentivize order routing decisions with volume was transacted solely on NOM, participant; 46 Payment for Order respect to Customer orders that benefit then the market participant would not Flow 47 and fee caps.48 In addition, the Exchange and its participants. With receive a Phlx rebate, which is not there are other examples of market this proposal, members are not required surprising, since it is not bringing order segmentation evidenced today in fees to transact any volume on other options flow to Phlx; it would, however, still be assessed by other SROs. Similarly, in exchanges. In fact, the more volume eligible for any rebate that is offered on the area of market data various they transact on Phlx, the greater the NOM. Thus, a participant transacting differentiations exist, such as displayed reward, as only qualifying Customer volume on NOM is in no worse position versus non-displayed quotes/orders,49 orders executed on Phlx are entitled to with the proposal. Today, a NOM professional and non-professional user the rebate. However, the proposal does Participant that transacted a large data 50 and proprietary 51 versus not discriminate against members that amount of volume on NOM to benefit consolidated market data. choose to direct orders to other options from the rebate structure offered on that In light of this wide-ranging degree of markets. By way of example, the market would only receive rebates on differentiation, the Exchange submits proposal is structured so that the Phlx for those orders transacted on Phlx. that its proposal does not materially maximum benefit occurs for market With this proposal, the NOM Participant alter the degree of differential pricing participants who execute 2.5% or more still benefits from the current NOM among Phlx market participants. Just as of national customer volume and are pricing without change, but will have the foregoing pricing differentials exist able to execute it all on Phlx. Such a the added benefit of possibly qualifying to encourage and reward market participant would receive an additional for a rebate on Phlx for any orders that participants for making order flow and $0.02 per contract rebate for all its were transacted on Phlx. Because the other purchasing decisions that benefit eligible volume transacted on Phlx. If a benefit only attributes to orders on Phlx, the Exchange, its market structure, and/ market participant believes that it as is the case today, there is no change or other market participants, likewise would better meet its best execution in circumstance for the NOM obligation to a Customer by displaying Participant. In fact, the NOM Participant 44 An order that is ‘‘directed’’ is one that is orders on a market with a different fee that necessarily had Customer orders directed by an Order Flow Provider to a specific or market structure, such as NOM, the routed to Phlx because that market was Market Maker or Specialist when that order is participant can do so and will not at the best price, with this proposal may entered electronically into PHLX XL II. The term ‘‘Order Flow Provider’’ means any member or receive the additional $0.02 per contract receive an added benefit on Phlx by member organization that submits, as agent, orders rebate for any execution that results on qualifying for a rebate on that market to the Exchange. See Rule 1080(l)(i)(B). NOM, but would still be able to benefit because of the Customer orders 45 See NYSE MKT’s Fee Schedule and CBOE’s from those NOM Customer orders by transacted on NOM. Moreover, as Fees Schedule. Phlx also previously differentiated receiving a rebate on Customer orders discussed above, the Commission stated pricing on the basis of whether the order was directed. executed on Phlx which may qualify for that ‘‘a proposed exchange rule must 46 All options exchanges distinguish pricing by an enhanced rebate. Thus, the stand or fall based, among other things, market participant. participant is not penalized from an on the interests of customers, issuers, 47 The Payment for Order Flow (‘‘PFOF’’) Program eligibility standpoint by its incidental broker-dealers, and other persons using assesses fees to Specialists and Market Makers usage of NOM or BX Options.52 the facilities of that exchange.’’ 53 resulting from Customer orders (‘‘PFOF Fees’’). The In this instance, the proposal is PFOF fees are available to be disbursed by the Exchange according to the instructions of the 52 Of course, volume on exchanges other than unambiguously beneficial to Phlx Specialist or Market Maker to order flow providers Phlx, NOM, and BX Options would not qualify. The market participants, whether or not they that are members or member organizations that Exchange believes that it is not unfairly receive the enhanced rebate. With discriminatory to recognize volume on its affiliates submit, as agent, Customer orders to the Exchange respect to two members transacting through a member or member organization that is but not other exchanges. Specifically, volume on acting as agent for those customer orders. Any NOM and BX Options benefits Phlx by contributing orders on Phlx, the proposal is not excess PFOF funds billed but not utilized by the to the overall financial well-being of the exchange materially different from current Specialist or Market Maker are carried forward group of which Phlx is a part. It is reasonable, differentiations. Today, the Exchange equitable and not unfairly discriminatory to lower unless the Specialist or Market Maker elects to have assesses different fees and pays different those funds rebated on a pro rata basis, reflected as costs for market participants transacting orders on a credit on the monthly invoices. At the end of each Phlx by offering these market participants the rebates to two Phlx members that calendar quarter, the Exchange calculates the ability to qualify for lower pricing realized by transact the same number of Customer amount of excess funds from the previous quarter leveraging NASDAQ OMX’s various options orders on the Exchange, if one Exchange and subsequently rebates excess funds on a pro-rata exchange offerings that are available to market participants to provide greater flexibility to market member transacted those orders on the basis to the applicable Specialist or Market Maker participants desiring to transact orders on NOM and that paid into that pool of funds. There are no Exchange floor and the other member BX Options. Requiring Phlx to provide favorable Payment for Order Flow Fees on trades that are not transacted those orders electronically. pricing to member organizations that meet the 2.5% delivered electronically. See Phlx’s Pricing volume requirement by directing orders to, for Only the electronic Customer orders Schedule and CBOE’s Fees Schedule. example, CBOE would make as little sense as would potentially qualify for a 48 Today the Exchange has in place a fee cap for stipulating that a member organization could meet Customer rebate pursuant to Section B Specialists and Market Makers (‘‘Monthly Market existing Phlx tiers by executing orders on CBOE. Maker Cap’’) of $550,000 for: (i) Electronic and floor of the Pricing Schedule. Also, only Phlx submits that the Act does not require such an certain types of orders in Categories A Option Transaction Charges; (ii) QCC Transaction illogical result. Moreover, as discussed in more Fees (as defined in Exchange Rule 1080(o)) and detail below, the Phlx proposal does not tie the use and B qualify for the Customer Rebate Floor QCC Orders, as defined in 1064(e)); and (iii) of Phlx to NOM or BX Options, because usage of today, so depending on the types of fees related to an order or quote that is contra to those exchanges is not required, and in any event, a PIXL Order or specifically responding to a PIXL electronic orders transacted by a Phlx reduces the aggregate rebate paid by Phlx. member, one member may qualify for a auction. Also, the Exchange caps Firms up to a Moreover, because Phlx lacks market power, it maximum fee of $75,000 (‘‘Monthly Firm Fee cannot in any event use the proposal to extend Customer rebate while another member Cap’’). See Section II of the Exchange’s Pricing market power to its affiliates. Finally, Customer with the same number of Customer Schedule. See also NYSE Arca’s Fee Schedule (Firm orders which are executed on NOM and BX Options orders may not qualify for a rebate. and Broker-Dealer open outcry executions are will continue to benefit the market participants on Finally, two members on Phlx may capped). those markets because that order flow will provide 49 See Nasdaq Rule 7018. liquidity to NOM and BX Options respectively and transact Customer orders today, but 50 See Nasdaq Rule 7026. participants on those markets may interact with that 51 See Nasdaq Rule 7039. order flow. 53 ArcaBook Order, 73 FR at 74793.

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depending on the number of qualifying rather, it is based on transactions at and not unreasonably discriminatory if Customer orders, one member may other SROs. the Exchange hopes to attract order qualify for Customer Rebate Tier 1 and There are also examples where flow. The Exchange believes that its the other member may qualify for qualifying volume is quantified in a proposed pricing will not harm Customer Rebate Tier 2. In this scenario, different manner from the payment of a competition but rather will benefit Tier 1 does not pay a rebate and Tier 2 rebate. For example, Phlx members may market participants by lowering costs. of the Section B Customer Rebate qualify for a Customer rebate by Fundamentally, the proposal is a price Program does pay a rebate; therefore one including SPY volume in the reduction, and therefore is consistent member would receive a rebate while calculation of qualifying orders for the with achieving the benefits of the robust another member would not receive a purpose of calculating Customer rebate competition that clearly exists in this rebate, due to differences in volume. In tiers, but Phlx does not pay Customer market. other words, the proposed enhanced rebates on SPY volume as specified in As discussed above, the ArcaBook rebate does not create a pricing the Customer Rebate Program.57 Volume Order stated that ‘‘the Exchange Act differential as between two Phlx other than the volume on which the precludes anti-competitive tying . . . of members that is different from rebate is paid is considered for separately registered national securities eligibility. exchanges even if they are under differentials that exist today. The 60 proposal would differentiate market Equally important, offering discounts common control.’’ However, the participants based on the volume of between affiliated exchanges is not proposal neither constitutes tying, nor is it anti-competitive in nature of effect. qualifying Customer orders that are novel. New York Stock Exchange LLC Tying is ‘‘an agreement by a party to sell transacted on Phlx, and that is already (‘‘NYSE’’) waives certain annual fees for one product [the tying product] but only the case today with the existing issuers that transfer the listing of their on the condition that the buyer also Customer rebate tiers as well as other primary class of common shares from purchases a different (or tied) product, pricing. NYSE Arca, Inc. (‘‘NYSE Arca’’), or NYSE MKT LLC (‘‘NYSE MKT’’), to or at least agrees that he will not The Proposal is Similar to Other SRO NYSE (‘‘NYSE Listing Incentive’’).58 purchase that product from any other Rules The Exchange assesses issuers an Initial supplier.’’ 61 Accordingly, a tying Application Fee of $25,000 in arrangement exists only where there is The Commission already permits a connection with applying to list an a requirement that two separate particular trading venue to consider equity security except that, among other products be purchased together.62 Thus, volume executed away from that venue things, the fee is waived if an issuer for example, if a supplier offers two for fee calculation purposes. For transfers a listing of any class of equity separate products together in a bundle, example, under NOM’s pricing security from another national securities there is no tying arrangement if the schedule, participants that add (1) exchange.59 In a similar manner, this supplier also offers each product for Customer and/or Professional liquidity proposed rule change is premised on the purchase separately. This is true even if of 25,000 or more contracts per day in principle that, in its efforts to provide the supplier offers a discount for a month on NOM, (2) qualify for the greater competitive incentives, Phlx purchasing the bundle of products Investor Support Program set forth in should be permitted to consider activity (which, obviously, is a commonplace Rule 7014 with respect to NASDAQ’s on other exchanges, given the need for offering found in all sorts of cash equity market, and (3) execute at member organizations to spread their industries).63 ‘‘[W]here the buyer is free least one order on NASDAQ’s cash Customer order flow across multiple to take either product by itself[,] there equity market, qualify for a Tier 5 exchanges in an effort to improve is no tying problem even though the Customer and/or Professional rebate on execution quality and reduce trading seller may also offer the two items as a 64 NOM.54 Thus, NOM’s rebate permits a costs. unit at a single price.’’ NOM Participant to qualify for an Even where there is a tying options rebate based on its activity in B. Self-Regulatory Organization’s arrangement, such arrangements are not both options and cash equities markets. Statement on Burden on Competition always (or even usually) unlawful. As Another example of a fee imposed by The Exchange does not believe that the Supreme Court has explained, ‘‘[i]t exchanges that considers volume on the proposed rule change will impose is clear . . . that not every refusal to sell other exchanges is the options any burden on competition not two products separately can be said to regulatory fee or ‘‘ORF,’’ which is necessary or appropriate in furtherance restrain competition . . . . Buyers often assessed by many options exchanges.55 of the purposes of the Act. As described find package sales attractive; a seller’s ORF is assessed on all transactions by above in considerable detail, the decision to offer such packages can merely be an attempt to compete member firms of an options exchange Exchange operates in a highly effectively.’’ 65 Indeed, the judicial that are cleared in the customer range at competitive market; in order to remain competitive the Exchange must offer The Options Clearing Corporation 60 ArcaBook Order, 73 FR at 74790. 56 market participants an attractive trading (‘‘OCC’’). For example, if an OCC 61 N. Pac. Ry. Co. v. United States, 356 U.S. 1, 5– clearing member, ABC, is a member of platform, customer service and effective 6 (1958). Phlx, ABC pays ORF on all executed management tools in addition to 62 See, e.g., Paladin Assocs. v. Mont. Power Co., and cleared customer transactions competitive fees and liquidity rebates to 328 F.3d 1145, 1159 (9th Cir. 2003) (‘‘Essential to attract order flow to the market. It is the . . . a tying claim is proof that the seller coerced regardless of where the trade executed. a buyer to purchase the tied product.’’). The ORF structure is not dependent on competitive forces present among 63 See, e.g., Warren Gen. Hosp. v. Amgen Inc., a transaction on a particular SRO; options exchanges that constrain the 2010 U.S. Dist. LEXIS 56220, at *2–3, *21–22 Exchange’s pricing by commanding (D.N.J. June 7, 2010) (a ‘‘pricing and rebate scheme’’ pricing that is reasonable, equitable, fair that applies only when the buyer purchases both of 54 See NOM Rules at Chapter XV, Section 2. the defendants’ products is not a tie because the 55 Today ORF is assessed by PHLX, NOM, CBOE, buyer may purchase either product by itself). ISE, NYSE Arca, NYSE MKT, BOX Options 57 See Section B of the Exchange’s Pricing 64 N. Pac. Ry. Co., 356 U.S. at 6 n.4; accord Exchange LLC, MIAX, C2 and Gemini. Schedule. Jefferson Parish Hosp. Dist. No. 2 v. Hyde, 466 U.S. 56 ORF is also assessed on transactions executed 58 See NYSE Rules at Section 902.3. 2, 12 (1984). at an options exchange by that options exchange. 59 Id. 65 Jefferson Parish, 466 U.S. at 11–12.

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skepticism of tying arrangements that unreasonable or unfairly discriminatory Complex Orders 70 and QCC Orders and prevailed decades ago has given way to manner in violation of the Exchange offers auctions for both Simple and a general recognition that tying Act. Moreover, this proposal is not tying Complex Orders.71 Phlx also has robust arrangements are often procompetitive in any event, because (a) members may options listings on its market, including and beneficial to consumers and trade on any exchange, without having index listing and various Singly Listed competition, and that they therefore are to trade on another exchange (i.e., products. Today, Phlx lists 3,660 not anticompetitive in most nothing is tied together), and (b) Phlx options contracts as compared to NOM circumstances. For example, in 2006, a members can qualify for the offered which lists 2,411 options contracts and unanimous Supreme Court explained rebate without even using another BX Options which lists 1,145 options that ‘‘[o]ver the years, this Court’s strong NASDAQ OMX exchange. The proposed contracts. NOM’s trading platform disapproval of tying arrangements has rebate simply makes it easier for executes orders utilizing a price time substantially diminished.’’ 66 members to reach the Phlx rebate levels execution algorithm. NOM does not Accordingly, absent proof that a tying if they trade on another NASDAQ OMX accept Complex Orders or QCC Orders arrangement creates foreclosure in the exchange, but there is no requirement to and does not offer auctions. BX Options’ tied product market, the antitrust laws do so. Historically Phlx market trading platform executes orders do not condemn tying arrangements.67 participants have transacted greater than utilizing a price time execution Because a tying arrangement can only 2.5% of Customer volume solely on algorithm. Similar to NOM, BX Options run afoul of the antitrust laws where the Phlx. Thus, if the Commission accepts does not accept Complex Orders or QCC arrangement harms competition by the compelling logic of the antitrust Orders and does not offer auctions. For creating foreclosure in the tied product precedents discussed above, it is clear example, a market participant that market, the Supreme Court has stated that the proposal could not be used in transacts a Complex Order cannot do so that ‘‘in all cases involving a tying an anticompetitive manner to force on NOM or BX Options or certain other arrangement, the plaintiff must prove unwilling market participants to options exchanges for that matter. Thus, that the defendant has market power in conduct transactions on NOM or BX the proposal will ensure that the range the tying product.’’ 68 This requirement Options. Rather, as discussed of a member organization’s business makes good sense when considering the extensively above, the proposal across these markets is considered for economic impact of a tying incentivizes market participants to eligibility purposes. arrangement. If a supplier lacking execute as many Customer orders on The Exchange also does not believe market power attempts to condition the Phlx as possible by reducing fees—an that the proposal imposes a burden on purchase of one product (the tying inherently pro-competitive result— competition with respect to Phlx product) on the purchase of a second, without penalizing them for incidental members’ status as members of NOM unwanted product (the tied product), usage of the other NASDAQ OMX and/or BX Options. If a market the supplier’s customers will simply go exchanges. If the Commission participant believes that it would better elsewhere. There is no conceivable nevertheless concludes that the meet its best execution obligation to a harm to competition in this scenario— proposal is inconsistent with the Act Customer by displaying orders on a the misguided supplier will simply lose because it constitutes anti-competitive market with a different fee structure, business to its competitors. And, tying, Phlx believes that it must, as a such as NOM, the participant can chose conversely, if customers desire the minimum, demonstrate why the to take advantage of NOM’s pricing bundled offering—such that they buy proposal is anti-competitive in effect structure instead. The market the bundled products even when they when similar pricing incentives are participant would not receive the are not forced to do so—that is a viewed as pro-competitive under the additional $0.02 per contract rebate for procompetitive outcome that benefits antitrust laws. Put another way, if the any execution that results, but would consumers, which is not condemned by Commission concludes that a pricing still be able to benefit from those orders, the antitrust laws. It is only when the which would be aggregated with decrease adopted in a highly supplier has market power over the qualifying Customer volume on Phlx competitive market is per se tying product that it can force customers and BX Options for purposes of anticompetitive merely because of its to take the unwanted product and determining if the member qualified for cross-market aspect, it must explain distort competition in the sale of the a rebate on Phlx. If all the volume was why this conclusion differs so tied product, and it is therefore only in transacted solely on NOM, then that dramatically from the analysis in those circumstances that tying market participant would still be established Supreme Court precedents. arrangements can violate the antitrust eligible for any rebate that is offered on laws.69 The NASDAQ OMX exchanges offer As discussed above, empirical complementary models that members 70 A Complex Order is any order involving the evidence demonstrates that the options and investors demand, and this simultaneous purchase and/or sale of two or more proposal seeks to provide an different options series in the same underlying market is a highly competitive market in security, priced at a net debit or credit based on the which no exchange has market power opportunity for market participants to relative prices of the individual components, for the sufficient to raise prices for benefit from those complementary same account, for the purpose of executing a competitively-traded options in an services. The Exchange competes for particular investment strategy. Furthermore, a Complex Order can also be a stock-option order, order flow by enhancing its technology which is an order to buy or sell a stated number 66 Ill. Tool Works v. Indep. Ink, Inc., 547 U.S. 28, and the array of services offered on its of units of an underlying stock or exchange-traded 35 (2006). market, as well as offering rebates and fund (‘‘ETF’’) coupled with the purchase or sale of 67 See, e.g., id.; Jefferson Parish, 466 U.S. at 13– assessing lower fees. Today, Phlx, NOM options contract(s). See Exchange Rule 1080, 14, 16. and BX Options offer market Commentary .08(a)(i). 68 Ill. Tool, 547 U.S. at 46; see also Jefferson 71 COLA is the automated Complex Order Live Parish, 466 U.S. at 13–14 (‘‘we have condemned participants an array of services Auction process. A COLA may take place upon tying arrangements when the seller has some including state-of-the-art platforms. identification of the existence of a COLA-eligible special ability—usually called ‘market power’—to Phlx’s trading platform executes orders order either: (1) following a COOP, or (2) during force a purchaser to do something that he would not utilizing a Customer priority, pro-rata normal trading if the Phlx XL system receives a do in a competitive market’’). Complex Order that improves the cPBBO. See 69 See Jefferson Parish, 466 U.S. at 13–14. execution algorithm. Phlx accepts Exchange Rule 1080.

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NOM today. The Exchange does not today offer incentivized pricing to bring all the Exchange’s market participants believe that a participant transacting order flow to that market. Miami should benefit from the improved volume on NOM is in any worse of a International Securities Exchange LLC market liquidity. position with this proposal. Further, (‘‘MIAX’’), a recent options market Given the robust competition for NOM and BX Options members benefit entrant, waived transaction fees that volume among options markets, many of from the pricing structures available to apply to marker makers from June 3, which offer the same products, them on those markets.72 2013 through August 31, 2013.74 In its attracting order flow by offering rebates The Exchange further believes that its filing, MIAX stated that: is consistent with the pro-competitive proposal does not impact established [t]he fee waiver is designed to both enhance goals of the Act. The Exchange does not pricing differentials among NASDAQ the Exchange’s competitiveness with other believe that the enhanced rebate could OMX exchanges; rather, it enhances options exchanges and to strengthen its cause any competitive harm to the equality among market participants market quality. The Exchange believes that options market or to market transacting orders on different NASDAQ the fee waiver increases both intermarket and participants, because no exchange has OMX exchanges. The NOM Participant intramarket competition by incenting market market power sufficient to raise prices who is also a Phlx member would be participants and market makers on other for competitively-traded options in an given an opportunity to earn a rebate on exchanges to register as Market Makers on unreasonable or unfairly discriminatory Phlx similar to the current Phlx the Exchange. In addition, the Exchange manner in violation of the Exchange believes that waiving transaction fees for member. The same is true of a BX Act. Options member who is also a member Market Makers registered on the Exchange promotes tighter bid-ask spreads by Market C. Self-Regulatory Organization’s on Phlx. If these market participants do Makers, and increases the volume of not have a membership on Phlx, then Statement on Comments on the transactions in order to allow the Exchange Proposed Rule Change Received From they transact no orders on Phlx today to compete more effectively with other and therefore would not be able to take options exchanges for such transactions. The Members, Participants, or Others advantage of the rebate because these Exchange notes that the Exchange’s daily No written comments were either rebates would only apply to orders percentage of the total market volume in solicited or received. transacted on Phlx. The same is true of MIAX listed options has increased since the any Phlx pricing proposal. The NOM or beginning of the fee waiver—indicating that III. Date of Effectiveness of the BX Options member that does not the fee waiver has enabled the Exchange to Proposed Rule Change and Timing for choose to be a Phlx member is not able compete more effectively with other options Commission Action exchanges for such transactions.75 to take advantage of any Phlx pricing, The foregoing rule change has become including this proposal, because it has Similarly, Phlx believes that its effective pursuant to Section not expended the effort to become a proposal promotes further vigorous, 19(b)(3)(A)(ii) of the Act.76 At any time Phlx member, but it is free to do so at healthy and appropriate competition, within 60 days of the filing of the any time. Moreover, Phlx’s proposal and will lead other options exchanges to proposed rule change, the Commission ‘‘must stand or fall, based, among other follow suit by offering higher rebates to summarily may temporarily suspend things, on the interests of . . . persons attract order flow. The interests of all such rule change if it appears to the using the facilities of [Phlx].73 investors are furthered by the lowering Commission that such action is Fundamentally, this proposal offers of prices as a result of robust necessary or appropriate in the public market participants a price decrease, the competition. interest, for the protection of investors, essence of competition. Price In sum, the Exchange believes that the or otherwise in furtherance of the differentiation exists in the options proposed rule change will promote purposes of the Act. If the Commission markets today, as noted in the various competition through a price reduction takes such action, the Commission shall examples provided above. These types that enhances Phlx’s competitiveness institute proceedings to determine of differentiation have not been seen as but to which other markets may respond whether the proposed rule should be anticompetitive. There is no evidence to in kind. The Exchange believes that the approved or disapproved. support a conclusion that competition proposed change would increase both would be harmed with the intermarket and intramarket IV. Solicitation of Comments implementation of this proposal. competition by providing market Interested persons are invited to Competitors could replicate the rebate participants a different option to submit written data, views, and that is being offered by Phlx, and to the consider when they decide which arguments concerning the foregoing, extent that a competitor does not exchange provides the most attractive including whether the proposed rule operate multiple exchanges, the desired destination for directing order flow. change is consistent with the Act. discount could be offered on the sole Moreover, the proposal to offer the Comments may be submitted by any of market to achieve the same lower cost. rebate does not constitute a tying the following methods: Moreover, other options exchanges arrangement under directly relevant Electronic Comments operate multiple markets, with different judicial precedent. The Exchange functionality and pricing being offered believes that the proposed rebate would • Use the Commission’s Internet at the different markets, and there are no enable market participants to lower comment form (http://www.sec.gov/ significant barriers to entry of additional costs and incent them to provide rules/sro.shtml); or options exchanges. For example, the additional liquidity at the Exchange, • Send an email to rule-comments@ International Stock Exchange LLC thereby enhancing the quality of its sec.gov. Please include File Number SR– (‘‘ISE’’) recently launched a second markets and increasing the volume of Phlx–2013–113 on the subject line. Customer contracts traded on Phlx. To options exchange, Topaz Exchange, LLC Paper Comments (‘‘Gemini’’), the twelfth options the extent that this purpose is achieved, • exchange today. New market entrants Send paper comments in triplicate 74 See Securities Exchange Act Release No. 70069 to Elizabeth M. Murphy, Secretary, (July 30, 2013), 78 FR 47457 (August 5, 2013) (SR– 72 NOM offers Customers rebates. See Chapter XV, Securities and Exchange Commission, MIAX–2013–36). Section 2(1). 73 ArcaBook Order, 73 FR at 74793–74794. 75 Id. 76 15 U.S.C. 78s(b)(3)(A)(ii).

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100 F Street NE., Washington, DC ‘‘Act’’) 2 and Rule 19b–4 thereunder,3 statements may be examined at the 20549–1090. notice is hereby given that on October places specified in Item IV below. The All submissions should refer to File 31, 2013, NASDAQ OMX PHLX LLC Exchange has prepared summaries, set Number SR–Phlx–2013–113. This file (the ‘‘Exchange’’ or ‘‘PHLX’’) filed with forth in sections A, B, and C below, of number should be included on the the Securities and Exchange the most significant aspects of such subject line if email is used. To help the Commission (the ‘‘Commission’’) the statements. proposed rule change as described in Commission process and review your A. Self-Regulatory Organization’s Items I, II, and III below, which Items comments more efficiently, please use Statement of the Purpose of, and have been prepared by the self- only one method. The Commission will Statutory Basis for, the Proposed Rule regulatory organization. The post all comments on the Commission’s Change Internet Web site (http://www.sec.gov/ Commission is publishing this notice to rules/sro.shtml). Copies of the solicit comments on the proposed rule 1. Purpose submission, all subsequent change from interested persons. The purpose of the proposed rule amendments, all written statements I. Self-Regulatory Organization’s change is to encourage better PAN with respect to the proposed rule Statement of the Terms of the Substance responses and thereby attain more price change that are filed with the of the Proposed Rule Change improvement for PIXL orders. The PAN Commission, and all written is a broadcast message sent over TOPO The Exchange proposes to amend the communications relating to the Plus Orders,5 the Exchange’s market PIXL 4 Auction Notification (‘‘PAN’’) proposed rule change between the data feed for subscribers interested in requirements under Rule 1080(n) by no Commission and any person, other than the detailed information it offers, as longer including the stop price in the those that may be withheld from the well as over the Specialized Quote Feed PAN. public in accordance with the (‘‘SQF’’) 6.0.6 provisions of 5 U.S.C. 552, will be The text of the proposed rule change available for Web site viewing and is below; proposed new language is Background—Current PIXL and PAN printing in the Commission’s Public italicized; proposed deletions are in The PIXL mechanism is a process Reference Room, 100 F Street NE., brackets. whereby members electronically submit Washington, DC 20549, on official * * * * * orders they represent as agent against business days between the hours of Rule 1080 Phlx XL and Phlx XL II principal interest or other interest that 10:00 a.m. and 3:00 p.m. Copies of the they represent as agent. The submitted filing also will be available for * * * * * orders are stopped at a price and are inspection and copying at the principal (n) Price Improvement XL (‘‘PIXL’’) subsequently entered into an auction office of the Exchange. All comments seeking price improvement. An received will be posted without change; (i)–(ii)(A)(1)–(2) No change. Exchange member may initiate a PIXL the Commission does not edit personal (3) When the Exchange receives a Auction (‘‘Initiating Member’’) by identifying information from PIXL Order for Auction processing, a submitting a PIXL Order (‘‘Initiating submissions. You should submit only PAN detailing the side[,] and size [and Order’’) specifying one of the following: information that you wish to make the stop price] of the PIXL Order will be (1) A single price at which it seeks to available publicly. All submissions sent over the Exchange’s TOPO Plus execute the PIXL Order (a ‘‘stop price’’); should refer to File Number SR–Phlx– Orders data feed and Specialized Quote (2) that it is willing to automatically 2013–113 and should be submitted on Feed. [An updated PAN will also be sent match as principal or as agent on behalf or before December 10, 2013. over the Exchange’s TOPO Plus Orders of an Initiating Order, the price and size data feed if the Initiating Member For the Commission, by the Division of of all trading interest, and responses to improves the stop price of the PIXL the PAN (known as ‘‘auto-match’’), in Trading and Markets, pursuant to delegated Order. The updated PAN will include authority.77 which case the PIXL Order will be the side, size and improved stop price stopped at the National Best Bid/Offer Kevin M. O’Neill, of the PIXL Order.] Deputy Secretary. (‘‘NBBO’’) on the Initiating Order side of (ii)(A)(4)–(vii) No change. the market; or [FR Doc. 2013–27632 Filed 11–18–13; 8:45 am] * * * * * (3) that it is willing to either: (i) Stop BILLING CODE 8011–01–P II. Self-Regulatory Organization’s the entire order at a single stop price Statement of the Purpose of, and and auto-match PAN responses, together SECURITIES AND EXCHANGE Statutory Basis for, the Proposed Rule with trading interest, at a price or prices COMMISSION Change that improve the stop price to a specified price above or below which [Release No. 34–70863; File No. SR–Phlx– In its filing with the Commission, the the Initiating Member will not trade (a 2013–112] Exchange included statements ‘‘Not Worse Than’’ or ‘‘NWT’’ price); (ii) concerning the purpose of and basis for stop the entire order at a single stop Self-Regulatory Organizations; the proposed rule change and discussed price and auto-match all PAN responses NASDAQ OMX PHLX LLC; Notice of any comments it received on the and trading interest at or better than the Filing and Immediate Effectiveness of proposed rule change. The text of these stop price; or (iii) stop the entire order Proposed Rule Change To Amend the at the NBBO on the Initiating Order PIXL Auction Notification 2 15 U.S.C. 78a. side, and auto-match PAN responses Requirements Under Rule 1080 3 17 CFR 240.19b–4. and trading interest at a price or prices 4 The Exchange adopted PIXL in October 2010 as November 13, 2013. a price improvement mechanism that is a Pursuant to Section 19(b)(1) 1 of the component of the Exchange’s fully automated 5 Securities Exchange Act Release No. 60877 Securities Exchange Act of 1934 (the options trading system. See Securities Exchange Act (October 26, 2009), 74 FR 56255 (October 30, 2009) Release No. 63027 (October 1, 2010), 75 FR 62160 (SR–Phlx–2009–92). (October 7, 2010) (SR–Phlx–2010–108)(order 6 Securities Exchange Act Release No. 63034 77 17 CFR 200.30–3(a)(12). granting approval of price improvement system, (October 4, 2010), 75 FR 62441 (October 8, 2010) 1 15 U.S.C. 78s(b)(1). PIXL). (SR–Phlx–2010–124).

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that improve the stop price up to the attract additional responsive interest. their best price in order to participate in NWT price. In all cases, if the PBBO on Complex Orders are, by definition, more the PIXL execution. Not knowing the the same side of the market as the PIXL complex to trade, are a relatively new stop price creates an incentive for the Order represents a limit order on the product, and are generally traded by a responder to compete based on price book, the stop price must be at least one small cross-section of options and to make an independent decision, minimum price improvement increment customers, thereby necessitating the rather than merely join other better than the booked limit order’s need to attract responsive interest. participants’ prices or improve the stop limit price. The Exchange believes that the price minimally. Even though, without After the PIXL Order is entered, a rationale for showing price differs the stop price, less information is PAN is broadcast 7 and a one-second respecting PIXL Orders, because PIXL available to potential responding Phlx blind Auction ensues. Any participant Orders can be very different from participants, the Exchange believes that, interested in the PIXL Order may Complex Orders. Specifically, PIXL rather than harming the market or respond to the PAN. At the conclusion orders can vary in size and type. A customers in some way, the proposal of the Auction, the PIXL Order will be simple (non-complex) PIXL order for should lead to more price competition. executed and allocated at the best just a few contracts is more appropriate As a result of more price competition price(s) among quotes, orders, and PAN for exposure to aggressive price and an improved price improvement responses. competition. PIXL orders are entered process, the Exchange believes that Once the Initiating Member has into PIXL precisely because the participants will use PIXL to increase submitted a PIXL Order for processing, Initiating Member is interested in the number of customer orders that are such PIXL Order may not be modified participating with the order, if needed, provided with the opportunity to or cancelled, and a member submitting and rather than permitting the execution receive price improvement over the the order has no ability to control the to occur automatically, the PIXL process NBBO. As a result, customers will timing of the execution. The execution offers an opportunity for an improved benefit as will the market as a whole. is carried out by the Exchange’s Phlx XL price. It is the sort of system feature that Further, the Exchange believes that the automated options trading system and would benefit from a more blind proposed changes promote and foster execution pricing is determined solely auction. competition among the options by the other orders and quotes that are When Phlx first adopted the PIXL exchanges. present in the Phlx XL system at the process, Phlx determined to show the time the Auction ends. stop price, which many options B. Self-Regulatory Organization’s exchanges do in their price Statement on Burden on Competition Proposal—Changes to Rule 1080(n)— improvement systems. At this time, the PAN The Exchange does not believe that Exchange believes that, as discussed the proposed rule change will impose The Exchange proposes to modify the above, the process would benefit from any burden on competition not PAN under Rule 1080(n)(ii)(A)(3) to no not showing the stop price. necessary or appropriate in furtherance longer include the stop price. Currently, 2. Statutory Basis of the purposes of the Act. To the the PAN includes the stop price as well contrary, the proposal is pro- as side and size of the PIXL Order. If the The Exchange believes that its competitive because it will enable the Initiating Member improves the stop proposal is consistent with Section 6(b) Exchange to better compete with 9 price, today, an updated PAN will be of the Act in general, and furthers the another options exchange that provides 10 sent, identifying the side, size and objectives of Section 6(b)(5) of the Act price improvement functionality improved stop price. The exchange in particular, in that it is designed to without revealing the price.11 With proposes to change the PAN such that promote just and equitable principles of respect to intra-market competition, the neither a stop price is shown nor is an trade, to remove impediments to and proposal will apply to all participants updated PAN sent with an improved perfect the mechanism of a free and receiving PANs equally and to all PANs. price. open market and a national market Moreover, as explained above, the The Exchange believes that this system, and, in general to protect proposal should encourage Phlx should encourage PAN responses at the investors and the public interest, by participants to compete amongst each best possible price that the participant providing more opportunity for price other by responding with their best is willing to participate. This, in turn, improvement for PIXL orders. price for a particular option. should result in better execution prices, Generally, in auctions, transparency of which is the ‘‘price improvement’’ that details accomplishes two main C. Self-Regulatory Organization’s the PIXL functionality offers. objectives. The first objective is to Statement on Comments on the In other contexts, the Exchange has obtain a quality execution for the Proposed Rule Change Received From determined that showing the price of an customer. The second goal is to ensure Members, Participants, or Others order in an auction notification message robust price competition. Because PIXL No written comments were either is appropriate and useful. For instance, orders are entered with a stop price and solicited or received. the Exchange recently determined to a guarantee (in the form of a stop) of a begin showing the price of a Complex reasonable execution price, the first III. Date of Effectiveness of the 8 Order in its auction message, citing the objective is met when the order is Proposed Rule Change and Timing for need with respect to Complex Orders to entered. With respect to the second Commission Action objective, the Exchange believes that Because the foregoing proposed rule 7 The PAN is broadcast over the TOPO Plus change does not: (i) Significantly affect Orders data feed as well as the Specialized Quote excluding the stop price from the PAN Feed. The Exchange is proposing to add reference should foster price competition from the protection of investors or the public to the Specialized Quote Feed in the rule, other participants in PIXL. Accordingly, interest; (ii) impose any significant consistent with the effectiveness of sending the Phlx participants will be motivated to burden on competition; and (iii) become PAN over the Specialized Quote Feed. See supra operative for 30 days from the date on note 5 at text accompanying note 11. be more aggressive and respond with 8 Securities Exchange Act Release No. 70271 which it was filed, or such shorter time (August 27, 2013), 78 FR 54340 (September 3, 2013) 9 15 U.S.C. 78f(b). (SR–Phlx–2013–88). 10 15 U.S.C. 78f(b)(5). 11 See CBOE Rule 6.74A(b)(1)(B).

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as the Commission may designate, it has public in accordance with the environment located in Carteret, New become effective pursuant to Section provisions of 5 U.S.C. 552, will be Jersey, which will provide a virtual 19(b)(3)(A)(ii) of the Act 12 and available for Web site viewing and trading environment for testing. subparagraph (f)(6) of Rule 19b–4 printing in the Commission’s Public NASDAQ will begin assessing the fees thereunder.13 Reference Room, 100 F Street NE., on or about November 11, 2013; At any time within 60 days of the Washington, DC 20549, on official however, the installation fee will be filing of the proposed rule change, the business days between the hours of waived for subscriptions ordered Commission summarily may 10:00 a.m. and 3:00 p.m. Copies of such through March 31, 2014. temporarily suspend such rule change if filing also will be available for The text of the proposed rule change it appears to the Commission that such inspection and copying at the principal is below. Proposed new language is action is: (i) Necessary or appropriate in office of the Exchange. All comments italicized. the public interest; (ii) for the protection received will be posted without change; * * * * * of investors; or (iii) otherwise in the Commission does not edit personal furtherance of the purposes of the Act. identifying information from 7030. Other Services If the Commission takes such action, the submissions. You should submit only (a)–(c) No change. Commission shall institute proceedings information that you wish to make to determine whether the proposed rule available publicly. All submissions (d) Nasdaq Testing Facilit[y]ies should be approved or disapproved. should refer to File Number SR–Phlx– Nasdaq operates two test IV. Solicitation of Comments 2013–112, and should be submitted on environments. One is located in or before December 10, 2013. Ashburn, Virginia and the other in Interested persons are invited to For the Commission, by the Division of Carteret, New Jersey. Unless otherwise submit written data, views, and Trading and Markets, pursuant to delegated noted, reference to the ‘‘Nasdaq Testing arguments concerning the foregoing, authority.14 Facility’’ or ‘‘NTF’’ applies to both including whether the proposed rule Kevin M. O’Neill, environments. change is consistent with the Act. Deputy Secretary. (1) The following fees are assessed for Comments may be submitted by any of access to the Nasdaq Testing Facility: the following methods: [FR Doc. 2013–27629 Filed 11–18–13; 8:45 am] BILLING CODE 8011–01–P (A) Subscribers that conduct tests of Electronic Comments the computer-to-computer interface (CTCI) and the Financial Information • Use the Commission’s Internet Exchange (FIX) interface to ACT and comment form (http://www.sec.gov/ SECURITIES AND EXCHANGE ACES access protocols through the rules/sro.shtml); or COMMISSION • Send an email to rule-comments@ Nasdaq Testing Facility (NTF) shall pay [Release No. 34–70851; File No. SR– the following charges: sec.gov. Please include File Number SR– NASDAQ–2013–137] Phlx–2013–112 on the subject line. Self-Regulatory Organizations; The $285/hour for Active Connection testing Paper Comments NASDAQ Stock Market LLC; Notice of during the normal operating hours of the • Send paper comments in triplicate NTF; Filing and Immediate Effectiveness of No Charge for Idle Connection testing; to Elizabeth M. Murphy, Secretary, Proposed Rule Change To Establish $333/hour for Active Connection testing at Securities and Exchange Commission, Fees Under Rule 7030(d) for Use of the all times other than the normal operating 100 F Street NE., Washington, DC Carteret NASDAQ Testing Facility Test hours of the NTF. 20549–1090. Environment All submissions should refer to File (B) Subscribers that conduct tests of Number SR–Phlx–2013–112. This file November 13, 2013. all Nasdaq access protocol connections number should be included on the Pursuant to Section 19(b)(1) of the not included in paragraph (A) above or subject line if email is used. To help the Securities Exchange Act of 1934 of market data vendor feeds through the Commission process and review your (‘‘Act’’),1 and Rule 19b–4 thereunder,2 Nasdaq Testing Facility shall pay $300 comments more efficiently, please use notice is hereby given that on November per port, per month. only one method. The Commission will 8, 2013, The NASDAQ Stock Market (C) Subscribers to the Nasdaq Testing post all comments on the Commission’s LLC (‘‘NASDAQ’’ or the ‘‘Exchange’’) Facility located in Carteret, New Jersey Internet Web site (http://www.sec.gov/ filed with the Securities and Exchange shall pay a fee of $1,000 per hand-off, rules/sro.shtml). Copies of the Commission (‘‘Commission’’) a per month for connection to the NTF. submission, all subsequent proposed rule change as described in The hand-off fee includes either a 1Gb amendments, all written statements Items I, II and III below, which Items or 10Gb switch port and a cross connect with respect to the proposed rule have been prepared by the Exchange. to the NTF. Subscribers shall also pay change that are filed with the The Commission is publishing this a one-time installation fee of $1,000 per Commission, and all written notice to solicit comments on the hand-off, which is waived for all communications relating to the proposed rule change from interested installations ordered prior to March 31, proposed rule change between the persons. 2014. Commission and any person, other than I. Self-Regulatory Organization’s (2)–(6) No change. those that may be withheld from the Statement of the Terms of Substance of * * * * * the Proposed Rule Change 12 15 U.S.C. 78s(b)(3)(a)(ii). II. Self-Regulatory Organization’s 13 17 CFR 240.19b–4(f)(6). In addition, Rule 19b– NASDAQ proposes to establish fees Statement of the Purpose of, and 4(f)(6) requires a self-regulatory organization to give under Rule 7030(d) for use of the Statutory Basis for, the Proposed Rule the Commission written notice of its intent to file NASDAQ Testing Facility (‘‘NTF’’) test the proposed rule change at least five business days Change prior to the date of filing of the proposed rule change, or such shorter time as designated by the 14 17 CFR 200.30–3(a)(12). In its filing with the Commission, Commission. The Exchange has satisfied this 1 15 U.S.C. 78s(b)(1). NASDAQ included statements requirement. 2 17 CFR 240.19b–4. concerning the purpose of, and basis for,

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the proposed rule change and discussed effort to improve the utility of the NTF, Sections 6(b)(4) and 6(b)(5) of the Act,9 any comments it received on the NASDAQ is developing a test in particular. NASDAQ believes that proposed rule change. The text of those environment located in Carteret that proposal is with Section 6(b)(4) of the statements may be examined at the will provide the same functionality as Act 10 in that it provides for the places specified in Item IV below. The the trading testing functionality of equitable allocation of reasonable dues, Exchange has prepared summaries, set Ashburn, yet more closely approximate fees and other charges among members forth in sections A, B, and C below, of the live trading environment due to its and issuers and other persons using any the most significant parts of such proximity to the System and upgraded facility or system which the Exchange statements. hardware. In particular, the Carteret test operates or controls. The new fees are environment will take advantage of equitably allocated because all member A. Self-Regulatory Organization’s technology upgrades NASDAQ is firms receive connectivity to the Statement of the Purpose of, and the making to its trading-related systems. Carteret test environment for the same Statutory Basis for, the Proposed Rule Unlike the Ashburn test environment, Change fee. NASDAQ believes that offering the Carteret test environment will subscribers the option to subscribe to 1. Purpose provide dedicated connectivity to the either 1Gb or 10Gb for the same fee is NASDAQ is proposing to amend Rule facility via a cross-connection to either an equitable allocation because, unlike 7030(d) to establish fees for connection a member firm’s direct connection the live trading environment, there is no to a test environment. Specifically, router in Carteret or its co-location competitive advantage to possessing a 6 NASDAQ proposes a one-time, per cabinet. NASDAQ will ultimately higher capacity switch port in the test hand-off installation fee and a per hand- sunset the trading testing functionality environment. The test environment is off monthly fee assessed for direct at Ashburn, yet retain post trade designed to closely mirror the live connectivity to the NASDAQ Testing reporting and ACES functionality at that trading environment for participants, 7 Facility 3 test environment located in location. including matching the capacity of each Carteret, New Jersey (‘‘Carteret’’), which NASDAQ notes that, because the participant’s live environment switch is also the location of NASDAQ’s Carteret facility also houses the System, port. In the absence of any competitive primary trading System.4 The NTF subscribers to the Carteret test advantage, charging a uniform fee for provides subscribers with a virtual environment will no longer need to pay both 1Gb and 10Gb switch ports is an NASDAQ System test environment that for third party connectivity to Ashburn equitable allocation of fees. NASDAQ closely approximates the production if the sole purpose for connecting to believes that charging a uniform fee environment and on which they may Ashburn is for trading testing. Such rather than mirroring the fees for the test their automated systems that member firms may use an existing live trading environment 11 will integrate with NASDAQ. For example, connection to Carteret to access the NTF encourage member firms to subscribe to the NTF provides subscribers a virtual through the use of a dedicated switch Carteret, and further encourage those System environment for testing port and cross connect within the that subscribe to use the same hardware upcoming NASDAQ releases and facility. NASDAQ is proposing to assess as is used by them for connectivity to product enhancements, as well as a fee for connection to the test the live trading environment. NASDAQ testing firm software prior to environment within the Carteret facility. also believes that waiver of the implementation. Specifically, NASDAQ proposes installation fee for all installations The NTF is currently housed solely in assessing a $1,000 per hand-off, per ordered prior to March 31, 2014 is an NASDAQ’s Ashburn, Virginia facility month fee assessed for connectivity to equitable allocation as it is available to (‘‘Ashburn’’). In addition to housing the the Carteret test environment for either all member firms during the time frame; NTF, Ashburn is also a NASDAQ 1Gb or 10Gb, and a one-time per hand- thus any member firm may avail itself disaster recovery facility and, as such, off installation fee of $1,000, which will of the free period if it so chooses. some member firms connect to Ashburn cover NASDAQ’s costs incurred in The new fees are reasonable because for disaster recovery purposes in setting up a subscriber in the Carteret they are designed to cover the costs addition to trading system testing. facility. NASDAQ is proposing to waive NASDAQ has incurred in developing NASDAQ currently assesses fees on the installation fee through March 31, and offering the new test environment. members for physical connectivity to 2014, after which NASDAQ will begin The proposed fee should allow the Ashburn.5 In addition, member firms phasing out trading testing at the Exchange to recoup these costs and pay fees to third party connectivity Ashburn test environment. make a profit, while providing member NASDAQ is also making a minor providers to provide connection from firms with a superior test environment clarifying change to the rule in light of the member firm to Ashburn. The that more closely mirrors that of the live the operation of dual NTF test relatively large distance to [sic] between trading environment on NASDAQ. environments. the Ashburn Testing Facility and the NASDAQ believes that offering both majority of NASDAQ OMX firms results 2. Statutory Basis 1Gb and 10Gb connectivity for the same in expensive connectivity costs for The Exchange believes that its fee is reasonable as the increased customers that connect via proposal is consistent with Section 6(b) incremental cost it incurs by offering the telecommunication providers. As a of the Act 8 in general, and with 10Gb switch port at the lower fee is consequence, a large majority of outweighed by the benefit all member firms do [sic] not connect to 6 Member firms currently use their connectivity to subscribers will receive if Carteret Ashburn for NTF connectivity. In an the Ashburn test environment for both testing and participants use hardware identical to disaster recovery purposes. what they use in the live trading 3 See http://www.nasdaqtrader.com/ 7 NASDAQ is not upgrading the hardware used environment, hence furthering the goal Trader.aspx?id=TestingFacility for a description of for post trade reporting and ACES testing at this the NTF. time, but may do so in the future. As noted, the new 4 As defined by Rule 4751(a). NASDAQ’s System hardware implemented in the Carteret test 9 15 U.S.C. 78f(b)(4) and (5). is mirrored at other locations as well. environment is part of the larger technology 10 15 U.S.C. 78f(b)(4). 5 NASDAQ assesses fees for direct connection to upgrade to the System’s hardware also located in 11 Members are assessed a monthly fees of $5,000 Ashburn and fees for co-location connectivity. See Carteret. for 10 Gb and $1,000 for 1 Gb direct connectivity Rules 7051 and 7034(b), respectively. 8 15 U.S.C. 78f(b). to NASDAQ. See Rule 7051.

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of creating a test environment that during which any member firm may file number should be included on the closely mirrors the live trading subscribe. subject line if email is used. To help the environment. Waiver of the installation Commission process and review your B. Self-Regulatory Organization’s fee for a limited period is reasonable comments more efficiently, please use Statement on Burden on Competition because NASDAQ believes such a only one method. The Commission will waiver will attract new users to the test NASDAQ does not believe that the post all comments on the Commission’s environment, thus ensuring a certain proposed rule change will result in any Internet Web site (http://www.sec.gov/ minimum level of monthly revenue to burden on competition that is not rules/sro.shtml). Copies of the support the facility initially. necessary or appropriate in furtherance submission, all subsequent The Exchange also believes the of the purposes of the Act, as amended. amendments, all written statements proposal furthers the objectives of Because the new test environment more with respect to the proposed rule Section 6(b)(5) of the Act 12 in that it is closely approximates the live trading change that are filed with the designed to promote just and equitable environment, subscribing member firms Commission, and all written principles of trade, to remove will be able to more accurately test their communications relating to the impediments to and perfect the trading systems and avoid potentially proposed rule change between the mechanism of a free and open market disruptive system failures in the live Commission and any person, other than and a national market system, and, in trading environment. those that may be withheld from the general to protect investors and the C. Self-Regulatory Organization’s public in accordance with the public interest and is not designed to Statement on Comments on the provisions of 5 U.S.C. 552, will be permit unfair discrimination between Proposed Rule Change Received From available for Web site viewing and customer [sic], issuers, brokers and Members, Participants, or Others printing in the Commission’s Public dealers. NASDAQ does not believe that Reference Room, 100 F Street NE., the proposed fees are unfairly Written comments were neither Washington, DC 20549 on official discriminatory to subscribers to 10Gb solicited nor received. business days between the hours of live trading environment connectivity III. Date of Effectiveness of the 10:00 a.m. and 3:00 p.m. Copies of the because, unlike the live trading Proposed Rule Change and Timing for filing will also be available for environment where the capacity of Commission Action inspection and copying at the principal connectivity to NASDAQ may confer a office of the Exchange. All comments The foregoing change has become competitive advantage to a market received will be posted without change; effective pursuant to Section 19(b)(3)(A) participant and therefore price the Commission does not edit personal of the Act,13 and paragraph (f)(2)14 of differentiation is appropriate for the identifying information from benefit conferred, there is no such Rule 19b–4, thereunder. At any time within 60 days of the submissions. You should submit only benefit conferred in the trade test filing of the proposed rule change, the information that you wish to make environment. NASDAQ does not believe Commission summarily may available publicly. All submissions that the proposed fees are unfairly temporarily suspend such rule change if should refer to File Number SR– discriminatory among subscribers to the it appears to the Commission that such NASDAQ–2013–137 and should be Carteret test facility because all member action is necessary or appropriate in the submitted on or before December 10, firms that subscribe to the service will public interest, for the protection of 2013. be assessed the same fees. Because the investors, or otherwise in furtherance of For the Commission, by the Division of proposed fees do not discriminate the purposes of the Act. Trading and Markets, pursuant to delegated between 1Gb and 10Gb connectivity authority.15 options, member firms are able to IV. Solicitation of Comments Kevin M. O’Neill, subscribe to Carteret without regard to Interested persons are invited to Deputy Secretary. the cost of their switch port capacity submit written data, views, and [FR Doc. 2013–27617 Filed 11–18–13; 8:45 am] election. NASDAQ believes that by not arguments concerning the foregoing, BILLING CODE 8011–01–P discriminating on this basis it will including whether the proposed rule encourage participants to connect to the change is consistent with the Act. Carteret test environment in the same Comments may be submitted by any of SECURITIES AND EXCHANGE manner as they do to the live trading the following methods: COMMISSION environment, and thereby help Carteret more closely mirror the live test Electronic Comments [Release No. 34–70857; File No. SR–CBOE– environment, as discussed above. • Use the Commission’s Internet 2013–107] Providing a more useful and accurate comment form (http://www.sec.gov/ Self-Regulatory Organizations; test environment will serve to improve rules/sro.shtml); or Chicago Board Options Exchange, live trading on NASDAQ and the • Send an email to rule-comments@ Incorporated; Notice of Filing of a national market system by permitting sec.gov. Please include File Number SR– Proposed Rule Change To Amend Its member firms the ability to accurately NASDAQ–2013–137 on the subject line. Rules Regarding Option Orders That test changes prior to implementing them Are Tied to Stock Orders in the live trading environment, thereby Paper Comments • reducing the likelihood of a potentially Send paper comments in triplicate November 13, 2013. disruptive system failure in the live to Elizabeth M. Murphy, Secretary, Pursuant to Section 19(b)(1) of the trading environment, which has the Securities and Exchange Commission, Securities Exchange Act of 1934 (the potential to affect all market 100 F Street NE., Washington, DC ‘‘Act’’),1 and Rule 19b–4 thereunder,2 participants. Last, NASDAQ does not 20549–1090. notice is hereby given that on October believe that waiver of the installation All submissions should refer to File 31, 2013, Chicago Board Options fee is unfairly discriminatory as it is Number SR–NASDAQ–2013–137. This uniformly applied for a limited time, 15 17 CFR 200.30–3(a)(12). 13 15 U.S.C. 78s(b)(3)(A). 1 15 U.S.C. 78s(b)(1). 12 15 U.S.C. 78f(b)(5). 14 17 CFR 240.19b–4(f)(2). 2 17 CFR 240.19b–4.

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Exchange, Incorporated (the ‘‘Exchange’’ Rule 15.2A. Reports of Execution of time of order entry. In other words, a or ‘‘CBOE’’) filed with the Securities Stock Transactions ‘‘tied to stock’’ order is an option order and Exchange Commission (the In a manner and form prescribed by that, at the time it is entered into the ‘‘Commission’’) the proposed rule the Exchange, each Trading Permit System, is part of a trading strategy change as described in Items I, II, and Holder must submit to the Exchange as consisting of two or more orders, at least III below, which Items have been soon as practicable following the close one of which is an order for the prepared by the Exchange. The of trading on each trading day a report underlying stock, even though the component orders were submitted Commission is publishing this notice to of the following information regarding separately). Tied to stock orders do not solicit comments on the proposed rule the stock legs of tied to stock orders, include standard hedging strategies that change from interested persons. QCC orders, stock-option orders and include stock orders, as further other option orders that include stock I. Self-Regulatory Organization’s discussed below. The proposed rule components on the same ticket executed Statement of the Terms of the Substance requires that each tied to stock order on that trading day: (a) time of of the Proposed Rule Change submitted to the Exchange be marked as execution, (b) execution quantity, (c) ‘‘tied to stock’’ upon entry into the The Exchange proposes to amend its execution price, (d) venue of execution, system. A tied to stock order can be a rules regarding option orders that are and (e) any other information requested simple or complex order. tied to stock orders. The text of the by the Exchange. Tied to stock orders do not include proposed rule change is provided . . . Interpretation and Policies: qualified contingent cross (‘‘QCC’’) below. .01 The Exchange will announce by orders,3 stock-option orders that are (additions are italicized; deletions are Regulatory Circular any determinations, submitted on the same order ticket or [bracketed]) including the manner and form of the submitted to the Exchange for electronic * * * * * report, that it must make pursuant to processing (such as to the complex Rule 15.2A. order book (‘‘COB’’), complex order Chicago Board Options Exchange, .02 Trading Permit Holders do not auction (‘‘COA’’) or automated Incorporated Rules need to report information pursuant to improvement mechanism (‘‘AIM’’)),4 or * * * * * Rule 15.2A with respect to stock-option orders or other option orders that 3 A QCC order is an order to buy (sell) at least Rule 6.53. Certain Types of Orders include stock components on the same 1,000 standard option contracts or 10,000 mini- option contracts that is identified as being part of Defined ticket that were submitted to the a qualified contingent trade coupled with a contra- Exchange for electronic processing. side order to sell (buy) an equal number of One or more of the following order * * * * * contracts. These orders may only be entered in the types may be made available on a class- standard increments applicable to simple orders in The text of the proposed rule change by-class basis. Certain order types may the options class under Rule 6.42. For purposes of is also available on the Exchange’s Web this order type, a ‘‘qualified contingent trade’’ is a not be made available for all Exchange site (http://www.cboe.com/AboutCBOE/ transaction consisting of two or more component systems. The classes and/or systems for CBOELegalRegulatoryHome.aspx), at orders, executed as agent or principal, where: (a) At which the order types shall be available least one component is an NMS stock, as defined the Exchange’s Office of the Secretary, will be as provided in the Rules, as the in Rule 600 of Regulation NMS under Act; (b) all and at the Commission’s Public components are effected with a product or price context may indicate, or as otherwise Reference Room. contingency that either has been agreed to by all the specified via Regulatory Circular. respective counterparties or arranged for by a (a)–(x) No change. II. Self-Regulatory Organization’s broker-dealer as principal or agent; (c) the execution Statement of the Purpose of, and of one component is contingent upon the execution of all other components at or near the same time; (y) Tied to Stock. A tied to stock order Statutory Basis for, the Proposed Rule is an option order that is tied to a stock (d) the specific relationship between the component Change orders (e.g., the spread between the prices of the order at the time of order entry (i.e. component orders) is determined by the time the option order that, at the time it is In its filing with the Commission, the contingent order is placed; (e) the component entered into the System, is part of a Exchange included statements orders bear a derivative relationship to one another, concerning the purpose of and basis for represent different classes of shares of the same trading strategy consisting of two or issuer, or involve the securities of participants in more orders, at least one of which is an the proposed rule change and discussed mergers or with intentions to merge that have been order for the underlying stock, even any comments it received on the announced or cancelled; and (f) the transaction is though the component orders were proposed rule change. The text of these fully hedged (without regard to any prior existing statements may be examined at the position) as a result of other components of the submitted separately). Each tied to stock contingent trade. QCC orders may execute without order submitted to the Exchange must places specified in Item IV below. The exposure provided the execution is not at the same be marked as ‘‘tied to stock’’ upon entry Exchange has prepared summaries, set price as a public customer order resting in the into the System. forth in sections A, B, and C below, of electronic book and is at or between the national the most significant aspects of such best bid or offer. A QCC order will be cancelled if . . . Interpretation and Policies: it cannot be executed. See Rule 6.53(u). statements. 4 A stock-option order is an order to buy or sell .01–.05 No change. A. Self-Regulatory Organization’s a stated number of units of an underlying stock or a security convertible into the underlying stock * * * * * Statement of the Purpose of, and (‘‘convertible security’’) coupled with the purchase Statutory Basis for, the Proposed Rule or sale of options contract(s) on the opposite side Rule 6.77. Order Service Firms Change of the market representing either (i) the same number of units of the underlying stock or (a)–(d) No change. 1. Purpose convertible security, or (ii) the number of units of (e) Order service firms must submit the underlying stock necessary to create a delta The Exchange proposes to amend its neutral position, but in no case in a ratio greater reports pursuant to Rule 15.2A with rules regarding option orders that are than eight-to-one (8.00), where the ratio represents respect to the stock transactions it tied to stock orders. The proposed rule the total number of units of the underlying stock executes on behalf of market-makers change adds Rule 6.53(y), which defines or convertible security in the option leg to the total pursuant to this Rule 6.77. number of units of the underlying stock or a ‘‘tied to stock order’’ as an option convertible security in the stock leg (or such lower * * * * * order that is tied to a stock order at the ratio as may be determined by the Exchange on a

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other option orders that include stock Exchange monitor trading activity.6 The have the capability to gather the components on the same order ticket. Exchange believes that as use of required information, as the Exchange Thus, those types of orders do not need electronic, interconnected markets believes that stock exchanges (on which to be marked as ‘‘tied to stock.’’ The continues to increase, access to stock legs will be executed) require Exchange is already aware that these additional cross-market order reporting of transaction information for types of orders include stock information, specifically information stock trades in a similar manner as the components, and thus does not require regarding stock trades tied to option Exchange does for option trades. market participants to add the ‘‘tied to orders, would enhance the Exchange’s Additionally, as discussed above, stock’’ marking to indicate the stock ability to monitor this trading activity Exchange rules already require Trading components for regulatory purposes, as and therefore allow it to more Permit Holders to systemize or report discussed below. effectively fulfill its regulatory various types of information regarding The proposed rule change also adopts responsibilities. their orders and transactions to the Rule 15.2A, which provides that each The Exchange believes the additional Exchange. Further, the Exchange Trading Permit Holder must submit to information it will receive pursuant to believes that this proposed rule change the Exchange as soon as practicable proposed Rule 15.2A (including will substantially decrease its following the close of trading on each information from orders service firms) administrative burden in having to trading day a report of the following will enhance its ability to effectively otherwise manually gather this cross- information regarding the stock legs of monitor and conduct surveillance of the market information and tie stock legs to any tied to stock orders, QCC orders, CBOE market and its Trading Permit option orders in connection with its stock-option orders and other option Holders, and their relevant cross-market regulatory duties. orders that include stock components trading activity, and thus to detect and Order service firms,7 which are executed on that trading day: (a) Time investigate illegal activity in a more Trading Permit Holders, will be subject of execution, (b) execution quantity, (c) timely fashion. The Exchange also to the reporting requirements set forth execution price, (d) venue of execution, believes that the proposed rule change in proposed Rule 15.2A with respect to and (e) any other information requested will improve its ability to conduct more stock transactions that they execute on by the Exchange. Proposed timely and accurate trading analyses, behalf of market-makers on the floor of Interpretation and Policy .01 provides market reconstructions, complex the Exchange. The proposed rule change that the Exchange will designate by enforcement inquiries or investigations, adds paragraph (e) to Rule 6.77 to Regulatory Circular any and inspections and examinations. The include this reporting requirement, as determinations 5 that it must make proposed marking of tied to stock orders the Exchange believes that including all under Rule 15.2A, including the manner will greatly improve the Exchange’s requirements applicable to order service and form in which Trading Permit ability to tie an executed stock leg to the firms in a single Exchange rule will Holders should submit these reports to applicable option order and thus the benefit these firms. the Exchange. Proposed Interpretation Exchange’s ability to conduct The Exchange will announce the and Policy .02 provides that Trading surveillances related to these orders, implementation date of the proposed Permit Holders do not need to report such as surveillances for compliance rule change in a Regulatory Circular to information pursuant to Rule 15.2A with Regulation SHO and frontrunning be published no later than 90 days with respect to stock-option orders or rules. following the effective date. The other option orders with stock The Exchange believes the proposed implementation date will be no later components that [sic] on the same order rule change to mark tied to stock orders than 180 days following the effective ticket submitted to the Exchange for will place minimal additional burden date. electronic processing (such as to COB, on Trading Permit Holders, because the COA or AIM). Because the Exchange marking will merely be adding one 2. Statutory Basis routes for execution through a routing additional notation when entering a tied The Exchange believes the proposed broker to stock exchanges or trading to stock order. The Exchange also rule change is consistent with the Act centers the stock components of these believes the proposed rule change to and the rules and regulations orders, the Exchange will already have report to the Exchange information thereunder applicable to the Exchange access to the transaction information for regarding stock trades will place and, in particular, the requirements of the stock components of these orders. minimal additional burden on Trading Section 6(b) of the Act.8 Specifically, The Exchange is responsible for Permit Holders because they already the Exchange believes the proposed rule regulating its markets and Trading change is consistent with the Section Permit Holders. To carry out its 6 See, e.g., Rules 4.13 (requires Trading Permit 6(b)(5) 9 requirements that the rules of regulatory responsibilities, the Exchange Holders to submit reports to the Exchange related an exchange be designed to prevent needs to have sufficient trade data to to position limits); 6.24 (which requires Trading Permit Holders to systemize certain order fraudulent and manipulative acts and effectively monitor cross-market trading information); 6.51 (requires Trading Permit Holders practices, to promote just and equitable activity, assist with investigations of to report to the Exchange certain information principles of trade, to foster cooperation potential violations of federal securities regarding transactions on and off the Exchange); 8.9 and coordination with persons engaged laws and Exchange rules, and perform (requires Clearing Trading Permit Holders to report to the Exchange executed orders by Market-Makers in regulating, clearing, settling, market reconstructions or other analysis for the purchase or sale of equity securities, as well processing information with respect to, necessary to understand trading activity. as opening and closing positions in those and facilitating transactions in CBOE currently requires Trading Permit securities); 15.2 (requires Trading Permit Holders to Holders to submit various execution submit to the Exchange a daily report of all transactions); and 15.3 (requires Trading Permit 7 Order service firms are regular Trading Permit data in real-time or daily to help the Holders, upon request of the Exchange, to submit Holder organizations that are registered with the a report of the total uncovered short positions in Exchange for the purpose of taking orders for the class-by-class basis). Only those stock-option orders each option contract class); see also Rule 15.1, purchase or sale of stocks or commodity futures with no more than the applicable number of legs, Interpretation and Policy .01. Pursuant to Appendix contracts (and options thereon) from market-makers as determined by the Exchange on a class-by-class A—Applicability of Rules of the Exchange to on the floor of the Exchange and forwarding such basis, are eligible for processing. Chapter L of the CBOE Rules, these rules (except orders for execution. Rule 6.77(a). 5 This includes any updates or changes to any for Rule 6.24) also apply to CBSX Trading Permit 8 15 U.S.C. 78f(b). determinations made by the Exchange. Holders. 9 15 U.S.C. 78f(b)(5).

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securities, to remove impediments to and reporting requirements on all Electronic Comments and perfect the mechanism of a free and Trading Permit Holders that submit tied • open market and a national market to stock orders to CBOE. The Exchange Use the Commission’s Internet system, and, in general, to protect believes that the proposed rule change comment form (http://www.sec.gov/ investors and the public interest. does not impose any burden on rules/sro.shtml); or Additionally, the Exchange believes the intermarket competition not necessary • Send an email to rule-comments@ proposed rule change is consistent with or appropriate in furtherance of the sec.gov. Please include File Number SR– the Section 6(b)(5) 10 requirement that purposes of the Act. While the proposed CBOE–2013–107 on the subject line. the rules of an exchange not be designed rule change may impose requirements to permit unfair discrimination between with respect to tied to stock orders Paper Comments customers, issuers, brokers, or dealers. submitted to CBOE that other options • Send paper comments in triplicate In particular, the Exchange believes exchanges do not, the Exchange believes to Elizabeth M. Murphy, Secretary, the proposed rule change will that, as discussed above, any additional significantly aid the Exchange’s efforts burden imposed on Trading Permit Securities and Exchange Commission, to prevent fraudulent and manipulative Holders by this proposed rule change is 100 F Street NE., Washington, DC acts and practices with respect to option minimal. The Exchange believes that 20549–1090. orders that are tied to stock, because it stock exchanges (on which stock legs All submissions should refer to File will greatly improve the Exchange’s will be executed) already require Number SR–CBOE–2013–107. This file ability to tie executed stock legs to the reporting of transaction information for number should be included on the applicable option orders that were stock trades in a similar manner as the separately entered. This, along with the subject line if email is used. To help the proposed rule change will require. Commission process and review your additional stock transaction information Additionally, the marking requirement that the Exchange will receive pursuant comments more efficiently, please use for tied to stock orders is only one only one method. The Commission will to proposed Rule 15.2A, will provide additional piece of information that the post all comments on the Commission’s the Exchange with information that will Trading Permit Holder must enter when Internet Web site (http://www.sec.gov/ permit CBOE to more efficiently and submitting a tied to stock order. The rules/sro.shtml). Copies of the effectively conduct its regulatory Exchange believes the benefits that the surveillances of CBOE trading activity proposed rule change will provide with submission, all subsequent and cross-market trading activity, such respect to its regulatory responsibilities amendments, all written statements as surveillances to ensure compliance far outweigh any minimal additional with respect to the proposed rule with Regulation SHO and frontrunning burden imposed on Trading Permit change that are filed with the rules. Because the proposed rule change Holders. Commission, and all written will enhance the Exchange’s communications relating to the surveillance of cross-market trading C. Self-Regulatory Organization’s proposed rule change between the activity, the Exchange believes the Statement on Comments on the Commission and any person, other than proposed rule change will also remove Proposed Rule Change Received From those that may be withheld from the impediments to and perfect the Members, Participants, or Others public in accordance with the mechanism of a free and open market provisions of 5 U.S.C. 552, will be and a national market system. In The Exchange neither solicited nor available for Web site viewing and addition, the Exchange believes the received comments on the proposed printing in the Commission’s Public proposed rule change will promote just rule change. and equitable principles of trade and Reference Room, 100 F Street NE., III. Date of Effectiveness of the Washington, DC 20549–1090 on official protect investors by allowing the Proposed Rule Change and Timing for business days between the hours of Exchange to detect and investigate Commission Action illegal activity in a more timely fashion 10:00 a.m. and 3:00 p.m. Copies of such and improving the Exchange’s ability to Within 45 days of the date of filing also will be available for conduct more timely and accurate publication of this notice in the Federal inspection and copying at the principal trading analyses, market Register or within such longer period offices of the Exchange. All comments reconstructions, complex enforcement up to 90 days (i) as the Commission may received will be posted without change; inquiries or investigations, and designate if it finds such longer period the Commission does not edit personal inspections and examinations. Finally, to be appropriate and publishes its identifying information from the Exchange believes that the proposed reasons for so finding or (ii) as to which submissions. You should submit only changes to Rule 6.77 will benefit the Exchange consents, the Commission information that you wish to make investors by including all requirements will: available publicly. All submissions with respect to stock transactions A. By order approve or disapprove should refer to File Number SR–CBOE– executed by orders service firms, such proposed rule change, or 2013–107, and should be submitted on respectively, in a single place within the B. Institute proceedings to determine or before December 10, 2013. Exchange’s rules. whether the proposed rule change For the Commission, by the Division of B. Self-Regulatory Organization’s should be disapproved. Trading and Markets, pursuant to delegated Statement on Burden on Competition 11 IV. Solicitation of Comments authority. CBOE does not believe that the Kevin M. O’Neill, proposed rule change will impose any Interested persons are invited to Deputy Secretary. burden on competition not necessary or submit written data, views, and [FR Doc. 2013–27623 Filed 11–18–13; 8:45 am] appropriate in furtherance of the arguments concerning the foregoing, BILLING CODE 8011–01–P purposes of the Act. The proposed rule including whether the proposed rule change will impose the same marking change is consistent with the Act. Comments may be submitted by any of 10 Id. the following methods: 11 17 CFR 200.30–3(a)(12).

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SECURITIES AND EXCHANGE A. Self-Regulatory Organization’s select classes and assigns the relevant COMMISSION Statement of the Purpose of, and the appointment cost to each class. The Statutory Basis for, the Proposed Rule Exchange proposes to add language to [Release No. 34–70856; File No. SR–CBOE– Change this rule to provide for the handling of situations in which, upon notice of 2013–109) 1. Purpose rebalancing, a Market-Maker fails to Self-Regulatory Organizations; The Exchange proposes to amend its adjust his appointments such that the rules regarding Market-Maker Chicago Board Options Exchange, sum of his appointment costs do not appointment cost rebalances. Incorporated; Notice of Filing of exceed the number of Trading Permits Appointments to act as a Market-Maker Proposed Rule Change Relating to the Market-Maker holds. The proposed ‘‘cost’’ different amounts for different language would state that if a Market- Market Maker Appointment Cost classes (with no classes costing more Rebalances Maker with a VTC appointment holds a than 1.0). For purposes of ease of combination of appointments whose November 13, 2013. organization, the Exchange places aggregate revised appointment cost is classes into different tiers, with all the greater than the number of Trading Pursuant to Section 19(b)(1) 1 of the classes in a certain tier costing the same Permits that Market-Maker holds, the Securities Exchange Act of 1934 (the amount per appointment (so, for Market-Maker will be assigned as many 2 3 ‘‘Act’’) and Rule 19b–4 thereunder, example, all the classes in tier B cost Trading Permits as necessary to ensure notice is hereby given that, on 0.05 per class appointment, all the that the Market-Maker no longer holds November 1, 2013, Chicago Board classes in tier E cost .01 per class a combination of appointments whose Options Exchange, Incorporated (the appointment, etc.). Each Trading Permit aggregate revised appointment cost is ‘‘Exchange’’ or ‘‘CBOE’’) filed with the held by a Market-Maker has an greater than the number of Trading Securities and Exchange Commission appointment credit of 1.0. A Market- Permits that Market-Maker holds. Maker may select for each Trading (the ‘‘Commission’’) the proposed rule This means that, upon rebalancing, if Permit the Market-Maker holds any change as described in Items I and II a Market-Maker’s aggregate appointment combination of Hybrid classes and below, which Items have been prepared cost is higher than the number of Hybrid 3.0 classes, whose aggregate by the self-regulatory organization. The permits he holds, the Exchange will give appointment cost does not exceed 1.0.4 Commission is publishing this notice to the Market-Maker the number of permits The Exchange, on a quarterly basis, can solicit comments on the proposed rule necessary to ensure that the Market- rebalance the tiers into which different change from interested persons. Maker’s aggregate appointment cost is classes fall, meaning that the Exchange no longer higher than the number of can elect to move a class from one tier I. Self-Regulatory Organization’s permits he holds (and the Market-Maker to another (with that class’ Statement of the Terms of Substance of will be assessed the corresponding corresponding appointment cost the Proposed Rule Change Trading Permit fees for such added changing). The Exchange proposes to Trading Permits). So, for example, The Exchange proposes to amend its memorialize in the rule that the consider a situation in which a Market- rules regarding Market-Maker Exchange will announce any rebalances Maker’s aggregate appointment cost for appointment cost rebalances. The text of at least ten (10) business days before the the classes for which he holds Market- the proposed rule change is available on rebalance takes effect. Such rebalances Maker appointments prior to a will be announced to Trading Permit the Exchange’s Web site (http:// rebalancing is 4.90 and the Market- Holders (‘‘TPHs’’) via Regulatory www.cboe.com/AboutCBOE/ Maker holds 5 Trading Permits. The Circular. Current Exchange practice CBOELegalRegulatoryHome.aspx), at Exchange then rebalances the includes announcing such rebalances the Exchange’s Office of the Secretary, appointment costs of classes and more than ten business days prior to on the Commission’s Web site (http:// announces such rebalancing at least ten taking effect, but this practice is not www.sec.gov), and at the Commission’s days prior to the rebalancing takes codified in the rules. The Exchange Public Reference Room. effect. Upon this rebalancing taking proposes to make this codification. effect, the Market-Maker’s appointment II. Self-Regulatory Organization’s When the Exchange effects a cost is now going to be 5.40. If the Statement of the Purpose of, and rebalancing (a class changing tiers), the Market-Maker does not adjust his Statutory Basis for, the Proposed Rule class is assigned the appointment cost of appointments prior to such rebalancing Change that new tier. Upon such rebalancing, taking effect, the Exchange will simply each Market-Maker with a Virtual assign that Market-Maker a sixth In its filing with the Commission, the Trading Crowd (‘‘VTC’’) appointment 5 Market-Maker Trading Permit. Exchange included statements will be required to hold the appropriate concerning the purpose of and basis for number of Trading Permits reflecting This solution prevents the Exchange the proposed rule change and discussed the revised appointment costs of the from having to institute regulatory any comments it received on the Hybrid classes constituting the Market- proceedings against a Market-Maker proposed rule change. The text of these Maker’s appointment. This means that, whose revised aggregate appointment statements may be examined at the when classes are rebalanced, the sum of cost exceeds the number of Trading places specified in Item IV below. The a Market-Maker’s appointment costs Permits the Market-Maker holds. Exchange has prepared summaries, set cannot exceed the number of Trading Otherwise, the Exchange must expend considerable resources coordinating forth in sections A, B, and C below, of Permits that a Market-Maker holds. with the Market-Maker to ensure that the most significant aspects of such Market-Makers adjust their own the Market-Maker adjusts his statements. appointments via an online appointment system that allows them to appointments such that the Market- Maker’s aggregate appointment cost 1 15 U.S.C.78s(b)(1). 4 See CBOE Rule 8.3(c)(iv). does not exceed the number of Trading 2 15 U.S.C. 78a. 5 A VTC appointment allows a Market-Maker to Permits the Market-Maker holds (as the 3 17 CFR 240.19b–4. quote electronically in a class. Exchange does not have the ability to

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adjust the Market-Maker’s VTC holds, the proposed rule change also Electronic Comments appointments). helps the Exchange to ensure • compliance by TPHs with Exchange Use the Commission’s Internet 2. Statutory Basis rules. The proposed rule change would comment form (http://www.sec.gov/ The Exchange believes the proposed apply to all Market-Makers equally. rules/sro.shtml); or rule change is consistent with the Act • Send an email to rule-comments@ and the rules and regulations B. Self-Regulatory Organization’s Statement on Burden on Competition sec.gov. Please include File No. SR– thereunder applicable to the Exchange CBOE–2013–109 on the subject line. and, in particular, the requirements of 6 CBOE does not believe that the Section 6(b) of the Act. Specifically, proposed rule change will impose any Paper Comments the Exchange believes the proposed rule burden on competition that is not • Send paper comments in triplicate change is consistent with the Section necessary or appropriate in furtherance 6(b)(5) 7 requirements that the rules of to Elizabeth M. Murphy, Secretary, of the purposes of the Act. CBOE does an exchange be designed to prevent Securities and Exchange Commission, not believe that the proposed rule fraudulent and manipulative acts and 100 F Street NE., Washington, DC change will impose any burden on practices, to promote just and equitable 20549–1090. intramarket competition that is not principles of trade, to foster cooperation necessary or appropriate in furtherance All submissions should refer to File No. and coordination with persons engaged of the purposes of the Act because it in regulating, clearing, settling, SR–CBOE–2013–109. This file number will apply to all Market-Makers (and processing information with respect to, should be included on the subject line only Market-Makers can have a Market- and facilitating transactions in if email is used. To help the Maker appointment). CBOE does not securities, to remove impediments to Commission process and review your believe that the proposed rule change and perfect the mechanism of a free and comments more efficiently, please use will impose any burden on intermarket open market and a national market only one method. The Commission will competition that is not necessary or system, and, in general, to protect post all comments on the Commission’s appropriate in furtherance of the investors and the public interest. Web site (http://www.sec.gov/rules/ purposes of the Act because the Additionally, the Exchange believes the sro.shtml). Copies of the submission, all proposed rule change only applies to proposed rule change is consistent with subsequent amendments, all written the Market-Maker appointment process the Section 6(b)(5) 8 requirement that statements with respect to the proposed on CBOE, and also because the the rules of an exchange not be designed rule change that are filed with the proposed rule change is intended for a to permit unfair discrimination between Commission, and all written compliance, and not competitive, customers, issuers, brokers, or dealers. purpose. communications relating to the The Exchange also believes the proposed rule change between the proposed rule change is consistent with C. Self-Regulatory Organization’s Commission and any person, other than Section 6(b)(1) of the Act,9 which Statement on Comments on the those that may be withheld from the provides that the Exchange be organized Proposed Rule Change Received From public in accordance with the and have the capacity to be able to carry Members, Participants, or Others provisions of 5 U.S.C. 552, will be out the purposes of the Act and to available for Web site viewing and enforce compliance by the Exchange’s The Exchange neither solicited nor received comments on the proposed printing in the Commission’s Public Trading Permit Holders and persons Reference Room, 100 F Street NE., associated with its Trading Permit rule change. Washington, DC 20549, on official Holders with the Act, the rules and III. Date of Effectiveness of the business days between the hours of regulations thereunder, and the rules of Proposed Rule Change and Timing for 10:00 a.m. and 3:00 p.m. Copies of such the Exchange. Commission Action The proposed rule change would filing also will be available for allow the Exchange to ensure that no Within 45 days of the date of inspection and copying at the principal Market-Maker has an aggregate publication of this notice in the Federal office of the Exchange. All comments appointment cost that exceeds the Register or within such longer period received will be posted without change; number of Trading Permits the Market- up to 90 days (i) as the Commission may the Commission does not edit personal Maker holds. As such, the proposed rule designate if it finds such longer period identifying information from change removes an impediment to and to be appropriate and publishes its submissions. You should submit only perfects the mechanism of a free and reasons for so finding or (ii) as to which information that you wish to make open market system and, in general, the self-regulatory organization available publicly. All submissions protects investors and the public consents, the Commission will: should refer to File No. SR–CBOE– interest (as having an aggregate (A) By order approve or disapprove 2013–109 and should be submitted on appointment cost that exceeds the the proposed rule change, or or before December 10, 2013. number of Trading Permits a Market- (B) Institute proceedings to determine For the Commission, by the Division of Maker holds would provide an unfair whether the proposed rule change Trading and Markets, pursuant to delegated advantage to that Market-Maker). should be disapproved. authority.10 Because the Exchange does not have the ability to adjust the VTC appointments IV. Solicitation of Comments Kevin M. O’Neill, of a Market-Maker whose aggregate Deputy Secretary. appointment cost exceeds the number of Interested persons are invited to [FR Doc. 2013–27622 Filed 11–18–13; 8:45 am] submit written data, views, and Trading Permits that the Market-Maker BILLING CODE 8011–01–P arguments concerning the foregoing, 6 15 U.S.C. 78f(b). including whether the proposed rule 7 15 U.S.C. 78f(b)(5). change is consistent with the Act. 8 Id. Comments may be submitted by any of 9 15 U.S.C. 78f(b)(1). the following methods: 10 17 CFR 200.30–3(a)(12).

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SECURITIES AND EXCHANGE A. Self-Regulatory Organization’s listing date) consecutive four quarters, COMMISSION Statement of the Purpose of, and as well as the fourth quarter of the next Statutory Basis for, the Proposed Rule calendar year; requires the strike price [Release No. 34–70855; File No. SR– Change NYSEArca–2013–120] of each QOS to be fixed at a price per share; and establishes parameters for the 1. Purpose Self-Regulatory Organizations; NYSE number of strike prices above and below Arca, Inc.; Notice of Filing and The Exchange is proposing to amend the underlying index. The QOS Program Immediate Effectiveness of Proposed Commentary .08(ii) to Rule 6.4 related in index options, however, does not Rule Change Amending Commentary to the QOS Program to eliminate the cap place a cap on the number of additional .08 to Rule 6.4 To Modify the Quarterly on the number of additional series that series that the Exchange may list per may be listed per expiration month for Option Series Program To Eliminate expiration month for each QOS in index each QOS in ETF options.4 As set out the Cap on the Number of Additional options. Elimination of the cap set out in Commentary .08, the Exchange may Series That May Be Listed Per in Commentary .08(ii), therefore, would list QOS for up to five currently listed Expiration Month for Each QOS in result in similar regulatory treatment of options classes that are either index 7 Exchange-Traded Fund Options similar options products. options or options on ETFs. The The Exchange believes that the November 13, 2013. Exchange may also list QOS on any proposed revision to the QOS Program Pursuant to Section 19(b)(1) 1 of the option classes that are selected by other would provide market participants with Securities Exchange Act of 1934 (the securities exchanges that employ a the ability to better tailor their trading ‘‘Act’’) 2 and Rule 19b–4 thereunder,3 similar program under their respective to meet their investment objectives, notice is hereby given that, on rules. Currently, for each QOS in ETF including hedging securities positions, November 5, 2013, NYSE Arca, Inc. (the options that has been initially listed on by permitting the Exchange to list ‘‘Exchange’’) filed with the Securities the Exchange, the Exchange may list up additional QOS in ETF options that and Exchange Commission (‘‘SEC’’ or to 60 additional series per expiration meet such objectives. The Exchange has ‘‘Commission’’) the proposed rule month. observed that situations arise in which change as described in Items I and II The Exchange is proposing to amend additional strike prices in smaller below, which Items have been prepared Commentary .08(ii) to make the intervals would be valuable to investors. by the self-regulatory organization. The treatment of QOS in ETF options However, due to the cap on additional Commission is publishing this notice to consistent with the treatment of QOS in QOS series the Exchange cannot always solicit comments on the proposed rule index options. NYSE Arca Options Rule provide these important at-the-money change from interested persons. 5.19(a)(3)(C) governs the QOS Program strikes. Elimination of the cap would in index options. Index options include remedy this issue. I. Self-Regulatory Organization’s options on industry/narrow-based Currently, the Exchange lists quarterly Statement of the Terms of Substance of indices and options on market/broad- expiration options on six ETFs, but the the Proposed Rule Change based indices.5 Options on ETFs are cap restricts the number of strikes on The Exchange proposes to amend similar to index options because ETFs these options, which often results in a Commentary .08 to Rule 6.4 to modify hold securities based on an index or lack of strike continuity. For example, the Quarterly Option Series (‘‘QOS’’) portfolio of securities.6 The the Exchange lists quarterly expiration Program to eliminate the cap on the requirements and conditions of the QOS options on SPDR Gold Trust (‘‘GLD’’). number of additional series that may be Program in index options, moreover, On January 2, 2013, the Exchange listed per expiration month for each parallel those of the QOS Program in initially listed December 31, 2013 QOS in exchange-traded fund (‘‘ETF’’) ETF options. For example, like the QOS quarterly expiration options (‘‘December options. The text of the proposed rule Program in ETF options, the QOS 2013 Quarterlies’’) on GLD, which change is available on the Exchange’s Program in index options permits QOS closed the previous trading day at Web site at www.nyse.com, at the in up to five currently-listed options $162.02, with initial strikes from $115 principal office of the Exchange, and at classes; requires the listing of series that to $210, and additional strikes in $1 the Commission’s Public Reference expire at the end of the next (as of the intervals from $131 to $189. But during Room. 4 A Quarterly Option Series is a series of an 7 The Exchange notes that Rule 5.19(a)(3)(C)(ii), II. Self-Regulatory Organization’s option class that is approved for listing and trading which governs the addition of new series of Statement of the Purpose of, and on the Exchange in which the series is opened for Quarterly Options Series on index options, states: trading on any business day, and that expires at the ‘‘The Exchange may open additional strike prices of Statutory Basis for, the Proposed Rule close of business on the last business day of a a Quarterly Options Series that are above the value Change calendar quarter. The Exchange lists series that of the underlying index provided that the total In its filing with the Commission, the expire at the end of the next consecutive four (4) number of strike prices above the value of the calendar quarters, as well as the fourth quarter of underlying index is no greater than five. The self-regulatory organization included the next calendar year. See NYSE Area Options Exchange may open additional strike prices of a statements concerning the purpose of, Rules 6.1(b)(42) and 6.4, Commentary .08(i). Quarterly Options Series that are below the value and basis for, the proposed rule change 5 An ‘‘industry index’’ or ‘‘narrow-based index’’ is of the underlying index provided that the total ‘‘an index designed to be representative of a number of strike prices is below the value of the and discussed any comments it received particular industry or group of related industries.’’ underlying index is no greater than five. The on the proposed rule change. The text See NYSE Arca Options Rule 5.10(b)(22). A ‘‘market opening of any new Quarterly Options series shall of those statements may be examined at index’’ or ‘‘broad-based index’’ is ‘‘an index not affect the series of options of the same class the places specified in Item IV below. designed to be representative of a stock market as previously opened.’’ In practice, this means that the a whole or of a range of companies in unrelated Exchange may add Quarterly Options Series at The Exchange has prepared summaries, industries.’’ See NYSE Arca Options Rule strikes above and below the current index value, so set forth in sections A, B, and C below, 5.10(b)(23). long as there are not more than five strikes above, of the most significant parts of such 6 NYSE Arca Options Rule 6.1(b)(32) defines and five strikes below, the current index value after statements. ‘‘Exchange-Traded Fund Share’’ as ‘‘Exchange- such additions are made. The total number of listed securities representing interests in open-end Quarterly Options Series that can be listed at any unit investment trusts or open-end management one time is, therefore, theoretically unlimited, so 1 15 U.S.C.78s(b)(1). investment companies that hold securities long as there are no more than five strikes above 2 15 U.S.C. 78a. (including fixed income securities) based on an (or below) a given index value when new strikes are 3 17 CFR 240.19b–4. index or a portfolio of securities.’’ added.

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2013, GLD has closed at a range of expiration options on indexes means quote and trade reporting traffic that $115.94 to $163.67 and is currently that the Exchange can list, and investors might be expected to result from listing trading around $125. As a result of the can achieve, more granularity in index- additional QOS in ETF options.10 In the cap, the Exchange cannot offer based options. For example, S&P 500 Exchange’s view, it would be December 2013 Quarterlies on GLD in Mini–SPX options (‘‘SPX’’) are options inconsistent to prohibit the listing of $1 intervals within $10 of the closing on the S&P 500 index, as opposed to additional QOS beyond a specified cap price of GLD because the number of options on SPY, the ETF based on that when each exchange independently strikes would exceed the cap of 60 same S&P 500 index. SPX options are purchases capacity to meet its quote and additional strikes. Consequently, the used to hedge SPY positions and are trade reporting traffic needs. Exchange is not able to list important at- traded at the equivalent of one point Moreover, the Exchange has in place the-money strikes due to the cap on and one-half point intervals. The SPX a quote mitigation plan that helps it additional strikes. While the Exchange trades at 10 times the value of SPY, so maintain sufficient capacity to handle has the ability to delist strikes with no that if SPY trades at $168.70, SPX trades quote traffic. The plan, which has been open interest so that it may list strikes at $1687. Therefore, the strike price for approved by the Commission, reduces that are closer to the money, delisting is a quarterly expiration option on SPX, the number of quotations that the not always possible. If all of the existing that is a hedge for a quarterly expiration Exchange disseminates by limiting strikes have open interest, the Exchange option on SPY at $170, would be $1700. disseminated quotes to active options cannot delist strikes so that it may list The Exchange can offer quarterly series only.11 strikes closer to the money. expiration options on SPX with strike To help ensure that only active But the Exchange is not subject to a prices of $1670, $1680, $1690, and options series are listed, the Exchange similar cap on the number of additional $1700 because there is no cap on also has in place procedures to delist weekly or monthly expiration options it quarterly expiration index-based inactive series. Commentary .08(iii) to can list on ETFs.8 So, for example, the options. However, the Exchange cannot Rule 6.4 requires the Exchange to Exchange can list additional weekly similarly offer quarterly expiration review QOS that are outside of a range expiration options on GLD in $1 and options on SPY with similar strike price of five strikes above and five strikes $0.50 intervals within $5 of the closing continuity because of the cap on below the current price of the price of GLD, and additional monthly quarterly expiration ETF-based options. underlying ETF. Based on that review, expiration options in $1 intervals from Elimination of the cap would also the Exchange must delist series with no $85 to $178. Therefore, due to the cap, help market participants meet their open interest in both the call and the the Exchange cannot list, and an investment objectives by providing put series having (i) a strike price higher investor cannot structure, an investment expanded opportunities to roll ETF than the highest price with open interest on a quarterly basis with the same options into later quarters. For example, in the put and/or call series for a given granularity that can be achieved on a a market participant that holds one or expiration month, and (ii) a strike price weekly or monthly basis. more contracts in a QOS in an ETF put lower than the lowest strike price with Similarly, the Exchange lists quarterly option that has a strike price of $120 open interest in the put and/or call options on SPDR S&P 500 ETF (‘‘SPY’’), and an expiration date of the last day of series for a given expiration month. which during 2013 closed at a range of the third quarter may wish to roll that The Exchange’s experience with $145.55 to $173.05. Again, due to the position into the fourth quarter. That is, listing additional QOS in ETF options at cap, the Exchange cannot offer quarterly the market participant may wish to the end of 2008 also indicates that it has expiration options on SPY in $1 close out the contracts set to expire at sufficient capacity to handle increased intervals above $170 because the the end of the third quarter and instead order and quote traffic that might be number of additional strikes would establish a position in the same number expected to result from listing exceed the cap of 60. Instead, the of contracts in a QOS in a put option on additional QOS in ETF options. Exchange is forced to list quarterly the same ETF with the same strike price Commentary .08(iv) to Rule 6.4 expiration options on SPY at $5 of $120, but with an expiration date of established a temporary rule that intervals above $170, despite the fact the last day of the fourth quarter. permitted the Exchange to list up to 100 that SPY has recently traded between Because of the cap on additional QOS additional series per expiration month $165 and $170. As such, if SPY would in ETF options, however, the Exchange for each QOS in ETF option in the may not be able to list additional QOS again increase to $170, then the fourth quarter of 2008, and for the new in the ETF. Elimination of the cap, Exchange would only be able to offer expiration month being added after the though, would allow the Exchange to options with a strike price $5 away from December 2008 QOS expiration.12 The the price of the underlying ETF due to meet the investment needs of market the cap on additional strikes. participants in such situations. 10 The SEC has relied upon an exchange’s On the other hand, in contrast to the The Exchange has sufficient capacity representation that it has sufficient capacity to limitations imposed on the Exchange for to handle increased quote and trade support new options series in approving a rule quarterly expiration options on ETFs, reporting traffic that might be expected amendment permitting the listing of additional to result from listing additional QOS in option series. See Exchange Act Release No. 57410 the absence of a similar cap on quarterly (Jan. 17 [sic], 2008), 73 FR 12483, 12484 (Mar. 7, ETF options. The Exchange notes that it 2008) (SR–CBOE–2007–96) (amendments to CBOE 8 For Short Term Options Series (‘‘weekly has purchased capacity from the Rule 5.5(e)(3)) (‘‘In approving the proposed rule options’’), commentary .07 to Rule 6.4 sets a Options Price Reporting Authority change, the Commission has relied upon the maximum number of strikes, but the Exchange can (‘‘OPRA’’) to handle its options quote Exchange’s representation that it has the necessary exceed this maximum number of strikes under and trade reporting traffic.9 The systems capacity to support new options series that certain circumstances. Specifically, ‘‘in the event will result from this proposal’’). that the underlying security has moved such that Exchange believes that it has acquired 11 NYSE Arca’s quote mitigation plan is provided there are no series that are at least 10% above or sufficient capacity to handle increased for in Commentary .03 to NYSE Arca Rule 6.86, below the current price of the underlying security adopted in 2007. See Securities Exchange Act and all existing series have open interest, the 9 See Exchange Act Release No. 48822 (Nov. 21, Release No. 55156 (Jan. 23, 2007), 72 FR 4759 (Feb. Exchange may list additional series, in excess of the 2003), 68 FR 66892 (Nov. 28, 2003) (SR–OPRA– 21 [sic], 2007) (SR–NYSEArca–2006–73). 30 allowed under Commentary .07, that are between 2003–01) (requiring exchanges to acquire options 12 See Exchange Act Release No. 59012 (Nov. 24, 10% and 30% above or below the price of the market data transmission capacity independently, 2008), 73 FR 73371 (Dec. 2, 2008) (SR–NYSEArca– underlying security.’’ rather than jointly). 2008–131). The Exchange amended Commentary

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Exchange did not experience capacity Exchange believes that this increased 19(b)(3)(A) of the Act 15 and Rule 19b– constraints during this temporary traffic will be manageable and will not 4(f)(6) 16 thereunder. increase. present capacity problems. As At any time within 60 days of the Finally, the Exchange is proposing to previously stated, the Exchange has in filing of the proposed rule change, the make a technical amendment to place a quote mitigation plan that helps Commission summarily may Commentary .08(ii) to Rule 6.4. it maintain sufficient capacity to handle temporarily suspend such rule change if Currently, the Commentary states that quote traffic. To help ensure that only it appears to the Commission that such the Exchange may open for trading active options series are listed, action is necessary or appropriate in the additional Quarterly Options Series that Exchange procedures are designed to public interest, for the protection of are more than 30% away from the delist inactive series, ensuring that any investors, or otherwise in furtherance of current index value; however, the additional quote traffic is a result of the purposes of the Act. If the provision is meant to reference the price interest in active series. Commission takes such action, the of the underlying ETF. The Exchange is Commission shall institute proceedings also deleting Commentary .08(iv) to The Exchange believes it is under Section 19(b)(2)(B) 17 of the Act to Rule 6.4. As noted, Commentary .08(iv) appropriate to eliminate obsolete or out- determine whether the proposed rule temporarily increased the number of of-date rule text from the rule book. change should be approved or additional QOS in ETF options that Specifically, the technical amendment disapproved. could be added by the Exchange from 60 to Commentary .08(ii) to Rule 6.4 is IV. Solicitation of Comments to 100. Now that the pilot program has appropriate as the correction will lessen expired, there is no need for the the likelihood for investor confusion. Interested persons are invited to continued inclusion of paragraph (iv) in Further, elimination of Commentary submit written data, views and Commentary .08. .08(iv) to Rule 6.4 is appropriate as the arguments concerning the foregoing, including whether the proposed rule 2. Statutory Basis removal will also lessen the likelihood for investor confusion by deleting rules change is consistent with the Act. The Exchange believes that the that no longer are applicable. Comments may be submitted by any of proposal is consistent with Section 6(b) the following methods: of the Act,13 in general, and furthers the B. Self-Regulatory Organization’s objectives of Section 6(b)(5),14 in Statement on Burden on Competition Electronic Comments particular, in that it is designed to • Use the Commission’s Internet promote just and equitable principles of The Exchange does not believe that comment form (http://www.sec.gov/ trade, to remove impediments to, and the proposed rule change will impose rules/sro.shtml); or perfect the mechanism of a free and any burden on competition not • Send an email to rule-comments@ open market and, in general, to protect necessary or appropriate in furtherance sec.gov. Please include File Number SR– investors and the public interest. of the purposes of the Act. Specifically, NYSEArca–2013–120 on the subject The Exchange believes that the the Exchange believes that investors line. proposed rule change is designed to would benefit from the introduction of remove impediments to and perfect the additional QOS in ETF options by Paper Comments mechanism of a free and open market providing investors with more • Send paper comments in triplicate because it will expand the investment flexibility to closely tailor their to Elizabeth M. Murphy, Secretary, options available to investors and will investment and hedging decisions to Securities and Exchange Commission, allow for more efficient risk their needs. Additionally, Exchange 100 F Street NE., Washington, DC management. The Exchange believes procedures for delisting inactive series 20549–1090. that removing the cap on the number of will ensure that only active series with All submissions should refer to File QOS in ETF options permitted to be sufficient investor interest will be made Number SR–NYSEArca–2013–120. This listed on the Exchange will result in a available and maintained on the file number should be included on the continuing benefit to investors by giving Exchange. subject line if email is used. To help the them more flexibility to closely tailor Commission process and review your their investment and hedging decisions C. Self-Regulatory Organization’s comments more efficiently, please use to their needs, and therefore, the Statement on Comments on the only one method. The Commission will proposal is designed to protect investors Proposed Rule Change Received From post all comments on the Commission’s and the public interest. Additionally, by Members, Participants, or Others Internet Web site (http://www.sec.gov/ removing the cap, the proposed rule No written comments were solicited rules/sro.shtml). Copies of the change will make the treatment of QOS submission, all subsequent or received with respect to the proposed in ETF options consistent with the amendments, all written statements rule change. treatment of QOS in index options, thus with respect to the proposed rule resulting in similar regulatory treatment III. Date of Effectiveness of the change that are filed with the for similar options products. Proposed Rule Change and Timing for Commission, and all written While the expansion of the number of Commission Action communications relating to the QOS in ETF options is expected to proposed rule change between the generate additional quote traffic, the Because the foregoing proposed rule change does not: (i) Significantly affect 15 15 U.S.C. 78s(b)(3)(A). .08 to add paragraph (iv) during the financial crisis the protection of investors or the public 16 17 CFR 240.19b–4(f)(6). In addition, Rule 19b– in 2008. The amendment was in response to interest; (ii) impose any significant 4(f)(6) requires a self-regulatory organization to give requests for lower priced strikes on certain ETFs. the Commission written notice of its intent to file Other options exchanges amended their rules burden on competition; and (iii) become the proposed rule change at least five business days quarterly options series rules to permit the listing operative for 30 days after the date of prior to the date of filing of the proposed rule of additional series in ETF options. See, e.g., 73 FR the filing, or such shorter time as the change, or such shorter time as designated by the 12483 (amendments to CBOE Rule 5.5(e)(3)). Commission. The Exchange has satisfied this 13 15 U.S.C. 78f(b). Commission may designate, it has requirement. 14 15 U.S.C. 78f(b)(5). become effective pursuant to Section 17 15 U.S.C. 78s(b)(2)(B).

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Commission and any person, other than Commission is publishing this notice to Participants go into the general funds of those that may be withheld from the solicit comments on the proposed rule the Exchange, a portion of which is used public in accordance with the change from interested persons. to help pay the costs of regulation. provisions of 5 U.S.C. 552, will be In response to feedback from I. Self-Regulatory Organization’s available for Web site viewing and participants requesting greater certainty Statement of the Terms of Substance of printing in the Commission’s Public as to when ORF changes may occur, the the Proposed Rule Change Reference Room, 100 F Street NE., Exchange proposes to specify in the Fee Washington, DC 20549, on official The Exchange is filing with the Schedule that the Exchange may only business days between the hours of Commission a proposed rule change to increase or decrease the ORF semi- 10:00 a.m. and 3:00 p.m. Copies of the amend the Fee Schedule to specify the annually, and any such fee change will filing also will be available for frequency with which the Exchange be effective on the first business day of inspection and copying at the principal may change the Options Regulatory Fee February or August. The Exchange has office of the Exchange. All comments (‘‘ORF’’) on the BOX Market LLC previously committed to monitor the received will be posted without change; (‘‘BOX’’) options facility. While changes amount of revenue collected from the the Commission does not edit personal to the fee schedule pursuant to this ORF so that it, in combination with its identifying information from proposal will be effective upon filing, other regulatory fees and fines, does not submissions. You should submit only the changes will become operative on exceed regulatory costs. In addition to information that you wish to make November 1, 2013. The text of the submitting a proposed rule change to available publicly. All submissions proposed rule change is available from the Securities and Exchange should refer to File Number SR– the principal office of the Exchange, at Commission (‘‘Commission’’) as NYSEArca–2013–120 and should be the Commission’s Public Reference required by the Act to increase or submitted on or before December 10, Room and also on the Exchange’s decrease the ORF, the Exchange will 2013. Internet Web site at http:// notify Participants via an Informational For the Commission, by the Division of boxexchange.com. Circular of any anticipated change in Trading and Markets, pursuant to delegated the amount of the fee at least 30 authority.18 II. Self-Regulatory Organization’s Statement of the Purpose of, and calendar days prior to the effective date Kevin M. O’Neill, Statutory Basis for, the Proposed Rule of the change. The Exchange believes Deputy Secretary. Change that by providing guidance on the [FR Doc. 2013–27621 Filed 11–18–13; 8:45 am] timing of any changes to the ORF, the BILLING CODE 8011–01–P In its filing with the Commission, the Exchange would make it easier for Exchange included statements participants to ensure their systems are concerning the purpose of and basis for configured to properly account for the SECURITIES AND EXCHANGE the proposed rule change and discussed ORF. COMMISSION any comments it received on the The proposed change is not intended proposed rule change. The text of these to address any other issues, and the [Release No. 34–70858; File No. SR–BOX– statements may be examined at the 2013–52] Exchange is not aware of any problems places specified in Item IV below. The that BOX Options Participants would Self-Regulatory Organizations; BOX Exchange has prepared summaries, set have in complying with the proposed Options Exchange LLC; Notice of forth in Sections A, B, and C below, of change. Filing and Immediate Effectiveness of the most significant aspects of such a Proposed Rule Change To Amend statements. 2. Statutory Basis the BOX Fee Schedule To Specify the A. Self-Regulatory Organization’s The Exchange believes that the Frequency With Which the Exchange Statement of the Purpose of, and the proposal is consistent with the May Change the Options Regulatory Statutory Basis for, the Proposed Rule requirements of Section 6(b) of the Act, Fee Change in general, and Section 6(b)(4) and 6(b)(5) of the Act,5 in particular, in that November 13, 2013. 1. Purpose it provides for the equitable allocation Pursuant to Section 19(b)(1) under the The Exchange proposes to amend the of reasonable dues, fees, and other Securities Exchange Act of 1934 (the Fee Schedule for trading on BOX to charges among BOX Participants and ‘‘Act’’) 1 and Rule 19b–4 thereunder,2 specify the frequency with which the other persons using its facilities and notice is hereby given that on October Exchange may change the ORF. The does not unfairly discriminate between 31, 2013, BOX Options Exchange LLC Exchange proposes to implement the customers, issuers, brokers or dealers. (the ‘‘Exchange’’) filed with the change effective November 1, 2013. The Exchange believes that the Securities and Exchange Commission The ORF is assessed by the Exchange proposed change to limit changes to the (the ‘‘Commission’’) the proposed rule on each BOX Options Participant for all ORF to twice a year on specific dates change as described in Items I, II and III options transactions executed or cleared with advance notice is reasonable below, which Items have been prepared by the BOX Options Participant that are because it will give participants by the Exchange. The Exchange filed the cleared by The Options Clearing certainty on the timing of changes, if proposed rule change pursuant to Corporation (‘‘OCC’’) in the customer any, and better enable them to properly Section 19(b)(3)(A)(ii) of the Act,3 and range (i.e., transactions that clear in the account for ORF charges among their Rule 19b–4(f)(2) thereunder,4 which customer account of the BOX Options customers. The Exchange believes that renders the proposal effective upon Participant’s clearing firm at OCC) the proposed change is equitable and filing with the Commission. The regardless of the exchange on which the not unfairly discriminatory because it will apply in the same manner to all 18 17 CFR 200.30–3(a)(12). transaction occurs. The fee is collected 1 15 U.S.C. 78s(b)(1). indirectly from BOX Options BOX Options Participants that are 2 17 CFR 240.19b–4. Participants through their clearing firms subject to the ORF and provide them 3 15 U.S.C. 78s(b)(3)(A)(ii). by OCC on behalf of the Exchange. The 4 17 CFR 240.19b–4(f)(2). dues and fees paid by BOX Options 5 15 U.S.C. 78f(b)(4) and (5).

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with additional advance notice of change is consistent with the Act. SECURITIES AND EXCHANGE changes to that fee. Comments may be submitted by any of COMMISSION the following methods: B. Self-Regulatory Organization’s [Release No. 34–70861; File No. SR– Statement on Burden on Competition Electronic Comments NYSEArca–2013–119] The Exchange does not believe that • Use the Commission’s Internet Self-Regulatory Organizations; NYSE the proposed rule change will impose comment form (http://www.sec.gov/ Arca, Inc.; Notice of Filing and any burden on competition not rules/sro.shtml); or Immediate Effectiveness of Proposed necessary or appropriate in furtherance • Send an email to rule-comments@ Rule Change Amending Rule 6.69(a) To of the purposes of the Act. The Provide That a Pattern or Practice of proposed change is not intended to sec.gov. Please include File Number SR– BOX–2013–52 on the subject line. Late Reporting of Option Transactions address a competitive issue but rather to to the Exchange for Dissemination to provide BOX Options Participants with Paper Comments the Options Price Reporting Authority better notice of any change that the Is Subject to Disciplinary Action Exchange may make to the ORF. In any • Send paper comments in triplicate event, because competitors are free to to Elizabeth M. Murphy, Secretary, November 13, 2013. modify their own fees and credits in Securities and Exchange Commission, Pursuant to Section 19(b)(1) 1 of the response, and because market 100 F Street NE., Washington, DC Securities Exchange Act of 1934 (the participants may readily adjust their 20549–1090. ‘‘Act’’) 2 and Rule 19b–4 thereunder,3 trading practices, the Exchange believes notice is hereby given that, on All submissions should refer to File that the degree to which fee or credit November 4, 2013, NYSE Arca, Inc. (the Number SR–BOX–2013–52. This file changes in this market may impose any ‘‘Exchange’’ or ‘‘NYSE Arca’’) filed with number should be included on the burden on competition is extremely the Securities and Exchange subject line if email is used. To help the limited. As a result of all of these Commission (the ‘‘Commission’’) the Commission process and review your considerations, the Exchange does not proposed rule change as described in comments more efficiently, please use believe that the proposed change will Items I and II below, which Items have only one method. The Commission will impair the ability of BOX Options been prepared by the self-regulatory post all comments on the Commission’s Participants, or competing order organization. The Commission is Internet Web site (http://www.sec.gov/ execution venues to maintain their publishing this notice to solicit rules/sro.shtml). Copies of the competitive standing in the financial comments on the proposed rule change submission, all subsequent markets. from interested persons. amendments, all written statements C. Self-Regulatory Organization’s with respect to the proposed rule I. Self-Regulatory Organization’s Statement on Comments on the change that are filed with the Statement of the Terms of Substance of Proposed Rule Change Received From Commission, and all written the Proposed Rule Change Members, Participants, or Others communications relating to the The Exchange proposes to amend No written comments were either proposed rule change between the Rule 6.69(a) to provide that a pattern or solicited or received. Commission and any person, other than practice of late reporting of option those that may be withheld from the transactions to the Exchange for III. Date of Effectiveness of the public in accordance with the dissemination to the Options Price Proposed Rule Change and Timing for provisions of 5 U.S.C. 552, will be Reporting Authority is subject to Commission Action available for Web site viewing and disciplinary action. The text of the The foregoing rule change has become printing in the Commission’s Public proposed rule change is available on the effective pursuant to Section Reference Room, 100 F Street NE., Exchange’s Web site at www.nyse.com, 19(b)(3)(A)(ii) of the Exchange Act 6 and Washington, DC 20549, on official at the principal office of the Exchange, Rule 19b–4(f)(2) thereunder,7 because it business days between the hours of at the Commission’s Public Reference establishes or changes a due, or fee. 10:00 a.m. and 3:00 p.m. Copies of the Room, and on the Commission’s Web At any time within 60 days of the filing also will be available for site at http://www.sec.gov. filing of the proposed rule change, the inspection and copying at the principal Commission summarily may office of the Exchange. All comments II. Self-Regulatory Organization’s temporarily suspend the rule change if received will be posted without change; Statement of the Purpose of, and it appears to the Commission that the the Commission does not edit personal Statutory Basis for, the Proposed Rule action is necessary or appropriate in the identifying information from Change public interest, for the protection of submissions. You should submit only In its filing with the Commission, the investors, or would otherwise further information that you wish to make self-regulatory organization included the purposes of the Act. If the available publicly. All submissions statements concerning the purpose of, Commission takes such action, the should refer to File Number SR–BOX– and basis for, the proposed rule change Commission shall institute proceedings 2013–52 and should be submitted on or and discussed any comments it received to determine whether the proposed rule before December 10, 2013. on the proposed rule change. The text should be approved or disapproved. For the Commission, by the Division of of those statements may be examined at the places specified in Item IV below. IV. Solicitation of Comments Trading and Markets, pursuant to delegated authority.8 The Exchange has prepared summaries, Interested persons are invited to Kevin M. O’Neill, set forth in sections A, B, and C below, submit written data, views, and Deputy Secretary. of the most significant parts of such arguments concerning the foregoing, statements. including whether the proposed rule [FR Doc. 2013–27624 Filed 11–18–13; 8:45 am] BILLING CODE 8011–01–P 1 15 U.S.C. 78s(b)(1). 6 15 U.S.C. 78s(b)(3)(A)(ii). 2 15 U.S.C. 78a. 7 17 CFR 240.19b–4(f)(2). 8 17 CFR 200.30–3(a)(12). 3 17 CFR 240.19b–4.

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A. Self-Regulatory Organization’s disciplinary action for late reporting of persons engaged in facilitating Statement of the Purpose of, and the option transactions, the Exchange may transactions in securities. Moreover, the Statutory Basis for, the Proposed Rule apply, at its discretion, the Minor Rule proposed rule change would not result Change Plan contained in Rule 10.12 for minor in any material diminution of the violations of Rule 6.69,5 which would Exchange’s overall enforcement 1. Purpose result in a fine of not more than $5,000, authority or any material change in The Exchange proposes to amend or Rule 10.16 in the case of more serious surveillance of late-trade reporting. As Rule 6.69(a) to provide that a pattern or late reporting violations. Rule such, the proposed rule change is practice of late reporting of option 10.16(e)(3)(B) lists suggested monetary consistent with the Act because it transactions to the Exchange for sanctions for violations of Rule 6.69 that would continue to protect investors and dissemination to the Options Price range from $10,000 to $100,000. the public interest. In addition, Reporting Authority (‘‘OPRA’’) is Because violations of Rule 6.69 may be amending Rule 6.69 by including subject to disciplinary action, including adjudicated pursuant to either Rule references to rules governing the fines. Current Rule 6.69(a) requires an 10.12 or Rule 10.16, the Exchange adjudication of late trade violations is OTP Holder or OTP Firm to proposes to further amend Rule 6.69(a) designed to add clarity to the rules of immediately report option transactions by adding a cite to Rule 10.16. the Exchange. Providing clear and well to the Exchange for dissemination to The Exchange notes that the proposed defined rules helps to remove OPRA. The rule further provides that rule change is substantially similar to impediments to, and perfect the transactions not reported to OPRA current rules of the Chicago Board mechanism of a free and open market within 90 seconds after execution will Options Exchange (‘‘CBOE’’) Rule and a national market system. be designated ‘‘late,’’ and that an OTP 6.51(a) and NASDAQ OMX PHLX LLC Holder or OTP Firm who is responsible (‘‘PHLX’’) Rule 1051(a).6 Both CBOE B. Self-Regulatory Organization’s for late reporting of an option and PHLX rules utilize the ‘‘pattern or Statement on Burden on Competition transaction, without reasonable practice’’ standard for evaluating late The Exchange does not believe that justification or excuse, will be subject to trade reporting violations. the proposed rule change will impose a fine under Rule 10.12. Thus, under any burden on competition not current rule 6.69(a), a single late- 2. Statutory Basis necessary or appropriate in furtherance reported transaction is subject to a fine. The Exchange believes that the of the purposes of the Act. To the To have more flexibility in evaluating proposal is consistent with Section 6(b) contrary, the Exchange’s proposal whether late reporting of option of the Act,7 in general, and furthers the allows the Exchange to compete more transactions should be subject to a fine, objectives of Section 6(b)(5),8 in effectively with other options exchanges the Exchange proposes to amend the particular, in that it is designed to that currently have rules in effect rule to provide that ‘‘a pattern or prevent fraudulent and manipulative substantially similar to what the practice’’ of late reporting of option acts and practices, promote just and Exchange now proposes. transactions to the Exchange would equitable principles of trade, to foster constitute a violation of the 90-second cooperation and coordination with C. Self-Regulatory Organization’s reporting requirement. While the persons engaged in facilitating Statement on Comments on the Exchange’s proposal does not expressly transactions in securities, and to remove Proposed Rule Change Received From define what a ‘‘pattern or practice’’ of impediments to, and perfect the Members, Participants, or Others late reporting is, the Exchange will mechanism of a free and open market No written comments were solicited apply its existing Sanctioning and a national market system, and, in or received with respect to the proposed Guidelines, which are contained in Rule general, to protect investors and the rule change. 10.16. Rule 10.16 contains both general public interest. Specifically, the III. Date of Effectiveness of the guidelines for considering and Exchange believes that the proposed Proposed Rule Change and Timing for determining the applicability of amendment providing the Exchange Commission Action sanctions under various Exchange rules, with flexibility in determining whether and guidelines specific to violations of an OTP Holder’s late reporting of option The Exchange has filed the proposed Rule 6.69, among other rules.4 transactions to the Exchange constitutes rule change pursuant to Section 9 Moreover, in determining appropriate a pattern or practice that should subject 19(b)(3)(A) of the Act and Rule 19b– 10 the late reporter to disciplinary action 4(f)(6) thereunder. Because the 4 Rule 10.16(b) General Principles Applicable to addresses an inconsistency between in proposed rule change does not: (i) All Sanction Determinations includes an [sic] the processes for adjudication of Significantly affect the protection of aggregation provision under Rule 10.16(b)(4) to late-trade reporting on the Exchange and investors or the public interest; (ii) guide the Exchange in determining whether to impose any significant burden on aggregate, or ‘‘batch’’ violations together, thereby those of other self-regulatory treating them as one ‘‘violation’’ for purposes of organizations. Eliminating this competition; and (iii) become operative determining sanctions if the misconduct meets inconsistency will help foster prior to 30 days from the date on which certain objective parameters, such as ‘‘[w]hether the it was filed, or such shorter time as the violations involved unintentional or negligent cooperation and coordination with misconduct or manipulative, fraudulent, or Commission may designate, if deceptive intent. (If aggregated, the violations 5 Violations of Rule 6.69 are listed as eligible for consistent with the protection of should not have involved manipulative, fraudulent, adjudication under the Minor Rule Plan in Rule investors and the public interest, the or deceptive intent).’’ Rule 10.16(d) Principal 10.12(h)(38). proposed rule change has become Considerations in Determining Sanctions includes 6 ‘‘(6) whether the named party engaged in numerous See CBOE Rule 6.51(a); PHLX Rule 1051(a). effective pursuant to Section 19(b)(3)(A) acts and/or a pattern of misconduct.’’ Additionally, PHLX rules also permit, but do not require the of the Act 11 and Rule 19b–4(f)(6) Rule 10.16(e) Specific Sanctioning Guidelines for exchange, in evaluating whether a pattern or thereunder.12 Options Order Handling Rules provides in practice of rules violations exists, to aggregate or subparagraph (3) Trade Reporting—NYSE Arca ‘‘batch’’ individual order handling violations as a 9 Rule 6.69 that ‘‘(ii) the extent of the abuse, i.e. single occurrence of a violation of a specific order 15 U.S.C. 78s(b)(3)(A). whether a pattern of abuse exists, and the number handling rule by a member or member organization 10 17 CFR 240.19b–4(f)(6). of transactions involved’’ are to be considered over a specific time period. See PHLX Rule 970.01. 11 15 U.S.C. 78s(b)(3)(A). among additional principal considerations in 7 15 U.S.C. 78f(b). 12 17 CFR 240.19b–4(f)(6). In addition, Rule 19b– determining sanctions. 8 15 U.S.C. 78f(b)(5). 4(f)(6) requires the Exchange to give the

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At any time within 60 days of the inspection and copying at the proposed rule change is available on the filing of such proposed rule change, the Exchange’s principal office and on its Exchange’s Web site at www.nyse.com, Commission summarily may Internet Web site at www.nyse.com. All at the principal office of the Exchange, temporarily suspend such rule change if comments received will be posted at the Commission’s Public Reference it appears to the Commission that such without change; the Commission does Room, and on the Commission’s Web action is necessary or appropriate in the not edit personal identifying site at http://www.sec.gov. public interest, for the protection of information from submissions. You II. Self-Regulatory Organization’s investors, or otherwise in furtherance of should submit only information that Statement of the Purpose of, and the purposes of the Act. you wish to make available publicly. All submissions should refer to File Statutory Basis for, the Proposed Rule IV. Solicitation of Comments Number SR–NYSEArca–2013–119 and Change Interested persons are invited to should be submitted on or before In its filing with the Commission, the submit written data, views, and December 10, 2013. self-regulatory organization included arguments concerning the foregoing, For the Commission, by the Division of statements concerning the purpose of, including whether the proposed rule Trading and Markets, pursuant to delegated and basis for, the proposed rule change change is consistent with the Act. authority.13 and discussed any comments it received Comments may be submitted by any of Kevin M. O’Neill, on the proposed rule change. The text the following methods: Deputy Secretary. of those statements may be examined at Electronic Comments [FR Doc. 2013–27627 Filed 11–18–13; 8:45 am] the places specified in Item IV below. The Exchange has prepared summaries, • BILLING CODE 8011–01–P Use the Commission’s Internet set forth in sections A, B, and C below, comment form (http://www.sec.gov/ of the most significant parts of such rules/sro.shtml); or SECURITIES AND EXCHANGE statements. • Send an email to rule-comments@ COMMISSION sec.gov. Please include File Number SR– A. Self-Regulatory Organization’s NYSEArca–2013–119 on the subject [Release No. 34–70864; File No. SR– Statement of the Purpose of, and the line. NYSEMKT–2013–89] Statutory Basis for, the Proposed Rule Change Paper Comments Self-Regulatory Organizations; NYSE 1. Purpose • Send paper comments in triplicate MKT LLC; Notice of Filing and to Elizabeth M. Murphy, Secretary, Immediate Effectiveness of Proposed The Exchange proposes to amend Securities and Exchange Commission, Rule Change Amending Rule 957NY To Rule 957NY to provide that a pattern or 100 F Street NE., Washington, DC Provide That a Pattern or Practice of practice of late reporting of option 20549–1090. Late Reporting of Option Transactions transactions to the Exchange for All submissions should refer to File to the Exchange for Dissemination to dissemination to the Options Price Number SR–NYSEArca–2013–119. This the Options Price Reporting Authority Reporting Authority (‘‘OPRA’’) is file number should be included on the Is Subject to Disciplinary Action subject to disciplinary action, including fines. Current Rule 957NY requires an subject line if email is used. To help the November 13, 2013. ATP Holder to immediately report Commission process and review your Pursuant to Section 19(b)(1) 1 of the option transactions to the Exchange. comments more efficiently, please use Securities Exchange Act of 1934 (the The rule further provides that only one method. The Commission will ‘‘Act’’) 2 and Rule 19b–4 thereunder,3 transactions not reported to OPRA post all comments on the Commission’s notice is hereby given that on October within 90 seconds after execution will Internet Web site (http://www.sec.gov/ 31, 2013, NYSE MKT LLC (the be designated ‘‘late,’’ and that an ATP rules/sro.shtml). Copies of the ‘‘Exchange’’ or ‘‘NYSE MKT’’) filed with Holder who is responsible for late submission, all subsequent the Securities and Exchange reporting of an option transaction, amendments, all written statements Commission (the ‘‘Commission’’) the without reasonable justification or with respect to the proposed rule proposed rule change as described in excuse, will be subject to a fine under change that are filed with the Items I and II below, which Items have Section 9A. Thus, under current rule Commission, and all written been prepared by the self-regulatory 957NY, a single late-reported communications relating to the organization. The Commission is transaction is subject to a fine. proposed rule change between the publishing this notice to solicit Commission and any person, other than To have more flexibility in evaluating comments on the proposed rule change whether late reporting of option those that may be withheld from the from interested persons. public in accordance with the transactions should be subject to a fine, provisions of 5 U.S.C. 552, will be I. Self-Regulatory Organization’s the Exchange proposes to amend the available for Web site viewing and Statement of the Terms of Substance of rule to provide that ‘‘a pattern or printing in the Commission’s Public the Proposed Rule Change practice’’ of late reporting of option Reference Section, 100 F Street NE., The Exchange proposes to amend transactions to the Exchange would Washington, DC 20549–1090, on official Rule 957NY to provide that a pattern or constitute a violation of the 90-second business days between the hours of practice of late reporting of option reporting requirement. While the 10:00 a.m. and 3:00 p.m. Copies of the transactions to the Exchange for Exchange’s proposal does not expressly filing will also be available for dissemination to the Options Price define what a ‘‘pattern or practice’’ of Reporting Authority is subject to late reporting is, the Exchange will Commission written notice of the Exchange’s intent disciplinary action. The text of the apply its existing Sanctions Guidelines, to file the proposed rule change, along with a brief which are contained in Rule 476, description and text of the proposed rule change, 13 Supplementary Material .10. Rule 476, at least five business days prior to the date of filing 17 CFR 200.30–3(a)(12). of the proposed rule change, or such shorter time 1 15 U.S.C. 78s(b)(1). Supplementary Material .10 contains as designated by the Commission. The Exchange 2 15 U.S.C. 78a. both general guidelines for considering has satisfied this requirement. 3 17 CFR 240.19b–4. and determining the applicability of

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sanctions under various Exchange rules, equitable principles of trade, to foster investors or the public interest; (ii) and guidelines specific to violations of cooperation and coordination with impose any significant burden on particular Exchange rules, including persons engaged in facilitating competition; and (iii) become operative ‘‘Trade Reporting—Late Reporting,’’ transactions in securities, and to remove prior to 30 days from the date on which among other rules.4 Moreover, in impediments to, and perfect the it was filed, or such shorter time as the determining appropriate disciplinary mechanism of a free and open market Commission may designate, if action for late reporting of option and a national market system, and, in consistent with the protection of transactions, the Exchange may apply, general, to protect investors and the investors and the public interest, the at its discretion, the Minor Rule Plan public interest. Specifically, the proposed rule change has become contained in Rule 476A, Imposition of Exchange believes that the proposed effective pursuant to Section 19(b)(3)(A) Fines for Minor Rule(s) Violations for amendment providing the Exchange of the Act 11 and Rule 19b–4(f)(6) minor violations of Rule 957NY,5 which with flexibility in determining whether thereunder.12 would result in a fine from $1,500 up an ATP Holder’s late reporting of option At any time within 60 days of the to $5,000, or Rule 476 in the case of transactions to the Exchange constitutes filing of such proposed rule change, the more serious late reporting violations. a pattern or practice that should subject Commission summarily may Rule 476 lists suggested monetary the late reporter to disciplinary action temporarily suspend such rule change if sanctions for violations of Rule 957NY addresses an inconsistency between in it appears to the Commission that such that range from $1,000 to $50,000. [sic] the processes for adjudication of action is necessary or appropriate in the The Exchange notes that the proposed late-trade reporting on NYSE MKT and public interest, for the protection of rule change is substantially similar to those of other self-regulatory investors, or otherwise in furtherance of current rules of the Chicago Board organizations. Eliminating this the purposes of the Act. Options Exchange (‘‘CBOE’’) Rule inconsistency will help foster IV. Solicitation of Comments 6.51(a) and NASDAQ OMX PHLX LLC cooperation and coordination with (‘‘PHLX’’) Rule 1051(a).6 Both CBOE persons engaged in facilitating Interested persons are invited to and PHLX rules utilize the ‘‘pattern or transactions in securities. Moreover, the submit written data, views, and practice’’ standard for evaluating late proposed rule change would not result arguments concerning the foregoing, trade reporting violations. in any material diminution of the including whether the proposed rule change is consistent with the Act. Exchange’s overall enforcement 2. Statutory Basis Comments may be submitted by any of authority or any material change in The Exchange believes that the the following methods: surveillance of late-trade reporting. As proposal is consistent with Section 6(b) such, the proposed rule change is Electronic Comments of the Act,7 in general, and furthers the consistent with the Act because it objectives of Section 6(b)(5),8 in • Use the Commission’s Internet would continue to protect investors and particular, in that it is designed to comment form (http://www.sec.gov/ the public interest. prevent fraudulent and manipulative rules/sro.shtml); or • acts and practices, promote just and B. Self-Regulatory Organization’s Send an email to rule-comments@ Statement on Burden on Competition sec.gov. Please include File Number SR– 4 NYSEMKT–2013–89 on the subject line. Rule 476, Supplementary Material .10 Sanctions The Exchange does not believe that Guidelines includes an aggregation provision under subparagraph (B.) General Principles Applicable to the proposed rule change will impose Paper Comments All Sanction Determinations (4) to guide the any burden on competition not • Send paper comments in triplicate Exchange in determining whether to aggregate, or necessary or appropriate in furtherance to Elizabeth M. Murphy, Secretary, ‘‘batch’’ violations together, thereby treating them of the purposes of the Act. To the as one ‘‘violation’’ for purposes of determining Securities and Exchange Commission, sanctions if the misconduct meets certain objective contrary, the Exchange’s proposal 100 F Street NE., Washington, DC parameters, such as ‘‘(B) Whether the violations allows the Exchange to compete more 20549–1090. involved unintentional or negligent misconduct or effectively with other options exchanges All submissions should refer to File manipulative, fraudulent, or deceptive intent. (If that currently have rules in effect aggregated, the violations should not have involved Number SR–NYSEMKT–2013–89. This manipulative, fraudulent, or deceptive intent).’’ substantially similar to what the file number should be included on the Rule 476, Supplementary Material .10(C.) Principal Exchange now proposes. subject line if email is used. To help the Considerations in Determining Sanctions includes Commission process and review your ‘‘(6) whether the named party engaged in numerous C. Self-Regulatory Organization’s acts and/or a pattern of misconduct.’’ Additionally, Statement on Comments on the comments more efficiently, please use Rule 476, Supplementary Material .10(C) also Proposed Rule Change Received From only one method. The Commission will provides that ‘‘(14) The number, size, and character Members, Participants, or Others post all comments on the Commission’s of the transactions at issue’’ are to be considered Internet Web site (http://www.sec.gov/ among principal considerations in determining No written comments were solicited rules/sro.shtml). Copies of the sanctions. or received with respect to the proposed 5 Failure to comply with the reporting duties of submission, all subsequent Rule 957NY is listed as subject to fine under the rule change. amendments, all written statements Minor Rule Plan contained in Rule 476A, III. Date of Effectiveness of the with respect to the proposed rule Supplementary Material Part 1C.(i)(27), according to the Minor Rule Plan Fine Schedule provided in Proposed Rule Change and Timing for change that are filed with the Rule 476A, Supplementary Material Part Commission Action Commission, and all written 1C.(iii)(i)(27). The Exchange has filed the proposed 6 See CBOE Rule 6.51(a); PHLX Rule 1051(a). 11 rule change pursuant to Section 15 U.S.C. 78s(b)(3)(A). PHLX rules also permit, but do not require the 12 17 CFR 240.19b–4(f)(6). In addition, Rule 19b– 9 exchange, in evaluating whether a pattern or 19(b)(3)(A) of the Act and Rule 19b– 4(f)(6) requires the Exchange to give the practice of rules violations exists, to aggregate or 4(f)(6) thereunder.10 Because the Commission written notice of the Exchange’s intent ‘‘batch’’ individual order handling violations as a proposed rule change does not: (i) to file the proposed rule change, along with a brief single occurrence of a violation of a specific order Significantly affect the protection of description and text of the proposed rule change, handling rule by a member or member organization at least five business days prior to the date of filing over a specific time period. See PHLX Rule 970.01. of the proposed rule change, or such shorter time 7 15 U.S.C. 78f(b). 9 15 U.S.C. 78s(b)(3)(A). as designated by the Commission. The Exchange 8 15 U.S.C. 78f(b)(5). 10 17 CFR 240.19b–4(f)(6). has satisfied this requirement.

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communications relating to the I. Self-Regulatory Organization’s Financial Industry Regulatory Authority proposed rule change between the Statement of the Terms of Substance of (‘‘FINRA’’) under a 17d–2 Agreement. Commission and any person, other than the Proposed Rule Change The ORF is not designed to cover the those that may be withheld from the The ISE proposes to decrease its cost of options sales practice regulation. public in accordance with the Options Regulatory Fee. The text of the The ORF is assessed by the Exchange provisions of 5 U.S.C. 552, will be proposed rule change is available on the to each member for all options available for Web site viewing and Exchange’s Web site (http:// transactions in both Standard Options printing in the Commission’s Public www.ise.com), at the principal office of and Mini Options executed or cleared Reference Section, 100 F Street NE., the Exchange, and at the Commission’s by the member that are cleared by The Washington, DC 20549–1090, on official Public Reference Room. Options Clearing Corporation (‘‘OCC’’) business days between the hours of in the customer range, i.e., transactions 10:00 a.m. and 3:00 p.m. Copies of the II. Self-Regulatory Organization’s that clear in the customer account of the filing will also be available for Statement of the Purpose of, and member’s clearing firm at OCC, inspection and copying at the Statutory Basis for, the Proposed Rule regardless of the exchange on which the Exchange’s principal office and on its Change transaction occurs. In other words, ISE Internet Web site at www.nyse.com. All In its filing with the Commission, the imposes the ORF on all customer-range comments received will be posted self-regulatory organization included transactions executed by a member, without change; the Commission does statements concerning the purpose of, even if the transactions do not take not edit personal identifying and basis for, the proposed rule change place on the Exchange.3 The ORF also information from submissions. You and discussed any comments it received is charged for transactions that are not should submit only information that on the proposed rule change. The text executed by a member but are you wish to make available publicly. All of these statements may be examined at ultimately cleared by a member. In the submissions should refer to File the places specified in Item IV below. case where a non-member executes a Number SR–NYSEMKT–2013–89 and The self-regulatory organization has transaction and a member clears the should be submitted on or before prepared summaries, set forth in transaction, the ORF will be assessed to December 10, 2013. sections A, B and C below, of the most the member who clears the transaction. significant aspects of such statements. In the case where a member executes a For the Commission, by the Division of transaction and another member clears Trading and Markets, pursuant to delegated A. Self-Regulatory Organization’s the transaction, the ORF will similarly authority.13 Statement of the Purpose of, and the be assessed to the member who clears Kevin M. O’Neill, Statutory Basis for, the Proposed Rule the transaction. Deputy Secretary. Change The ORF is collected indirectly from [FR Doc. 2013–27630 Filed 11–18–13; 8:45 am] 1. Purpose members through their clearing firms by BILLING CODE 8011–01–P OCC on behalf of the Exchange. As a The Exchange proposes to decrease its practical matter, it is not feasible or Options Regulatory Fee (‘‘ORF’’). The reasonable for the Exchange (or any SECURITIES AND EXCHANGE Exchange has reevaluated the current SRO) to identify each executing member COMMISSION amount of the ORF in light of increased that submits an order on a trade-by- trading volumes year-to-date. In order to trade basis. There are countless [Release No. 34–70859; File No. SR–ISE– ensure that revenue collected from the executing market participants, and each 2013–54] ORF, in combination with other day such participants can and often do regulatory fees and fines, does not drop their connection to one market Self-Regulatory Organizations; exceed the Exchange’s total regulatory center and establish themselves as International Securities Exchange, costs, the Exchange is proposing to participants on another. It is virtually LLC; Notice of Filing and Immediate decrease the ORF from $0.0042 per impossible for any exchange to identify Effectiveness of Proposed Rule contract to $0.0039 per contract. The each executing participant on a given Change To Amend the Schedule of Exchange is also proposing to remove trading day. Clearing members, Fees language from its Schedule of Fees that however, are distinguished from indicates that the ORF is effective November 13, 2013. executing participants because they starting on January 1, 2010 as this remain identified to the Exchange Pursuant to Section 19(b)(1) of the effective date has passed. regardless of the identity of the Securities Exchange Act of 1934 (the The ORF is designed to recover a initiating executing participant, their ‘‘Act’’),1 and Rule 19b–4 thereunder,2 material portion of the costs to the location, and the market center on notice is hereby given that on November Exchange of the supervision and which they execute transactions. 1, 2013, the International Securities regulation of members’ customer Therefore, the Exchange believes it is Exchange, LLC (the ‘‘Exchange’’ or the options business, including performing more efficient for the operation of the ‘‘ISE’’) filed with the Securities and routine surveillance and investigations, Exchange and for the marketplace as a Exchange Commission the proposed as well as policy, rulemaking, whole to collect the ORF indirectly from rule change, as described in Items I, II interpretive and enforcement activities. members through their clearing firms. and III below, which items have been The Exchange believes that revenue The Exchange also believes that its prepared by the self-regulatory generated from the proposed ORF, when broad regulatory responsibilities with organization. The Commission is combined with all of the Exchange’s respect to a member’s activities supports publishing this notice to solicit other regulatory fees and fines, will comments on the proposed rule change cover a material portion, but not all, of 3 Exchange rules require each member to submit from interested persons. the Exchange’s regulatory costs. The trade information in order to allow the Exchange to Exchange notes that its regulatory properly prioritize and match orders and quotations and report resulting transactions to the OCC. See 13 17 CFR 200.30–3(a)(12). responsibilities with respect to member ISE Rule 712. The Exchange represents that it has 1 15 U.S.C. 78s(b)(1). compliance with options sales practice surveillance in place to verify that members comply 2 17 CFR 240.19b–4. rules have been allocated to the with the rule.

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applying the ORF to transactions regulatory costs and revenues at a B. Self-Regulatory Organization’s cleared but not executed by a member. minimum on an annual basis. If the Statement on Burden on Competition The Exchange’s regulatory Exchange determines regulatory The proposed rule change does not responsibilities are the same regardless revenues exceed regulatory costs, the impose any burden on competition that of whether a member executes a Exchange will adjust the ORF by is not necessary or appropriate in transaction or clears a transaction submitting a fee change filing to the furtherance of the purposes of the Act. executed on its behalf. The Exchange Commission. The Exchange will notify The proposed rule change is not regularly reviews all such activities, members of adjustments to the ORF via designed to address any competitive including performing surveillance for circular. issues. Rather, the proposed rule change position limit violations, manipulation, 2. Statutory Basis is designed to help the Exchange to front-running, contrary exercise advice adequately fund its regulatory activities violations and insider trading. while seeking to ensure that total The Exchange further believes it is The Exchange believes that its regulatory revenues do not exceed total reasonable and appropriate for the proposal to amend its Schedule of Fees regulatory costs. Exchange to charge the ORF for options is consistent with Section 6(b) of the 6 transactions regardless of the exchange Exchange Act in general, and furthers C. Self-Regulatory Organization’s on which the transactions occur. The the objectives of Section 6(b)(4) of the Statement on Comments on the 7 Exchange has a statutory obligation to Exchange Act in particular, in that it is Proposed Rule Change Received From enforce compliance by members and an equitable allocation of reasonable Members, Participants, or Others their associated persons under the Act dues, fees and other charges among Exchange members and other persons The Exchange has not solicited, and and the rules of the Exchange, and to does not intend to solicit, comments on surveil for other manipulative conduct using its facilities. The Exchange believes that the proposed fee is this proposed rule change. The by market participants (including non- Exchange has not received any members) trading on the Exchange. reasonable in that it would help the Exchange to ensure that revenue unsolicited written comments from Many of the Exchange’s market members or other interested parties. surveillance programs require the collected from the ORF, in combination Exchange to look at and evaluate with other regulatory fees and fines, III. Date of Effectiveness of the activity across all options markets, such does not exceed the Exchange’s total Proposed Rule Change and Timing for as surveillance for position limit regulatory costs in light of increased Commission Action violations, manipulation, front-running trading volumes. The Exchange has The foregoing rule change has become and contrary exercise advice violations/ designed the ORF to generate revenues effective pursuant to Section expiring exercise declarations. The that, when combined with all of the 19(b)(3)(A)(ii) of the Act 8 and Exchange cannot effectively surveil for Exchange’s other regulatory fees, will be subparagraph (f)(2) of Rule 19b–4 such conduct without looking at and less than or equal to the Exchange’s thereunder,9 because it establishes a evaluating activity across all options regulatory costs, which is consistent due, fee, or other charge imposed by markets. Also, the Exchange and the with the Commission’s view that ISE. other options exchanges are required to regulatory fees be used for regulatory At any time within 60 days of the populate a consolidated options audit purposes and not to support the filing of such proposed rule change, the trail (‘‘COATS’’) system in order to Exchange’s business. Commission summarily may surveil a member’s activities across The Exchange believes the ORF is temporarily suspend such rule change if markets.4 equitable and not unfairly it appears to the Commission that such The Exchange believes that charging discriminatory because it is objectively action is necessary or appropriate in the the ORF across markets will avoid allocated to members in that it is public interest, for the protection of having members direct their trades to charged to all members on all their investors, or otherwise in furtherance of other markets in order to avoid the fee transactions that clear as customer at the the purposes of the Act. If the and to thereby avoid paying for their fair OCC. Moreover, the Exchange believes Commission takes such action, the share for regulation. If the ORF did not the ORF ensures fairness by assessing Commission shall institute proceedings apply to activity across markets then a fees to those members that require more to determine whether the proposed rule member would send their orders to the Exchange regulatory services based on should be approved or disapproved. least cost, least regulated exchange. the amount of customer options IV. Solicitation of Comments Other exchanges do impose a similar fee business they conduct. Regulating on their member’s activity, including customer trading activity is much more Interested persons are invited to the activity of those members on the submit written data, views, and labor intensive and requires greater ISE.5 arguments concerning the foregoing, expenditure of human and technical The Exchange will continue to including whether the proposed rule resources than regulating non-customer monitor the amount of revenue change is consistent with the Act. trading activity, which tends to be more collected from the ORF to ensure that it, Comments may be submitted by any of automated and less labor-intensive. As a in combination with its other regulatory the following methods: fees and fines, does not exceed the result, the costs associated with Exchange’s total regulatory costs. The administering the customer component Electronic Comments Exchange expects to monitor its of the Exchange’s overall regulatory • Use the Commission’s Internet program are materially higher than the comment form (http://www.sec.gov/ 4 COATS effectively enhances intermarket costs associated with administering the rules/sro.shtml); or options surveillance by enabling the options non-customer component of its • Send an email to rule-comments@ exchanges to promptly reconstruct the market to regulatory program (e.g., member sec.gov. Please include File Number SR– effectively surveil certain rules. proprietary transactions). ISE–2013–54 on the subject line. 5 See e.g. Securities Exchange Act Release Nos. 61133 (Dec. 9, 2009), 74 FR 66715 (December 16, 2009) (SR–Phlx–2009–100); 68711 (Jan. 23, 2013), 6 15 U.S.C. 78f(b). 8 15 U.S.C. 78s(b)(3)(A)(ii). 78 FR 6155 (Jan. 29, 2013) (SR–MIAX–2013–01)). 7 15 U.S.C. 78f(b)(4). 9 17 CFR 240.19b–4(f)(2).

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Paper Comments SECURITIES AND EXCHANGE and discussed any comments it received on the proposed rule change. The text • COMMISSION Send paper comments in triplicate of those statements may be examined at to Elizabeth M. Murphy, Secretary, [Release No. 34–70871; File No. SR– NYSEArca–2013–118] the places specified in Item IV below. Securities and Exchange Commission, The Exchange has prepared summaries, 100 F Street NE., Washington, DC Self-Regulatory Organizations; NYSE set forth in sections A, B, and C below, 20549–1090. Arca, Inc.; Notice of Filing of Proposed of the most significant parts of such All submissions should refer to File Rule Change, As Modified By statements. Number SR–ISE–2013–54. This file Amendment No. 1 Thereto, To List and A. Self-Regulatory Organization’s Trade of Shares of the Market Vectors number should be included on the Statement of the Purpose of, and the Short High-Yield Municipal Index ETF subject line if email is used. To help the Statutory Basis for, the Proposed Rule Under NYSE Arca Equities Rule Commission process and review your Change comments more efficiently, please use 5.2(j)(3), Commentary .02 1. Purpose only one method. The Commission will November 14, 2013. post all comments on the Commission’s Pursuant to Section 19(b)(1) 1 of the The Exchange proposes to list and Internet Web site (http://www.sec.gov/ Securities Exchange Act of 1934 (the trade shares (‘‘Shares’’) of the Market rules/sro.shtml). Copies of the ‘‘Act’’) 2 and Rule 19b–4 thereunder,3 Vectors Short High Yield Municipal submission, all subsequent notice is hereby given that, on October Index ETF (‘‘Fund’’) under NYSE Arca amendments, all written statements 30, 2013, NYSE Arca, Inc. (the Equities Rule 5.2(j)(3), Commentary .02, with respect to the proposed rule ‘‘Exchange’’ or ‘‘NYSE Arca’’) filed with which governs the listing and trading of change that are filed with the the Securities and Exchange Investment Company Units (‘‘Units’’) Commission, and all written Commission (the ‘‘Commission’’) the based on fixed income securities communications relating to the proposed rule change as described in indexes.5 The Fund is a series of the proposed rule change between the Items I and II below, which Items have Market Vectors ETF Trust (‘‘Trust’’).6 been prepared by the self-regulatory Commission and any person, other than Van Eck Associates Corporation will organization. On November 8, 2013, the those that may be withheld from the be the investment adviser (‘‘Adviser’’) Exchange filed Amendment No. 1 to the public in accordance with the for the Fund. Van Eck Securities proposed rule change.4 The Commission provisions of 5 U.S.C. 552, will be Corporation will be the Fund’s is publishing this notice to solicit available for Web site viewing and distributor (‘‘Distributor’’). Van Eck printing in the Commission’s Public comments on the proposed rule change, as modified by Amendment No. 1 Associates Corporation also will be the Reference Room, 100 F Street NE., thereto, from interested persons. administrator for the Fund (the Washington, DC 20549, on official ‘‘Administrator’’), and will be business days between the hours of I. Self-Regulatory Organization’s responsible for certain clerical, 10:00 a.m. and 3:00 p.m. Copies of the Statement of the Terms of Substance of recordkeeping and/or bookkeeping filing also will be available for the Proposed Rule Change services. The Bank of New York Mellon inspection and copying at the principal The Exchange proposes to list and will be the custodian of the Fund’s office of the Exchange. All comments trade under NYSE Arca Equities Rule assets and provides transfer agency and received will be posted without change; 5.2(j)(3), Commentary .02, the shares of fund accounting services to the Fund. the Commission does not edit personal the Market Vectors Short High-Yield The investment objective of the Fund identifying information from Municipal Index ETF. The text of the will be to seek to replicate as closely as submissions. You should submit only proposed rule change is available on the possible, before fees and expenses, the information that you wish to make Exchange’s Web site at www.nyse.com, price and yield performance of the available publicly. All submissions at the principal office of the Exchange, Barclays Municipal High Yield Short should refer to File Number SR–ISE– and at the Commission’s Public Duration Index (the ‘‘Short High Yield 2013–54 and should be submitted on or Reference Room. Index’’ or ‘‘Index’’). The Fund before December 10, 2013. II. Self-Regulatory Organization’s 5 For the Commission, by the Division of Statement of the Purpose of, and The Commission previously has approved a proposed rule change relating to listing and trading Trading and Markets, pursuant to delegated Statutory Basis for, the Proposed Rule on the Exchange of Units based on municipal bond authority.10 Change indexes. See Securities Exchange Act Release No. Kevin M. O’Neill, 67985 (October 4, 2012), 77 FR 61804 (October 11, In its filing with the Commission, the 2012) (SR–NYSEArca–2012–92) (order approving Deputy Secretary. self-regulatory organization included proposed rule change relating to the listing and [FR Doc. 2013–27625 Filed 11–18–13; 8:45 am] statements concerning the purpose of, trading of iShares 2018 S&P AMT-Free Municipal and basis for, the proposed rule change Series and iShares 2019 S&P AMT-Free Municipal BILLING CODE 8011–01–P Series under NYSE Arca Equities Rule 5.2(j)(3), Commentary .02). 1 15 U.S.C. 78s(b)(1). 6 On August 27, 2012, the Trust filed an 2 15 U.S.C. 78a. amendment to its registration statement on Form 3 17 CFR 240.19b–4. N–1A under the Securities Act of 1933 (15 U.S.C. 4 By Amendment No. 1, the Exchange: (1) Deleted 77a) and the Investment Company Act of 1940 a sentence relating to the Fund holding depositary (‘‘1940 Act’’) (15 U.S.C. 80a–1) (File Nos. 333– receipts and to-be-announced transactions; (2) 123257 and 811–10325) (the ‘‘Registration added a phrase that states that the Administrator, Statement’’). The description of the operation of the through the NSCC, will make available Indicative Trust and the Fund herein is based, in part, on the Per Share Portfolio Value on a continuous basis Registration Statement. In addition, the throughout the day; (3) made clarifying changes to Commission has issued an order granting certain reflect that the Fund will limit itself to holding up exemptive relief to the Trust under the 1940 Act. to 15% of its net assets in illiquid assets, not just See Investment Company Act Release No. 28021 illiquid securities; and (4) modified certain cross- (October 24, 2007) (File No. 812–13426) 10 17 CFR 200.30–3(a)(12). references. (‘‘Exemptive Order’’).

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normally 7 will invest at least 80% of its movement of one or more specified reasonably believes are capable of total assets in securities that compose factors, such as the movement of a performing under the contract and will the Index. Depositary receipts or to-be- particular stock or stock index),10 and post as collateral as required by the announced transactions (‘‘TBAs’’) 8 certain derivative instruments that are counterparty.12 representing securities in the Short High mentioned below. The Fund may also The Fund may hold up to an aggregate Yield Index may be used by the Fund invest, to the extent permitted by the amount of 15% of its net assets in in seeking performance that corresponds 1940 Act, in other affiliated and illiquid assets (calculated at the time of to the Short High Yield Index, and in unaffiliated funds, such as open-end or investment), including Rule 144A managing cash flows and may count closed-end management investment securities deemed illiquid by the towards the Fund’s 80% policy. companies, including other exchange- Adviser, in accordance with The Fund, using a ‘‘passive’’ or traded funds (‘‘ETFs’’).11 Commission guidance.13 The Fund will indexing investment approach, will The Fund may invest in repurchase monitor its portfolio liquidity on an attempt to approximate the investment agreements with commercial banks, ongoing basis to determine whether, in performance of the Index. The Adviser brokers or dealers to generate income light of current circumstances, an expects that, over time, the correlation from its excess cash balances and to adequate level of liquidity is being between the Fund’s performance before invest securities lending cash collateral. maintained, and will consider taking fees and expenses and that of the Index The Fund may use exchange-traded appropriate steps in order to maintain will be 95% or better. A figure of 100% futures contracts and exchange-traded adequate liquidity if, through a change would indicate perfect correlation. or over-the-counter (‘‘OTC’’) options in values, net assets, or other Because of the practical difficulties and thereon, together with positions in cash circumstances, more than 15% of the expense of purchasing all of the and money market instruments, to Fund’s net assets are held in illiquid securities in the Index, the Fund will simulate full investment in the Index. assets. Illiquid assets include securities not purchase all of the securities in the The Fund may use cleared or non- subject to contractual or other Index. Instead, the Adviser will utilize cleared index, interest rate or credit restrictions on resale and other a ‘‘sampling’’ methodology in seeking to default swap agreements. Swap instruments that lack readily available achieve the Fund’s objective. As such, agreements are contracts between markets as determined in accordance the Fund may purchase a subset of the parties in which one party agrees to with Commission staff guidance.14 bonds in the Index in an effort to hold make payments to the other party based a portfolio of bonds with generally the on the change in market value or level Description of the Index same risk and return characteristics of of a specified index or asset. The The Index is a market size weighted the Index. Adviser represents that currently index composed of publicly traded interest rate swaps and credit default municipal bonds that cover the U.S. Other Investments swaps on indexes are cleared. However, While the Fund normally will invest credit default swaps on a specific 12 The Fund will seek, where possible, to use at least 80% of its total assets in security are currently uncleared. counterparties, as applicable, whose financial status securities that compose the Index, the The Fund may invest in exchange- is such that the risk of default is reduced; however, traded warrants, which are equity the risk of losses resulting from default is still Fund may invest its remaining assets in possible. The Adviser will evaluate the other financial instruments, as securities in the form of options issued creditworthiness of counterparties on a regular described below. by a corporation which give the holder basis. In addition to information provided by credit The Fund may invest its remaining the right to purchase stock, usually at a agencies, the Adviser will review approved price that is higher than the market counterparties using various factors, which may assets in securities not included in the include the counterparty’s reputation, the Adviser’s Short High Yield Index, money market price at the time the warrant is issued. past experience with the counterparty and the instruments, including repurchase The Fund may invest in participation price/market actions of debt of the counterparty. agreements or other funds which invest notes, which are issued by banks or 13 In reaching liquidity decisions, the Adviser exclusively in money market broker-dealers and are designed to offer may consider the following factors: The frequency of trades and quotes for the security; the number of 9 a return linked to the performance of a instruments, convertible securities, dealers wishing to purchase or sell the security and structured notes (notes on which the particular underlying equity security or the number of other potential purchasers; dealer amount of principal repayment and market. undertakings to make a market in the security; and interest payments are based on the The Fund will only enter into the nature of the security and the nature of the transactions in derivative instruments marketplace trades (e.g., the time needed to dispose of the security, the method of soliciting offers, and 7 The word ‘‘normally’’ means, without with counterparties that the Adviser the mechanics of transfer). limitation, the absence of extreme volatility or 14 The Commission has stated that long-standing trading halts in the equity markets or the financial 10 Structured notes are derivative securities for Commission guidelines have required open-end markets generally; operational issues causing which the amount of principal repayment and/or funds to hold no more than 15% of their net assets dissemination of inaccurate market information; or interest payments is based on the movement of one in illiquid securities and other illiquid assets. See force majeure type events such as systems failure, or more factors, including, but not limited to, Investment Company Act Release No. 28193 (March natural or man-made disaster, act of God, armed currency exchange rates, interest rates (such as the 11, 2008), 73 FR 14618 (March 18, 2008), footnote conflict, act of terrorism, riot or labor disruption or prime lending rate or LIBOR), referenced bonds and 34. See also, Investment Company Act Release No. any similar intervening circumstance. stock indices. 5847 (October 21, 1969), 35 FR 19989 (December 8 A TBA transaction is a method of trading 11 For purposes of this filing, ETFs include 31, 1970) (Statement Regarding ‘‘Restricted mortgage-backed securities. In a TBA transaction, Investment Company Units (as described in NYSE Securities’’); Investment Company Act Release No. the buyer and seller agree upon general trade Arca Equities Rule 5.2(j)(3)); Portfolio Depositary 18612 (March 12, 1992), 57 FR 9828 (March 20, parameters such as agency, settlement date, par Receipts (as described in NYSE Arca Equities Rule 1992) (Revisions of Guidelines to Form N–1A). A amount, and price. The actual pools delivered 8.100); and Managed Fund Shares (as described in fund’s portfolio security is illiquid if it cannot be generally are determined two days prior to the NYSE Arca Equities Rule 8.600). The ETFs all will disposed of in the ordinary course of business settlement date. be listed and traded in the U.S. on registered within seven days at approximately the value 9 A convertible security is a bond, debenture, exchanges. The Fund may invest in the securities ascribed to it by the fund. See Investment Company note, preferred stock, right, warrant or other of ETFs registered under the 1940 Act consistent Act Release No. 14983 (March 12, 1986), 51 FR security that may be converted into or exchanged with the requirements of Section 12(d)(1) of the 9773 (March 21, 1986) (adopting amendments to for a prescribed amount of common stock or other 1940 Act, or any rule, regulation or order of the Rule 2a–7 under the 1940 Act); Investment security of the same or a different issuer or into Commission or interpretation thereof. While the Company Act Release No. 17452 (April 23, 1990), cash within a particular period of time at a Fund may invest in inverse ETFs, the Fund will not 55 FR 17933 (April 30, 1990) (adopting Rule 144A specified price or formula. invest in leveraged (e.g., 2X, –2X, 3X or –3X) ETFs. under the 1933 Act).

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dollar denominated high yield short- Fitch. If only two of the three agencies such requirements except for those set term tax-exempt bond market. The rate the security, the lower rating is forth in Commentary .02(a)(2).16 majority of the Index’s constituents are used to determine index eligibility. If Specifically, as of November 27, 2012, from the revenue sector, with some only one of the three agencies rates a 15.66% of the weight of the Index constituents being from the general security, the rating must be Ba1/BB+ components have a minimum original obligation sector. The revenue sector is or lower. Bonds in the Muni High principal amount outstanding of $100 divided into industry sectors that Yield/Under $100 Million Deal Size million or more. consist of but may not be limited to Index must have an outstanding par As of November 27, 2012, 72.21% of electric, health care, transportation, value of at least $3 million and be the weight of the Index components was education, water and sewer, resource issued as part of a transaction of composed of individual maturities that recovery, leasing and special tax. As of under $100 million but over $20 were part of an entire municipal bond December 31, 2012, the Index consisted million. offering with a minimum original of approximately 1,935 bonds and 530 —25% weight in Muni Baa-Rated/$100 principal amount outstanding of $100 unique issuers.15 Million Deal Size Index. To be million or more for all maturities of the The Index is calculated using a included in the Muni Baa-Rated/$100 offering. In addition, the total dollar market value weighting methodology. Million Deal Size Index, bonds must amount outstanding of issues in the Index constituents are capitalization- have a Barclays Index credit quality Index was approximately $757 billion weighted, based on their current amount classification between Baa1/BBB+ and and the average dollar amount outstanding. The Index tracks the high Baa3/BBB¥. Barclays Index credit outstanding of issues in the Index was yield municipal bond market with a quality classification is based on the approximately $394 million. Further, 75% weight in non-investment grade three rating agencies, Moody’s, S&P the most heavily weighted component municipal bonds and a 25% weight in and Fitch. If two of the three agencies represents 2.67% of the weight of the Baa/BBB-rated investment grade rate the bond equivalently, then that Index and the five most heavily municipal bonds. It is comprised of rating is used. If all three rate the weighted components represent 10.67% three total return, market size weighted bond differently, the middle rating is of the weight of the Index.17 Therefore, benchmark indexes with weights as used. If only two of the three agencies the Exchange believes that, follows: rate the security, the lower rating is notwithstanding that the Index does not —50% weight in Muni High Yield/$100 used to determine index eligibility. If satisfy the criterion in NYSE Arca Million Deal Size Index. To be only one of the three agencies rates a Equities Rule 5.2(j)(3), Commentary included in the Muni High Yield/ security, the rating must be Baa1/ .02 (a)(2), the Index is sufficiently $100 Million Deal Size Index, bonds BBB+, Baa2/BBB, or Baa3/BBB¥. The broad-based to deter potential must be unrated or rated Ba1/BB+ or bonds must have an outstanding par manipulation, given that it is composed lower by at least two of the following value of at least $7 million and be of approximately 1,935 issues and 530 rating agencies if all three rate the issued as part of a transaction of at unique issuers. In addition, the Index bond: Moody’s Investors Service, Inc. least $100 million. Remarketed issues securities are sufficiently liquid to deter (‘‘Moody’s’’), Standard & Poor’s, Inc. are not allowed in the benchmark. potential manipulation in that a (‘‘S&P’’) and Fitch, Inc. (‘‘Fitch’’). If All bonds must have a fixed rate, a substantial portion (72.21%) of the only two of the three agencies rate the dated-date after December 31, 1990 and Index weight is composed of maturities security, the lower rating is used to a nominal maturity of 1 to 10 years. that are part of a minimum original determine index eligibility. If only Taxable municipal bonds, bonds with principal amount outstanding of $100 one of the three agencies rates a floating rates and derivatives are million or more, and in view of the security, the rating must be Ba1/BB+ excluded from the Index. substantial total dollar amount or lower. Bonds in the Muni High The composition of the Index is outstanding and the average dollar Yield/$100 Million Deal Size Index rebalanced monthly. Interest and amount outstanding of Index issues, as must have an outstanding par value of principal payments earned by the referenced above. at least $3 million and be issued as component securities are held in the In addition, the average daily notional part of a transaction of at least $100 Index without a reinvestment return trading volume for Index components million. until month end when they are removed for the period from October 31, 2011 to —25% weight in Muni High Yield/ from the Index. Qualifying securities October 31, 2012 was $2,839,895 and Under $100 Million Deal Size Index. issued, but not necessarily settled, on or the sum of the notional trading volumes To be included in the Muni High before the month end rebalancing date for the same period was $5,480,997,730. Yield/Under $100 Million Deal Size qualify for inclusion in the Index in the The Index value, calculated and Index, bonds must be unrated or rated following month. disseminated at least once daily, as well Ba1/BB+ or lower by at least two of Total returns are calculated based on as the components of the Index and the following rating agencies if all the sum of price changes, gain/loss on their percentage weighting, will be three rate the bond: Moody’s, S&P and repayments of principal, and coupons received or accrued, expressed as a 16 Commentary .02(a)(2) to NYSE Arca Equities 15 The Index is published by Barclays Capital, Inc. Rule 5.2(j)(3) provides that components that in the (‘‘Index Provider’’). The Index Provider is a percentage of beginning market value. aggregate account for at least 75% of the weight of registered broker-dealer and has implemented a fire The Index is calculated and is available the index or portfolio each shall have a minimum wall with respect to its relevant personnel regarding once a day. original principal amount outstanding of $100 access to information concerning the composition The Exchange is submitting this million or more. 17 and/or changes to the Index. In addition, the Index proposed rule change because the Index Commentary .02(a)(4) to NYSE Arca Equities Provider is affiliated with a broker-dealer and has Rule 5.2(j)(3) provides that no component fixed- implemented a fire wall with respect to its broker- for the Fund does not meet all of the income security (excluding Treasury Securities and dealer affiliate regarding access to information ‘‘generic’’ listing requirements of GSE Securities, as defined therein) shall represent concerning the composition and/or changes to the Commentary .02(a) to NYSE Arca more than 30% of the weight of the index or Index. The Index Provider and its broker-dealer Equities Rule 5.2(j)(3) applicable to the portfolio, and the five most heavily weighted affiliate have implemented procedures designed to component fixed-income securities in the index or prevent the use and dissemination of material, non- listing of Units based on fixed income portfolio shall not in the aggregate account for more public information regarding the Index. securities indexes. The Index meets all than 65% of the weight of the index or portfolio.

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available from major market data Shares only in ‘‘Creation Units’’ of rebalancing of the Fund’s portfolio is vendors. In addition, the portfolio of 100,000 Shares or multiples thereof on required. securities held by the Fund will be a continuous basis through the The Administrator, through the disclosed daily on the Fund’s Web site Distributor, without an initial sales load, National Securities Clearing Corporation at www.marketvectorsetfs.com. at their net asset value (‘‘NAV’’) next (‘‘NSCC’’), will make available on each The Exchange represents that: (1) determined after receipt, on any business day, immediately prior to the Except for Commentary .02(a)(2) to business day, of an order in proper opening of business on the Exchange NYSE Arca Equities Rule 5.2(j)(3), the form. (currently 9:30 a.m. Eastern time), the Shares of the Fund currently satisfy all The consideration for a purchase of list of the names and the required of the generic listing standards under Creation Units generally will consist of principal amounts of each Deposit NYSE Arca Equities Rule 5.2(j)(3); (2) cash, in-kind, or a combination of cash Security to be included in the current the continued listing standards under and in-kind. The in-kind purchase of Fund Deposit (based on information at NYSE Arca Equities Rules 5.2(j)(3) and Creation Units will consist of the the end of the previous business day) as 5.5(g)(2) applicable to Units shall apply deposit of a designated portfolio of fixed well as the Cash Component for the to the Shares; and (3) the Trust is income securities (the ‘‘Deposit Fund. Such Fund Deposit is applicable, required to comply with Rule 10A–3 Securities’’) that compose the Index and subject to any adjustments as described 18 under the Act for the initial and an amount of cash computed as in the Registration Statement, in order continued listing of the Shares. In described below (the ‘‘Cash to effect creations of Creation Units of addition, the Exchange represents that Component’’) or, as permitted or the Fund until such time as the next- the Shares will comply with all other required by the Fund, of the cash value announced Deposit Securities requirements applicable to Units of the Deposit Securities (the ‘‘Deposit composition or the required amount of including, but not limited to, Cash’’) and the Cash Component Deposit Cash, as applicable, is made requirements relating to the computed as described below. When available. dissemination of key information such accepting purchases of Creation Units In addition to the list of names and numbers of securities constituting the as the value of the Index and the for cash, the Fund may incur additional current Deposit Securities of a Fund applicable Intraday Indicative Value costs associated with the acquisition of 19 Deposit, the Administrator, through the (‘‘IIV’’), rules governing the trading of Deposit Securities. equity securities, trading hours, trading NSCC, also will make available (i) on The Cash Component together with halts, surveillance, and the Information each business day, the Dividend the Deposit Securities or the Deposit Bulletin to Equity Trading Permit Equivalent Payment, if any, and the Cash, as applicable, are referred to as Holders (‘‘ETP Holders’’), as set forth in estimated Cash Component effective the ‘‘Fund Deposit,’’ which represents Exchange rules applicable to Units and through and including the previous the minimum initial and subsequent prior Commission orders approving the business day, per outstanding Shares of investment amount for Shares. The generic listing rules applicable to the the Fund, and (ii) on a continuous basis specified Deposit Securities generally listing and trading of Units.20 throughout the day, the Indicative Per The current value of the Index will be will correspond, pro rata, to the extent Share Portfolio Value. widely disseminated by one or more practicable, to the component securities All orders to create Creation Units major market data vendors at least once of the Fund’s portfolio. The Cash must be placed in multiples of 100,000 per day, as required by NYSE Arca Component represents the difference Shares of the Fund. All orders to create Equities Rule 5.2(j)(3), Commentary .02 between the NAV of a Creation Unit and Creation Units must be received by the (b)(ii). The IIV for Shares of the Fund the market value of Deposit Securities Distributor no later than the closing will be disseminated by one or more and may include a ‘‘Dividend time of the close of the NYSE Core major market data vendors, updated at Equivalent Payment’’. The Dividend Trading Session NYSE Arca (‘‘Closing least every 15 seconds during the Equivalent Payment will enable the Time’’, ordinarily 4:00 p.m. Eastern Exchange’s Core Trading Session, as Fund to make a complete distribution of time) on the date such order is placed required by NYSE Arca Equities Rule dividends on the next dividend in order for creation of Creation Units to 5.2(j)(3), Commentary .02 (c). payment date, and is an amount equal, be effected based on the NAV of the on a per Creation Unit basis, to the Fund as determined on such date. Creation and Redemption of Shares dividends on all the securities held by Shares may be redeemed only in According to the Registration the Fund (‘‘Fund Securities’’) with ex- Creation Units at their NAV next Statement, the Fund will issue and sell dividend dates within the accumulation determined after receipt of a redemption period for such distribution (the request in proper form by the 18 17 CFR 240.10A–3. ‘‘Accumulation Period’’), net of Distributor, only on a business day and 19 The IIV will be widely disseminated by one or expenses and liabilities for such period, only through a ‘‘Participating Party’’ or more major market data vendors at least every 15 as if all of the Fund Securities had been seconds during the Exchange’s Core Trading Depository Trust Company (‘‘DTC’’) Session of 9:30 a.m. to 4:00 p.m., Eastern time. held by the Trust for the entire Participant who has executed a Currently, it is the Exchange’s understanding that Accumulation Period. The ‘‘Participant Agreement’’, as described several major market data vendors display and/or Accumulation Period begins on the ex- in the Registration Statement. The Trust make widely available IIVs taken from the dividend date for the Fund and ends on Consolidated Tape Association (‘‘CTA’’) or other will not redeem Shares in amounts less data feeds. the next ex-dividend date. than Creation Units. 20 See, e.g., Securities Exchange Act Release Nos. The Trust may determine to issue The Administrator, through NSCC, 55783 (May 17, 2007), 72 FR 29194 (May 24, 2007) Shares on an all cash basis (i.e., in will make available immediately prior (SR–NYSEArca–2007–36) (order approving NYSE exchange for the Deposit Cash and the to the opening of business on the Arca generic listing standards for Units based on a fixed income index); 44551 (July 12, 2001), 66 FR Cash Component) if the Trust and the Exchange (currently 9:30 a.m. Eastern 37716 (July 19, 2001) (SR–PCX–2001–14) (order Adviser believe such method would time) on each day that the Exchange is approving generic listing standards for Units and substantially minimize the Fund’s open for business, the Fund Securities Portfolio Depositary Receipts); 41983 (October 6, that will be delivered to satisfy (subject 1999), 64 FR 56008 (October 15, 1999) (SR–PCX– transactional costs or would enhance 98–29) (order approving rules for listing and trading the Fund’s operational efficiencies. This to possible amendment or correction) of Units). may occur on days when a substantial redemption requests received in proper

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form (as defined below) on that day. The Units of the Fund will instead be securities laws.22 The Exchange Fund Securities generally will effected through transfer of Creation represents that these procedures are correspond, pro rata, to the extent Units of the Fund directly through DTC. adequate to properly monitor Exchange practicable, to the component securities An order to redeem Creation Units of trading of the Shares in all trading of the Fund’s portfolio. If the Trust the Fund will be deemed received by sessions and to deter and detect determines, based on information the Administrator on the ‘‘Transmittal violations of Exchange rules and available to the Trust when a Date’’ if (i) such order is received by the applicable federal securities laws. The redemption request is submitted by an Administrator not later than 4:00 p.m. surveillances referred to above generally Authorized Participant, that (i) the short Eastern time on such Transmittal Date; focus on detecting securities trading interest of the Fund in the marketplace (ii) such order is preceded or outside their normal patterns, which is greater than or equal to 100% and (ii) accompanied by the requisite number of could be indicative of manipulative or redemption orders in the aggregate from Shares of Creation Units specified in other violative activity. When such all Authorized Participants on a such order, which delivery must be situations are detected, surveillance business day represent 25% or more of made through DTC to the Administrator analysis follows and investigations are the outstanding Shares of the Fund, no later than 11:00 a.m. Eastern time, on opened, where appropriate, to review such Authorized Participant will be such Transmittal Date (the ‘‘DTC Cut- the behavior of all relevant parties for required to verify to the Trust the Off-Time’’); and (iii) all other all relevant trading violations. FINRA, accuracy of its representations that are procedures set forth in the Participant on behalf of the Exchange, will deemed to have been made by Agreement are properly followed. communicate as needed regarding submitting a request for redemption. If, A standard creation and redemption trading in the Shares with other markets after receiving notice of the verification transaction fee will be imposed to offset that are members of the Intermarket requirement, the Authorized Participant transfer and other transaction costs that Surveillance Group (‘‘ISG’’) or with does not verify the accuracy of its may be incurred by the Fund. which the Exchange has in place a representations that are deemed to have All persons creating and redeeming comprehensive surveillance sharing been made by submitting a request for Shares during a business day will be agreement. The Index Provider is not a redemption in accordance with this treated in the same manner with respect broker-dealer or affiliated with a broker- requirement, its redemption request will to payment of proceeds in-kind, in cash, dealer and has implemented procedures be considered not to have been received or in a combination thereof. designed to prevent the use and in proper form. Detailed descriptions of the Fund, the dissemination of material, non-public Unless cash redemptions are Index, procedures for creating and information regarding the Index. As of permitted or required for the Fund, the redeeming Shares, transaction fees and December 31, 2012, there were redemption proceeds for a Creation Unit expenses, dividends, distributions, approximately 1935 issues in the Index. generally will consist of Fund Securities taxes, risks, and reports to be distributed The Index meets all such requirements as announced by the Administrator on to beneficial owners of the Shares can except for those set forth in the business day of the request for be found in the Registration Statements Commentary .02(a)(2).23 Specifically, as redemption, plus cash in an amount or on the Web site for the Fund of November 27, 2012, 15.66% of the equal to the difference between the NAV weight of the Index components have a of the Shares being redeemed, as next (www.marketvectorsetfs.com), as applicable. minimum original principal amount determined after a receipt of a request outstanding of $100 million or more. in proper form, and the value of the 2. Statutory Basis As of November 27, 2012, 72.21% of Fund Securities, less the redemption The basis under the Act for this the weight of the Index components was transaction fee and variable fees proposed rule change is the requirement composed of individual maturities that described below. An Authorized 21 were part of an entire municipal bond Participant may receive the cash under Section 6(b)(5) that an offering with a minimum original equivalent of one or more Fund exchange have rules that are designed to principal amount outstanding of $100 Securities because it was restricted from prevent fraudulent and manipulative million or more for all maturities of the transacting in one or more Fund acts and practices, to promote just and offering. In addition, the total dollar Securities. Should the Fund Securities equitable principles of trade, to remove amount outstanding of issues in the have a value greater than the NAV of the impediments to, and perfect the Shares being redeemed, a compensating mechanism of a free and open market Index was approximately $757 billion cash payment to the Trust equal to the and, in general, to protect investors and and the average dollar amount differential plus the applicable the public interest. outstanding of issues in the Index was redemption transaction fee will be The Exchange believes that the approximately $394 million. Further, required to be arranged for by or on proposed rule change is designed to the most heavily weighted component behalf of the redeeming shareholder. prevent fraudulent and manipulative represents 2.67% of the weight of the The Fund reserves the right to honor a acts and practices in that the Shares will Index and the five most heavily redemption request by delivering a be listed and traded on the Exchange weighted components represent 10.67% 24 basket of securities or cash that differs pursuant to the initial and continued of the weight of the Index. Therefore, from the Fund Securities. listing criteria in NYSE Arca Equities the Exchange believes that, Orders to redeem Creation Units of Rule 5.2(j)(3). The Exchange represents notwithstanding that the Index does not the Fund must be delivered through a that trading in the Shares will be subject satisfy the criterion in NYSE Arca DTC Participant that has executed the to the existing trading surveillances, Equities Rule 5.2(j)(3), Commentary Participant Agreement with the administered by the Financial Industry .02 (a)(2), the Index is sufficiently Distributor and with the Trust. A DTC Regulatory Authority (‘‘FINRA’’) on Participant who wishes to place an behalf of the Exchange, which are 22 FINRA surveils trading on the Exchange designed to detect violations of pursuant to a regulatory services agreement. The order for redemption of Creation Units Exchange is responsible for FINRA’s performance of the Fund to be effected need not be Exchange rules and applicable federal under this regulatory services agreement. a Participating Party, but such orders 23 See note 15 [sic] and accompanying text, supra. must state that redemption of Creation 21 15 U.S.C. 78f(b)(5). 24 See note 16 [sic], supra.

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broad-based to deter potential or more major market data vendors at trading in the Shares and may obtain manipulation, given that it is composed least once per day. Information information via ISG from other of approximately 1,935 issues. In regarding market price and trading exchanges that are members of ISG or addition, the Index securities are volume of the Shares will be continually with which the Exchange has entered sufficiently liquid to deter potential available on a real-time basis throughout into a comprehensive surveillance manipulation in that a substantial the day on brokers’ computer screens sharing agreement. In addition, portion (72.21%) of the Index weight is and other electronic services, and investors will have ready access to composed of maturities that are part of quotation and last sale information will information regarding the IIV and a minimum original principal amount be available via the CTA high-speed quotation and last sale information for outstanding of $100 million or more, line. The Web site for the Fund will the Shares. and in view of the substantial total include the prospectus for the Fund and B. Self-Regulatory Organization’s dollar amount outstanding and the additional data relating to NAV and Statement on Burden on Competition average dollar amount outstanding of other applicable quantitative Index issues, as referenced above. In information. Moreover, prior to the The Exchange does not believe that addition, the average daily notional commencement of trading, the Exchange the proposed rule change will impose trading volume for Index components will inform its ETP Holders in an any burden on competition that is not for the period from October 31, 2011 to Information Bulletin of the special necessary or appropriate in furtherance October 31, 2012 was $2,839,895.20 and characteristics and risks associated with of the purpose of the Act. The Exchange the sum of the notional trading volumes trading the Shares. If the Exchange notes that the proposed rule change will for the same period was approximately becomes aware that the NAV is not facilitate the listing and trading of an $5,480,997,730. The Index value, being disseminated to all market additional type of exchange-traded calculated and disseminated at least participants at the same time, it will halt product that holds municipal bonds and once daily, as well as the components trading in the Shares until such time as that will enhance competition among of the Index and their respective the NAV is available to all market market participants, to the benefit of percentage weightings, will be available participants. With respect to trading investors and the marketplace. from major market data vendors. In halts, the Exchange may consider all C. Self-Regulatory Organization’s addition, the portfolio of securities held relevant factors in exercising its Statement on Comments on the by the Fund will be disclosed on the discretion to halt or suspend trading in Proposed Rule Change Received From Fund’s Web site. The IIV for Shares of the Shares of the Fund. Trading also Members, Participants, or Others the Fund will be disseminated by one or may be halted because of market more major market data vendors, conditions or for reasons that, in the No written comments were solicited updated at least every 15 seconds view of the Exchange, make trading in or received with respect to the proposed during the Exchange’s Core Trading the Shares inadvisable. If the IIV or the rule change. Session, According to the Registration Index values are not being disseminated III. Date of Effectiveness of the Statements, The Adviser represents that as required, the Corporation may halt Proposed Rule Change and Timing for bonds that share similar characteristics trading during the day in which the Commission Action tend to trade similarly to one another; interruption to the dissemination of the therefore, within these categories, the applicable IIV or Index value occurs. If Within 45 days of the date of issues may be considered fungible from the interruption to the dissemination of publication of this notice in the Federal a portfolio management perspective. the applicable IIV or Index value Register or within such longer period Within a single municipal bond issuer, persists past the trading day in which it up to 90 days (i) as the Commission may the Adviser represents that separate occurred, the Corporation will halt designate if it finds such longer period issues by the same issuer are also likely trading. Trading in Shares of the Fund to be appropriate and publishes its to trade similarly to one another. In will be halted if the circuit breaker reasons for so finding or (ii) as to which addition, the Adviser represents that parameters in NYSE Arca Equities Rule the self-regulatory organization individual CUSIPs within the Index that 7.12 have been reached or because of consents, the Commission will: (A) By order approve or disapprove share characteristics with other CUSIPs market conditions or for reasons that, in the proposed rule change, or have a high yield to maturity the view of the Exchange, make trading (B) institute proceedings to determine correlation, and frequently have a in the Shares inadvisable, and trading in whether the proposed rule change correlation of one or close to one. the Shares will be subject to NYSE Arca should be disapproved. The proposed rule change is designed Equities Rule 7.34, which sets forth to promote just and equitable principles circumstances under which Shares of IV. Solicitation of Comments of trade and to protect investors and the the Fund may be halted. In addition, Interested persons are invited to public interest. In addition, a large investors will have ready access to submit written data, views, and amount of information is publicly information regarding the IIV, and arguments concerning the foregoing, available regarding the Fund and the quotation and last sale information for including whether the proposed rule Shares, thereby promoting market the Shares. change is consistent with the Act. transparency. The Fund’s portfolio The proposed rule change is designed Comments may be submitted by any of holdings will be disclosed on the Fund’s to perfect the mechanism of a free and the following methods: Web site daily after the close of trading open market and, in general, to protect on the Exchange and prior to the investors and the public interest in that Electronic Comments opening of trading on the Exchange the it will facilitate the listing and trading • Use the Commission’s Internet following day. Moreover, the IIV will be of an additional type of exchange-traded comment form (http://www.sec.gov/ widely disseminated by one or more product that will enhance competition rules/sro.shtml); or major market data vendors at least every among market participants, to the • Send an email to rule-comments@ 15 seconds during the Exchange’s Core benefit of investors and the marketplace. sec.gov. Please include File No. SR– Trading Session. The current value of As noted above, the Exchange has in NYSEArca–2013–118 on the subject the Index will be disseminated by one place surveillance procedures relating to line.

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Paper Comments SECURITIES AND EXCHANGE the qualification, listing and delisting of securities of issuers on the Exchange.3 • COMMISSION Send paper comments in triplicate More recently, the Exchange received to Elizabeth M. Murphy, Secretary, [Release No. 34–70865; File No. SR–BATS– 2013–057] approval to operate a program that is Securities and Exchange Commission, designed to incentivize certain market 100 F Street NE., Washington, DC Self-Regulatory Organizations; BATS makers registered with the Exchange as 20549–1090. Exchange, Inc.; Notice of Filing and Competitive Liquidity Providers All submissions should refer to File No. Immediate Effectiveness of a Proposed (‘‘CLPs’’) to enhance liquidity on the SR–NYSEArca–2013–118. This file Rule Change To Amend the BATS Exchange in Exchange-listed securities number should be included on the Competitive Liquidity Provider (the ‘‘Competitive Liquidity Provider 4 subject line if email is used. To help the Program Program’’ or ‘‘CLP Program’’). The Commission process and review your Exchange subsequently adopted November 13, 2013. financial incentives for the CLP comments more efficiently, please use Pursuant to Section 19(b)(1) of the Program5 and thereafter amended only one method. The Commission will Securities Exchange Act of 1934 (the certain of the financial incentives and post all comments on the Commission’s 1 2 ‘‘Act’’), and Rule 19b–4 thereunder, criteria for the CLP Program.6 Web site (http://www.sec.gov/rules/ notice is hereby given that on November sro.shtml). Copies of the submission, all 12, 2013, BATS Exchange, Inc. (the The purpose of this filing is to modify subsequent amendments, all written ‘‘Exchange’’ or ‘‘BATS’’) filed with the Interpretation and Policy .02 of Rule statements with respect to the proposed Securities and Exchange Commission 11.8 regarding certain details around the rule change that are filed with the (‘‘Commission’’) the proposed rule implementation of the CLP Program. Commission, and all written change as described in Items I and II Specifically, effective December 1, 2013, the Exchange proposes to: (1) Award up communications relating to the below, which Items have been prepared to three CLPs, or more in the case of a proposed rule change between the by the Exchange. The Commission is tie, at each size event test (‘‘SET’’) with Commission and any person, other than publishing this notice to solicit comments on the proposed rule change credits (‘‘SET Credits’’) based on their those that may be withheld from the from interested persons. rank in aggregate size at the NBB or public in accordance with the NBO at the time of the SET; (2) base the provisions of 5 U.S.C. 552, will be I. Self-Regulatory Organization’s allocation of daily financial rewards on available for Web site viewing and Statement of the Terms of Substance of the number of SET Credits awarded to printing in the Commission’s Public the Proposed Rule Change CLPs; (3) change the allocation of the Reference Room, 100 F Street NE., The Exchange filed a proposal to daily financial rewards to a set dollar Washington, DC 20549, on official amend Interpretation and Policy .02 to value per CLP in each class of security; business days between the hours of Rule 11.8, entitled ‘‘Competitive and (4) make certain cleanup and 10:00 a.m. and 3:00 p.m. Copies of such Liquidity Provider Program.’’ clarifying changes to Interpretation and filing also will be available for The text of the proposed rule change Policy .02 to Rule 11.8. inspection and copying at the principal is available at the Exchange’s Web site office of the Exchange. All comments at http://www.batstrading.com, at the Increasing Winning SETs and Awarding SET Credits received will be posted without change; principal office of the Exchange, and at the Commission’s Public Reference the Commission does not edit personal The Exchange is proposing to award Room. identifying information from Winning Bid SETs7 and Winning Offer submissions. You should submit only II. Self-Regulatory Organization’s SETs8 (collectively, ‘‘Winning SETs’’) information that you wish to make Statement of the Purpose of, and along with SET Credits to at least three available publicly. All submissions Statutory Basis for, the Proposed Rule CLPs each for the bid (‘‘Bid SET should refer to File No. SR–NYSEArca– Change Credits’’) and offer (‘‘Offer SET Credits’’) 2013–118 and should be submitted on In its filing with the Commission, the based on a CLP’s rank in aggregate size or before December 10, 2013. Exchange included statements at the NBB or NBO at the time of a SET. Currently, only the CLP with the For the Commission, by the Division of concerning the purpose of and basis for greatest aggregate size at the NBB and Trading and Markets, pursuant to delegated the proposed rule change and discussed authority.25 any comments it received on the the CLP with the greatest aggregate size at the NBO at the time of a SET are Kevin M. O’Neill, proposed rule change. The text of these statements may be examined at the considered to have a Winning Bid SET Deputy Secretary. places specified in Item IV below. The and a Winning Offer SET, respectively. [FR Doc. 2013–27667 Filed 11–18–13; 8:45 am] Exchange has prepared summaries, set BILLING CODE 8011–01–P forth in Sections A, B, and C below, of 3 See Securities Exchange Act Release No. 65225 the most significant parts of such (August 30, 2011), 76 FR 55148 (September 6, 2011) (SR–BATS–2011–018). statements. 4 See Securities Exchange Act Release No. 66307 (A) Self-Regulatory Organization’s (February 2, 2012), 77 FR 6608 (February 8, 2012) (SR–BATS–2011–051). Statement of the Purpose of, and 5 See Securities Exchange Act Release No. 66427 Statutory Basis for, the Proposed Rule (February 21, 2012), 77 FR 11608 (February 27, Change 2012) (SR–BATS–2012–011). 6 See Securities Exchange Act Release Nos. 67854 1. Purpose (September 13, 2012), 77 FR 58198 (September 19, On August 30, 2011, the Exchange 2012) (SR–BATS–2012–036) and 69190 (March 20 2013), 78 FR 18384 (March 26, 2013) (SR–BATS– received approval of rules applicable to 2013–005). 7 As defined in Interpretation and Policy .02 (g)(1) 1 15 U.S.C. 78s(b)(1). to BATS Rule 11.8. 25 17 CFR 200.30–3(a)(12). 2 17 CFR 240.19b–4. 8 Id.

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CLPs are not currently awarded SET CLPs have greater aggregate size at the BATS Rule 11.8 in order to allocate the Credits. NBB than the 900 shares posted by daily financial rewards to CLPs on a The Exchange is proposing to amend CLP5. pre-determined basis rather than on a Interpretation and Policy .02(g)(1) to The above examples would operate in pro rata basis. Specifically, the Rule 11.8 such that the three CLPs with an identical fashion for the NBO. Exchange is proposing to allocate the the greatest aggregate size at the NBB daily financial rewards as follows: (i) Determining the Recipients of the Daily and the three CLPs with the greatest For the six months after initial listing on Financial Rewards aggregate size at the NBO at the time of the Exchange in Tier I securities, the each SET will be considered to have a The Exchange is also proposing to CLPs with the most and second most Winning SET. Where there is a tie, all amend its Rules in order to base the SET Credits will receive $150 and $100, CLPs with the same aggregate size at the allocation of daily financial rewards respectively, for both the bid and the NBB (NBO) will be considered to have associated with the CLP Program on offer; and (ii) for Tier I securities that a Winning Bid (Offer) SET if there are SET Credits instead of Winning SETs. have been listed on the Exchange for two or less CLPs that have greater Currently, the daily financial reward for more than six months and for ETPs, the aggregate size at the NBB (NBO). Tier I securities 9 and ETPs 10 is awarded CLPs with the most and second most Additionally, all CLPs with a Winning to the two CLPs with the most Winning SET Credits will receive $75 and $50, SET will be awarded SET Credits based Bid SETs and the two CLPs with the respectively, for both the bid and the on the following: all CLPs with the most Winning Offer SETs. For Tier II offer. For Tier II securities, the CLP with greatest aggregate size at the NBB or securities,11 the daily financial reward the most SET Credits will continue to NBO will receive three SET Credits; all is awarded to the CLP with the most receive 100% of the daily financial CLPs with the second greatest aggregate Winning Bid SETS and the CLP with the reward for both the bid and the offer. size at the NBB or NBO will receive two most Winning Offer SETs. Cleanup Changes SET Credits; and all CLPs with the third The Exchange proposes to amend greatest aggregate size at the NBB will Interpretation and Policy .02 (k)(1) of The Exchange also proposes to make receive one SET Credit. BATS Rule 11.8 to provide that the several cleanup and clarifying changes For example: daily financial reward for all securities to Interpretation and Policy .02 of BATS participating in the Program will be Rule 11.8. These changes include the CLP Shares at NBB based on SET Credits. Specifically, the following: (i) adding ‘‘the time of’’ Exchange proposes that the daily between ‘‘aggregate size at the NBB at’’ CLP1 ...... 1,000 financial reward for Tier I securities and and ‘‘each SET’’ to paragraph (g)(1); (ii) CLP2 ...... 900 ETPs be awarded to the two CLPs with adding ‘‘the time of’’ between ‘‘aggregate CLP3 ...... 800 size at the NBO at’’ and ‘‘each SET’’ to CLP4 ...... 800 the most Bid SET Credits and the two CLPs with the most Offer SET Credits paragraph (g)(1); (iii) adding the word and for the daily financial reward for ‘‘to’’ between the words ‘‘order’’ and Here, all four CLPs will have a ‘‘meet’’ in paragraph (g)(1)(A); (iv) to Winning Bid SET because CLP1 and Tier II securities to be awarded to the CLP with the most Bid Set Credits and capitalize the ‘‘b’’ in each instance of CLP2 are both two of the top three CLPs ‘‘bid SET’’ that is not capitalized in with the greatest aggregate size at the the CLP with the most Offer SET Credits. The Exchange notes that it is paragraph (k)(1); and (v) to capitalize NBB, while CLP3 and CLP4 are tied at the ‘‘o’’ in each instance of ‘‘offer SET’’ 800 shares and there are only two CLPs not proposing to change the daily quoting requirement that a CLP have that is not capitalized in paragraph that have greater aggregate size at the (k)(1). NBB than 800 shares. CLP1 would Winning Bid SETs or Winning Offer receive three Bid SET Credits, CLP2 SETs equal to at least 10% of the total 2. Statutory Basis Bid SETs or total Offer SETs in a would receive two Bid SET Credits, and The Exchange believes that its security in order to be eligible for the CLP3 and CLP4 would each receive one proposal is consistent with the daily financial reward. Bid SET Credit. requirements of the Act and the rules However, if CLP3 had 900 shares at Allocating the Daily Financial Rewards and regulations thereunder that are the NBB and all other CLPs remained The Exchange also proposes to change applicable to a national securities the same, only CLP1, CLP2, and CLP3 the allocation of the daily financial exchange, and, in particular, with the would have a Winning SET because rewards to a specified amount per CLP requirements of Section 6(b) of the CLP2 and CLP3 would be tied and there 12 in each class of security. Currently, the Act. In particular, the proposal is is only one CLP that has greater daily financial rewards for Tier I consistent with Section 6(b)(5) of the aggregate size than 900 shares (CLP1). 13 securities and ETPs are allocated to the Act, because it would promote just CLP4 would have the fourth greatest two CLPs with the most Winning Bid and equitable principles of trade, aggregate size at the NBB among CLPs SETs and the two CLPs with the most remove impediments to, and perfect the and thus would not qualify for a Winning Offer SETs on a pro rata basis, mechanism of, a free and open market Winning SET. In this instance, CLP1 based on the combined sum of the two and a national market system. The would receive three Bid SET Credits, CLPs’ Winning SETs. The financial Exchange also believes that the CLP2 and CLP3 would each receive two rewards for Tier II securities are combination of fixed financial rewards Bid SET Credits, and CLP4 would not allocated to the single CLP with the (rather than awarding financial rewards receive any Bid SET Credits. most Winning Bid SETs and the single on a pro rata basis) and awarding SET Finally, if CLP1, CLP2, CLP3, and CLP with the most Winning Offer SETs. Credits to three CLPs per SET for the bid CLP4 all had 1,000 shares at the NBB, The Exchange proposes to amend and offer will promote tighter spreads the four CLPs would each receive three Interpretation and Policy .02 (k)(1) of and deeper liquidity for all market Bid SET Credits. In this scenario, if participants by incentivizing multiple another CLP (‘‘CLP5’’) had 900 shares at 9 As defined in BATS Rule 14.8. CLPs to quote at the NBBO. More the NBB, CLP5 would not qualify for a 10 As defined in Interpretation and Policy Winning SET and would not receive any .02(d)(2) of BATS Rule 11.8. 12 15 U.S.C. 78f(b). Bid SET Credits because more than two 11 As defined in BATS Rule 14.9. 13 15 U.S.C. 78f(b)(5).

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specifically, the Exchange believes that III. Date of Effectiveness of the Electronic Comments implementing fixed financial rewards Proposed Rule Change and Timing for • will incentivize additional CLPs to Commission Action Use the Commission’s Internet continue to provide liquidity even comment form (http://www.sec.gov/ where one CLP is winning the majority Because the proposed rule change rules/sro.shtml); or does not: (i) Significantly affect the of SETs, while awarding three CLPs • Send an email to rule-comments@ protection of investors or the public with SET Credits for each SET will sec.gov. Please include File No. SR– interest; (ii) impose any significant incentivize multiple CLPs to add BATS–2013–057 on the subject line. liquidity at or inside the NBBO even if burden on competition; and (iii) become another CLP consistently has greater operative for 30 days from the date on Paper Comments which it was filed, or such shorter time liquidity at the NBBO than the other as the Commission may designate, if • Send paper comments in triplicate CLP. The Exchange believes that this consistent with the protection of to Elizabeth M. Murphy, Secretary, will foster greater competition and investors and the public interest, the Securities and Exchange Commission, participation among CLPs which, as proposed rule change has become 100 F Street NE., Washington, DC outlined above, will enhance market effective pursuant to Section 19(b)(3)(A) 20549–1090. quality to the benefit of all market 15 of the Act and Rule 19b–4(f)(6) All submissions should refer to File participants. 16 thereunder. No. SR–BATS–2013–057. This file Further, the Exchange believes that The Exchange has requested that the the proposed rule change is consistent number should be included on the 14 Commission waive the 30-day operative subject line if email is used. To help the with Section 6(b)(4) of the Act, in that delay so that the proposal may become it provides for the equitable allocation Commission process and review your operative on December 1, 2013. The comments more efficiently, please use of reasonable dues, fees and other Commission believes that waiving the charges, and is not unfairly only one method. The Commission will 30-day operative delay is consistent post all comments on the Commission’s discriminatory. The Exchange believes with the protection of investors and the that the proposed changes are Internet Web site (http://www.sec.gov/ public interest. Doing so will allow the rules/sro.shtml). Copies of the reasonable and equitably allocated Exchange to promptly implement the submission, all subsequent because, while the proposal does lower proposed amendments to the CLP amendments, all written statements the potential high-end of the daily Program, which amendments the financial reward available to the CLP Exchange believes will benefit both with respect to the proposed rule with the most SET Credits, it will CLPs and market participants generally change that are filed with the incentivize additional CLPs to continue by incentivizing CLPs to provide tighter Commission, and all written to provide liquidity even where one CLP spreads and deeper liquidity, as well as communications relating to the is winning the majority of SETs, which, by providing additional clarity around proposed rule changes between the as described above, will foster greater existing Exchange rules. Therefore, the Commission and any person, other than competition among CLPs and enhance Commission hereby waives the 30-day those that may be withheld from the market quality to the benefit of all operative delay and designates the public in accordance with the market participants. The Exchange also proposal operative upon filing.17 provisions of 5 U.S.C. 552, will be believes that the proposal is not unfairly available for Web site viewing and discriminatory because registration as a At any time within 60 days of the filing of the proposed rule change, the printing in the Commission’s Public market maker and, in turn, a CLP, is Reference Room, 100 F Street NE., equally available to all Members that Commission summarily may Washington, DC 20549, on official satisfy the requirements of Rule 11.8. temporarily suspend such rule change if it appears to the Commission that such business days between the hours of (B) Self-Regulatory Organization’s action is necessary or appropriate in the 10:00 a.m. and 3:00 p.m. Copies of such Statement on Burden on Competition public interest, for the protection of filing will also be available for investors, or otherwise in furtherance of inspection and copying at the principal The Exchange does not believe that the purposes of the Act. office of the Exchange. All comments the proposed rule change will impose received will be posted without change; IV. Solicitation of Comments any burden on competition not the Commission does not edit personal necessary or appropriate in furtherance Interested persons are invited to identifying information from of the purposes of the Act. The submit written data, views and submissions. You should submit only Exchange believes that the proposal will arguments concerning the foregoing, merely improve the incentives and, in information that you wish to make including whether the proposal is turn, the results, of its CLP Program. available publicly. All submissions consistent with the Act. Comments may The Exchange believes that the should refer to File No. SR–BATS– be submitted by any of the following proposed changes will enhance 2013–057 and should be submitted on methods: competition amongst participants in the or before December 10, 2013. CLP Program. For the Commission, by the Division of 15 15 U.S.C. 78s(b)(3)(A). Trading and Markets, pursuant to delegated (C) Self-Regulatory Organization’s 16 17 CFR 240.19b–4(f)(6). In addition, Rule 19b– authority.18 Statement on Comments on the 4(f)(6) requires a self-regulatory organization to give the Commission written notice of its intent to file Kevin M. O’Neill, Proposed Rule Change Received From the proposed rule change at least five business days Members, Participants or Others prior to the date of filing of the proposed rule Deputy Secretary. change, or such shorter time as designated by the [FR Doc. 2013–27631 Filed 11–18–13; 8:45 am] Commission. The Exchange has satisfied this The Exchange has neither solicited BILLING CODE 8011–01–P nor received written comments on the requirement. proposed rule change. 17 For purposes only of waiving the 30-day operative delay, the Commission has considered the proposed rule’s impact on efficiency, competition, 14 15 U.S.C. 78f(b)(4). and capital formation. See 15 U.S.C. 78c(f). 18 17 CFR 200.30–3(a)(12).

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SECURITIES AND EXCHANGE forth in sections A, B, and C below, of the applicable rate by the number of COMMISSION the most significant parts of such shares of displayed liquidity provided statements. to which a particular rate applies.6 [Release No. 34–70860; File No. SR– Currently, a member receives an NBBO NASDAQ–2013–138] A. Self-Regulatory Organization’s Statement of the Purpose of, and the Setter Incentive credit at a $0.0005 rate Self-Regulatory Organizations; The Statutory Basis for, the Proposed Rule with respect to orders that qualify for NASDAQ Stock Market LLC; Notice of Change the NBBO Setter Incentive Program (i.e., Filing and Immediate Effectiveness of displayed orders with a size of at least Proposed Rule Change To Make 1. Purpose one round lot that set the NBBO or join Modifications to Fees and Rebates QMM and NBBO Setter Incentive another trading center at the NBBO) and Under Rules 7014 and 7018 Programs that are entered through a QMM MPID; provided that the QMM also has a November 13, 2013. Under NASDAQ’s QMM Program, a volume of liquidity provided through Pursuant to Section 19(b)(1) of the member may be designated as a QMM the QMM MPID (as a percentage of Securities Exchange Act of 1934 with respect to one or more of its market Consolidated Volume 7) that exceeds the (‘‘Act’’),1 and Rule 19b-4 thereunder,2 participant identifiers (‘‘MPIDs’’) if: • lesser of the volume of liquidity notice is hereby given that on November The member is not assessed any provided through such QMM MPID 1, 2013, The NASDAQ Stock Market ‘‘Excess Order Fee’’ under Rule 7018 during the first month in which the 3 LLC (‘‘NASDAQ’’ or the ‘‘Exchange’’) during the month; and MPID qualified as a QMM MPID (as a • Through such MPID the member filed with the Securities and Exchange percentage of Consolidated Volume) or quotes at the national best bid or best Commission (‘‘Commission’’) a 1.0% of Consolidated Volume.8 If a offer (‘‘NBBO’’) at least 25% of the time proposed rule change as described in QMM does not satisfy these volume during regular market hours 4 in an Items I, II and III below, which Items requirements, it receives an NBBO average of at least 1,000 securities per have been prepared by the Exchange. Setter Incentive credit of $0.0002 per day during the month.5 The Commission is publishing this share executed with respect to orders A member that is a QMM with respect notice to solicit comments on the that qualify for the NBBO Setter to a particular MPID (a ‘‘QMM MPID’’) proposed rule change from interested Incentive Program. is eligible to receive certain financial persons. NASDAQ is proposing to modify the benefits, as fully described in Rule 7014. program to eliminate the $0.0005 credit, I. Self-Regulatory Organization’s One of these benefits pertains to the such that a credit of $0.0002 per share Statement of the Terms of Substance of credits available under NASDAQ’s executed would be paid with respect to the Proposed Rule Change NBBO Setter Incentive Program. Under all orders entered through a QMM MPID that program, NASDAQ provides an NASDAQ proposes to make that displayed a quantity of at least one enhanced liquidity provider rebate with modifications to its Qualified Market round lot at the time of execution and respect to displayed liquidity-providing Maker (‘‘QMM’’) and NBBO Setter either established the NBBO or was the orders that set the NBBO or cause Incentive pricing incentive programs first order posted on NASDAQ that had NASDAQ to join another trading center under Rule 7014 and the pricing for its the same price as an order posted at with a protected quotation at the NBBO. Retail Price Improvement (‘‘RPI’’) another trading center with a protected The NBBO Setter Incentive credit is program under Rule 7018(g), and to quotation that established the NBBO. paid on a monthly basis, and the make other changes to NASDAQ’s The change reflects ongoing efforts to amount is determined by multiplying schedule of fees and credits applicable reduce costs in a period of persistent to execution and routing of orders in low trading volumes. securities priced at $1 or more per 3 Rule 7018(m). In 2012, NASDAQ introduced an share. NASDAQ proposes to implement Excess Order Fee, aimed at reducing inefficient Retail Price Improvement Program order entry practices of certain market participants the proposed rule change on November that place excessive burdens on the systems of Pricing 1, 2013. The text of the proposed rule NASDAQ and its members and that may negatively Under the RPI Program, a member (or change is available on the Exchange’s impact the usefulness and life cycle cost of market a division thereof) approved by the Web site at http:// data. In general, the determination of whether to impose the fee on a particular MPID is made by Exchange to participate in the program nasdaq.cchwallstreet.com, at the calculating the ratio between (i) entered orders, (a ‘‘Retail Member Organization’’ or principal office of the Exchange, and at weighted by the distance of the order from the ‘‘RMO’’) may submit designated ‘‘Retail the Commission’s Public Reference NBBO, and (ii) orders that execute in whole or in Orders’’ 9 for the purpose of seeking Room. part. The fee is imposed on MPIDs that have an ‘‘Order Entry Ratio’’ of more than 100. II. Self-Regulatory Organization’s 4 Defined as 9:30 a.m. through 4:00 p.m., or such 6 The credit is in addition to any other credit for which the member may qualify; provided, however, Statement of the Purpose of, and shorter period as may be designated by NASDAQ on a day when the securities markets close early that if a QMM is eligible to receive both an NBBO Statutory Basis for, the Proposed Rule (such as the day after Thanksgiving). Setter Incentive credit and a credit under Change 5 A member MPID is considered to be quoting at NASDAQ’s Investor Support Program, it will receive the larger of these two credits but not both. In its filing with the Commission, the NBBO if it has a displayed order (other than a Designated Retail Order, as defined in Rule 7018) In addition, a member is not eligible to receive an NASDAQ included statements at either the national best bid or the national best NBBO Setter Incentive credit with respect to a concerning the purpose of, and basis for, offer or both the national best bid and offer. On a Designated Retail Order. the proposed rule change and discussed daily basis, NASDAQ will determine the number of 7 ‘‘Consolidated Volume’’ means the consolidated volume reported to all consolidated transaction any comments it received on the securities in which the member satisfied the 25% NBBO requirement. To qualify for QMM reporting plans by all exchanges and trade reporting proposed rule change. The text of those designation, the MPID must meet the requirement facilities during a month. statements may be examined at the for an average of 1,000 securities per day over the 8 QMMs have also received the $0.0005 per share places specified in Item IV below. The course of the month. Thus, if a member MPID rate during the first month in which an MPID Exchange has prepared summaries, set satisfied the 25% NBBO requirement in 900 becomes a QMM MPID. securities for half the days in the month, and 9 A Retail Order is defined in NASDAQ Rule satisfied the requirement for 1,100 securities for the 4780(a)(2) as an agency or riskless principal order 1 15 U.S.C. 78s(b)(1). other days in the month, it would meet the that originates from a natural person and is 2 17 CFR 240.19b–4. requirement for an average of 1,000 securities. submitted to Nasdaq by a Retail Member

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price improvement. All NASDAQ contracts per day executed during the classes in a month.12 NASDAQ is members may enter retail price month through one or more of its NOM proposing to modify the criterion for improvement orders (‘‘RPI Orders’’),10 a MPIDs. NASDAQ is proposing a new this tier pertaining to Consolidated form of non-displayed orders that are tier under which it will also provide a Volume by reducing the required priced more aggressively than the credit of $0.0029 per share executed for percentage from 0.45% to 0.40%. Protected NBBO by at least $0.001 per displayed orders that provide liquidity As with existing tiers that require share, for the purpose of offering such if a member (i) has shares of liquidity participation in both the Nasdaq Market price improvement. RMOs may use two provided in all securities during the Center and NOM, these tiers recognize types of Retail Order. A Type 1 Retail month representing more than 0.10% of the prevalence of trading in which Order is eligible to execute only against Consolidated Volume during the month, members simultaneously trade different RPI Orders and other orders (such as through one or more of its Nasdaq asset classes within the same strategy. midpoint pegged orders) that will Market Center MPIDs, and (ii) adds Because cash equities and options provide price improvement. Type 2 Total NOM Market Maker Volume, as markets are linked, with liquidity and Retail Orders interact first with defined in Chapter XV, Section 2 of the trading patterns on one market affecting available RPI Orders and other price NOM rules, of 90,000 or more contracts those on the other, NASDAQ believes improving orders, and then are eligible per day executed during the month that pricing incentives that encourage to access non-price improving liquidity through one or more of its NOM MPIDs. market participant activity in NOM also on the NASDAQ book and to route to Thus, as compared with the current tier, support price discovery and liquidity other trading venues if so designated. the new tier would be available to provision in the Nasdaq Market Center. NASDAQ currently offers a rebate of members that are NOM Market Makers The changes enhance these incentives $0.0025 per share executed to RMOs for and would require a lower Consolidated by creating a new tier and reducing the Retail Orders that execute against RPI Volume, but would require volume on requirement for participation in another Orders or other orders providing price NOM that adds liquidity. existing tier. improvement with respect to the NBBO. Similarly, NASDAQ is amending an For members trading securities listed NASDAQ is proposing to reduce this existing tier, under which NASDAQ on NASDAQ, NASDAQ currently pays a rebate to $0.0005 per share executed. provides a credit of $0.0030 per share rebate of $0.0020 per share executed for For RPI Orders that provide liquidity, executed for displayed orders that a member with shares of liquidity NASDAQ currently charges a fee of provide liquidity if a member (i) has provided in all securities during the $0.0020 per share executed, which shares of liquidity provided in all month representing less than 0.10% of NASDAQ proposes to reduce to $0.0010 securities during the month Consolidated Volume, provided that the per share executed. Other charges with representing at least 0.45% of member provides a daily average of at respect to the program remain Consolidated Volume during the month, least 250,000 shares of liquidity in unchanged. The change is designed to through one or more of its Nasdaq securities listed on an exchange other eliminate ‘‘inverted’’ pricing that was Market Center MPIDs, and (ii) qualifies than NASDAQ. Without modifying the introduced at the commencement of the for the Penny Pilot Tier 8 Customer and existing criteria, NASDAQ is proposing program, under which Retail Orders Professional Rebate to Add Liquidity to make this tier also available to any were paid a credit that exceeded the under Chapter XV, Section 2 of the member that routes a daily average charge assessed against RPI Orders. NOM rules during the month through volume of at least 10,000 shares during one or more of its NOM MPIDs. A NOM Other Fee Changes the month using the QDRK routing Participant may qualify for the Tier 8 strategy. The modified tier will also Currently, NASDAQ provides a credit Customer and Professional Rebate if it apply only to trading of securities listed of $0.0029 per share executed for (i) has Total Volume of 200,000 or more on NASDAQ. QDRK is a routing option displayed orders that provide liquidity contracts per day in a month, of which under which orders check the System if a member (i) has shares of liquidity 70,000 or more contracts per day in a for available shares and simultaneously provided in all securities during the month are Customer and/or Professional route the remaining shares to month representing more than 0.15% of liquidity, or (ii) adds Customer and/or destinations on the System routing table Consolidated Volume during the month, Professional liquidity of 1.00% or more that are not posting Protected through one or more of its Nasdaq of national customer volume in Quotations within the meaning of Market Center MPIDs, and (ii) Total multiply-listed equity and ETF options Regulation NMS.13 Thus, the strategy is Volume, as defined in Chapter XV, generally used to route to dark pools. Section 2 of the Nasdaq Options Market Corporation (‘‘OCC’’) that is not for the account of Through the proposed change, (‘‘NOM’’) rules,11 of 100,000 or more broker or dealer or for the account of a ‘‘Professional’’ (as that term is defined in Chapter NASDAQ hopes to (i) encourage greater I, Section 1(a)(48) of the NOM Rules). The term use of its router and (ii) allow the Organization, provided that no change is made to ‘‘Professional’’ means any person or entity that (i) smaller firms that generally use the terms of the order with respect to price (except is not a broker or dealer in securities, and (ii) places in the case that a market order is changed to a more than 390 orders in listed options per day on exchange-provided routing to receive a marketable limit order) or side of market and the average during a calendar month for its own higher rebate than would otherwise by order does not originate from a trading algorithm or beneficial account(s) pursuant to Chapter I, Section the case as a means of encouraging them any other computerized methodology. 1(a)(48). The term ‘‘Non-NOM Market Maker’’ to provide greater liquidity in securities 10 A Retail Price Improvement Order is defined in means a registered market maker on another options NASDAQ Rule 4780(a)(3) as consisting of non- exchange that is not a NOM Market Maker. The listed on NASDAQ. displayed liquidity on NASDAQ that is priced term ‘‘NOM Market Maker’’ means a Participant better than the Protected NBBO by at least $0.001 that has registered as a Market Maker on NOM 12 Effective November 1, 2013, NOM eliminated and that is identified as such. pursuant to Chapter VII, Section 2 of the NOM an additional prong, under which a NOM 11 ‘‘Total Volume’’ is defined as Customer, Rules, and must also remain in good standing Participant could qualify for Tier 8 if it had Total Professional, Firm, Broker-Dealer, Non-NOM pursuant to Chapter VII, Section 4 of the NOM Volume of 325,000 or more contracts per day in a Market Maker and NOM Market Maker volume in Rules. The term ‘‘Firm’’ applies to any transaction month. SR–NASDAQ–2013–136 (October 30, 2013). Penny Pilot Options and Non-Penny Pilot Options that is identified by a Participant for clearing in the 13 If shares remain un-executed after routing, they that either adds or removes liquidity on NOM. The Firm range at OCC. The term ‘‘Broker-Dealer’’ are posted on the book. Once on the book, should term ‘‘Customer’’ applies to any transaction that is applies to any transaction that is not subject to any the order subsequently be locked or crossed by identified by a Participant for clearing in the of the other transaction fees applicable within a another market center, the System will not route the Customer range at The Options Clearing particular category. order to the locking or crossing market center.

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Finally, NASDAQ is proposing to associated with the programs, thereby access liquidity, while still serving to eliminate an existing pricing tier for causing the credits received by program encourage greater retail participation in Designated Retail Orders. A Designated participants to become more consistent NASDAQ. Because retail orders are Retail Order is defined as an agency or with credits received by members that likely to reflect long-term investment riskless principal 14 order that originates are not participants, while maintaining intentions, they promote price discovery from a natural person and is submitted an incentive structure designed to and dampen volatility, and their to NASDAQ by a member that benefit all market participants by presence in the NASDAQ market has designates it pursuant to Rule 7018, encouraging quoting at or near the the potential to benefit all market provided that no change is made to the NBBO in a wide range of securities. participants. NASDAQ further believes terms of the order with respect to price NASDAQ hopes thereby to maintain the that the proposed credit is not or side of market and the order does not benefits associated with the programs unreasonably discriminatory because it originate from a trading algorithm or while reducing their costs and making is offered to firms representing retail any other computerized methodology. the programs sustainable in the longer customers without regard to the firm’s Currently, if a member enters term. The change is also reasonable trading volumes. Designated Retail Orders through an because it does not alter the fact that The proposed fee with respect to an MPID through which (i) at least 90% of QMMs continue to be provided a RPI Order that provides liquidity is the shares of liquidity provided during discount as compared with other reasonable because, as previously the month are provided through members, thereby resulting in lower recognized by the Commission, it Designated Retail Orders, and (ii) the overall fees for QMMs. The change is reflects the fact that markets often seek member accesses, provides, or routes consistent with an equitable allocation to distinguish between orders of shares of liquidity that represent at least of fees because it maintains, but reduces individual retail investors and orders of 0.10% of Consolidated Volume during the cost of, an incentive designed to professional traders.18 In this instance, the month, the member receives a credit benefit all market participants by the RPI seeks to balance the of $0.0034 per share executed for encouraging members to quote at the consideration that ‘‘retail investors may Designated Retail Orders that provide NBBO in a significant number of on average be less informed about short- liquidity if they are displayed orders. securities and to allow NASDAQ to set term price movements . . . [than] For all other Designated Retail Orders or join the NBBO. The change is not professional traders’’ 19 with a fee that are displayed orders and that unfairly discriminatory because it will charged to liquidity providers and a provide liquidity, the credit is $0.0033 make the credits received by QMMs program designed to provide retail per share executed. Under the proposed more consistent with the credits investors with price improvement and change, the $0.0034 per share executed provided to other members, while favorable execution prices. The tier will be eliminated, so that the credit continuing to recognize the beneficial reduction in the fee charged is will be $0.0033 per share executed with contributions of market participants that reasonable because it will reduce respect to all Designated Retail Orders. quote at the NBBO. charges to liquidity providers and In recent months, no market The changes with respect to the RPI thereby may encourage greater use of participants have qualified for this tier, program are reasonable because they are RPI Orders to provide liquidity. so NASDAQ believes that it can be intended to eliminate an instance of NASDAQ further believes that the fee eliminated with no impact on member inverted pricing. While it may be change is equitable and not fees and credits. reasonable for exchanges to invert unreasonably discriminatory because 2. Statutory Basis pricing in limited circumstances as a even though these orders are charged a promotional incentive to use a new fee, while other liquidity providing NASDAQ believes that the proposed service, NASDAQ does not believe that rule change is consistent with the orders are provided a credit, the use of 15 the Act could be construed to require such orders by liquidity providers is provisions of Section 6 of the Act, in inverted pricing to be maintained general, and with Sections 6(b)(4) and voluntary. Firms that believe that indefinitely, since it results in a loss to 6(b)(5) of the Act,16 in particular, in that potential advantages of interacting with the Exchange on each transaction to it provides for the equitable allocation Retail Orders outweigh the costs of price which it applies. The proposed credit of of reasonable dues, fees and other improvement and the fee charged by $0.0005 per share executed with respect charges among members and issuers and NASDAQ will employ this order type. to Retail Orders that access liquidity other persons using any facility or Those that do not are free to forego offering price improvement is system which NASDAQ operates or involvement in the program and receive reasonable because it will continue to controls, and is not designed to permit a rebate under NASDAQ’s standard result in a reduction of fees with respect unfair discrimination between price schedule when providing to such orders, as compared with the customers, issuers, brokers, or dealers. liquidity. Finally, however, the change The change with respect to the NBBO fees that would be charged in the serves to reduce the disparity between Setter Incentive credit paid to QMMs is absence of the program, thereby the fee charged and the credit otherwise reasonable because it merely serves to reducing the costs of members that provided, consistent with the overall limit the extent of the incentives represent retail customers and that take goal of eliminating inverted pricing advantage of the program, and under the RPI program. 14 To qualify as a Designated Retail Order, a potentially also reducing costs to the The new tier for members active in riskless principal order must satisfy the criteria set customers themselves.17 The change is both the NASDAQ Market Center and forth in FINRA Rule 5320.03. These criteria include consistent with an equitable allocation NOM, as well as the modification of one that that the member maintain supervisory systems of fees because it will make the credit to reconstruct, in a time-sequenced manner, all of the criteria for an existing tier, are orders that are entered on a riskless principal basis; provided less disparate from the fees reasonable because they reflect the and the member submits a report, charged to other market participants to contemporaneously with the execution of the 18 Securities Exchange Act Release No. 67347 facilitated order, that identifies the trade as riskless 17 The credit is comparable to the credit paid by (July 3, 2012), 77 FR 40763, 40769–40680 (July 10, principal. the New York Stock Exchange under its Retail 2012) (SR–NYSE–2011–55; SR–NYSEAmex–2011– 15 15 U.S.C. 78f. Liquidity Program. See http://usequities.nyx.com/ 84). 16 15 U.S.C. 78f(b)(4) and (5). markets/nyse-equities/trading-fees. 19 Id.

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availability of a significant price $0.0033 per share executed for proposed changes will impair the ability reduction for members that support Designated Retail Orders, which is of members or competing order liquidity on both markets. The changes higher than the highest rebate tier execution venues to maintain their are consistent with an equitable available for other orders that provide competitive standing in the financial allocation of fees because the pricing liquidity (of $0.00305 per share markets. tiers require significant levels of executed). Moreover, the change is liquidity provision, which benefits all consistent with an equitable allocation C. Self-Regulatory Organization’s market participants, and because of fees and not unfairly discriminatory Statement on Comments on the activity in NOM also supports price because in recent months, no market Proposed Rule Change Received From discovery and liquidity provision in the participants have qualified for the tier. Members, Participants, or Others NASDAQ Market Center due to the Accordingly, the change will not have Written comments were neither increasing propensity of market an actual impact on the credits paid to solicited nor received. participants to be active in both markets members that submit Designated Retail III. Date of Effectiveness of the and the influence of each market on the Orders. Proposed Rule Change and Timing for pricing of securities in the other. B. Self-Regulatory Organization’s Commission Action Moreover, the changes have the Statement on Burden on Competition potential to make the applicable credits The foregoing change has become available to a wider range of market NASDAQ does not believe that the effective pursuant to Section 19(b)(3)(A) participants by introducing an proposed rule change will result in any of the Act 21 and paragraph (f) of Rule additional means of qualification, in the burden on competition that is not 19b–4 22 thereunder. At any time within case of the new tier, and reducing the necessary or appropriate in furtherance 60 days of the filing of the proposed rule threshold for qualification, in the case of of the purposes of the Act, as change, the Commission summarily may the existing tier. The changes are not amended.20 NASDAQ notes that it temporarily suspend such rule change if unreasonably discriminatory because operates in a highly competitive market it appears to the Commission that such market participants may qualify for a in which market participants can action is necessary or appropriate in the comparable or a higher rebate through readily favor competing venues if they public interest, for the protection of alternative means that do not require deem fee levels at a particular venue to investors, or otherwise in furtherance of participation in NOM, including be excessive, or rebate opportunities the purposes of the Act. through existing volume-based available at other venues to be more IV. Solicitation of Comments NASDAQ Market Center tiers, the use of favorable. In such an environment, Designated Retail Orders, or through a NASDAQ must continually adjust its Interested persons are invited to combination of qualification for volume- fees and rebates to remain competitive submit written data, views, and based tiers and participation in the ISP. with other exchanges and with arguments concerning the foregoing, The change with respect to the alternative trading systems that have including whether the proposed rule existing tier providing a credit of been exempted from compliance with change is consistent with the Act. $0.0020 per share executed is the statutory standards applicable to Comments may be submitted by any of reasonable because it will increase the exchanges. Because competitors are free the following methods: liquidity provider credit for an to modify their own fees and rebates in Electronic Comments additional group of members without response, and because market restricting availability to those currently participants may readily adjust their • Use the Commission’s Internet qualifying. Specifically, the credit is order routing practices, NASDAQ comment form (http://www.sec.gov/ currently available to members without believes that the degree to which fee or rules/sro.shtml); or an overall volume requirement (i.e., rebate changes in this market may • Send an email to rule-comments@ those providing less than 0.10% of impose any burden on competition is sec.gov. Please include File Number SR– Consolidated Volume), as long as they extremely limited. In this instance, NASDAQ–2013–138 on the subject line. several of the changes—specifically, the provide a daily average of at least Paper Comments 250,000 shares of liquidity in securities changes to tiers with respect to members • listed on an exchange other than active in NASDAQ and NOM, the Send paper comments in triplicate NASDAQ; the change would broaden broadening of the $0.0020 per share to Elizabeth M. Murphy, Secretary, availability to those that route a daily credit to members using QDRK, and the Securities and Exchange Commission, average volume of at least 10,000 shares fee reduction for RPI orders—will serve 100 F Street NE., Washington, DC per day using the QDRK routing to decrease members’ costs, thereby 20549–1090. strategy. The change is consistent with enhancing NASDAQ’s competitiveness. All submissions should refer to File an equitable allocation of fees because it Moreover, although the modifications to Number SR–NASDAQ–2013–138. This will result in a higher credit being paid Designated Retail Orders, Retail Orders file number should be included on the to the smaller firms that generally use under the RPI program, and the QMM subject line if email is used. To help the exchange-provided routing services, in and NBBO Setter Incentive programs all Commission process and review your exchange for modest usage of those serve to limit the availability of certain comments more efficiently, please use services. The change is not unfairly favorable credits, the associated only one method. The Commission will discriminatory, because it is available to programs all remain in place and are post all comments on the Commission’s any member able to route a volume of themselves reflective of the need for Internet Web site (http://www.sec.gov/ 10,000 shares per day, a volume level exchanges to offer significant financial rules/sro.shtml). Copies of the achievable by almost any market incentives to attract order flow. If any of submission, all subsequent participant. the changes are unattractive to market amendments, all written statements The change with respect to pricing for participants, it is likely that NASDAQ with respect to the proposed rule Designated Retail Orders is reasonable will lose market share as a result. Thus, change that are filed with the because although it will eliminate the NASDAQ does not believe that the availability of a rebate tier, NASDAQ 21 15 U.S.C. 78s(b)(3)(A). still provides a very high rebate of 20 15 U.S.C. 78f(b)(8). 22 17 CFR 240.19b–4(f).

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Commission, and all written suspended for the period from 9:30 a.m. SUMMARY: This is an amendment of the communications relating to the EST on November 15, 2013 through Presidential declaration of a major proposed rule change between the 11:59 p.m. EST on November 29, 2013. disaster for the State of Colorado Commission and any person, other than By the Commission. (FEMA–4145–DR), dated 09/14/2013. Incident: Severe Storms, Flooding, those that may be withheld from the Elizabeth M. Murphy, public in accordance with the Landslides, and Mudslides. Secretary. provisions of 5 U.S.C. 552, will be Incident Period: 09/11/2013 through available for Web site viewing and [FR Doc. 2013–27807 Filed 11–15–13; 4:15 pm] 09/30/2013. printing in the Commission’s Public BILLING CODE 8011–01–P Effective Date: 11/05/2013. Reference Room, 100 F Street NE., Physical Loan Application Deadline Washington, DC 20549, on official Date: 12/02/2013. EIDL Loan Application Deadline Date: business days between the hours of SMALL BUSINESS ADMINISTRATION 10:00 a.m. and 3:00 p.m. Copies of the 06/16/2014. filing also will be available for DeltaPoint Capital IV, L.P.; License No. ADDRESSES: Submit completed loan inspection and copying at the principal 02/02–0662; Notice Seeking Exemption applications to: U.S. Small Business office of the Exchange. All comments Under the Small Business Investment Administration, Processing and received will be posted without change; Act, Conflicts of Interest Disbursement Center, 14925 Kingsport the Commission does not edit personal Road, Fort Worth, TX 76155. identifying information from Notice is hereby given that DeltaPoint FOR FURTHER INFORMATION CONTACT: A. submissions. You should submit only Capital IV, L.P., 45 East Avenue, 6th Escobar, Office of Disaster Assistance, information that you wish to make Floor, Rochester, NY 14604, Federal U.S. Small Business Administration, available publicly. All submissions Licensee under the Small Business 409 3rd Street SW., Suite 6050, should refer to File Number SR– Investment Act of 1958, as amended Washington, DC 20416. (‘‘the Act’’), in connection with the NASDAQ–2013–138 and should be SUPPLEMENTARY INFORMATION: The notice financing of a small concern, has sought submitted on or before December 10, of the President’s major disaster an exemption under Section 312 of the 2013. declaration for the State of Colorado, Act and Section 107.730, Financings dated 09/14/2013 is hereby amended to For the Commission, by the Division of which constitute conflicts of interest of extend the deadline for filing Trading and Markets, pursuant to delegated the Small Business Administration authority.23 applications for physical damages as a (‘‘SBA’’) Rules and Regulations (13 CFR result of this disaster to 12/02/2013. Kevin M. O’Neill, 107.730). DeltaPoint Capital IV, L.P. Deputy Secretary. All other information in the original provided financing to BioMaxx, Inc., 1 declaration remains unchanged. [FR Doc. 2013–27626 Filed 11–18–13; 8:45 am] Fishers Road, Suite 160, Pittsford, NY BILLING CODE 8011–01–P 14534. The financing was contemplated (Catalog of Federal Domestic Assistance for working capital purposes. Numbers 59002 and 59008) The financing is brought within the James E. Rivera, SECURITIES AND EXCHANGE purview of § 107.730(a)(1) of the COMMISSION Associate Administrator for Disaster Regulations because DeltaPoint Capital Assistance. [File No. 500–1] IV (New York), L.P., an Associate of [FR Doc. 2013–27642 Filed 11–18–13; 8:45 am] DeltaPoint Capital IV, L.P., owns more BILLING CODE 8025–01–P In The Matter of: Sovereign Lithium, than ten percent of BioMaxx, Inc. Inc.; Order of Suspension of Trading Therefore, this transaction is considered a financing of an Associate SMALL BUSINESS ADMINISTRATION November 15, 2013. requiring an exemption. Notice is It appears to the Securities and hereby given that any interested person [Disaster Declaration #13814 and #13815] Exchange Commission that the public may submit written comments on the North Dakota Disaster #ND–00040 interest and the protection of investors transaction within fifteen days of the require a suspension of trading in the date of this publication to the Associate AGENCY: U.S. Small Business securities of Sovereign Lithium, Inc. Administrator for Investment and Administration. (‘‘Sovereign Lithium’’) because of Innovation, U.S. Small Business ACTION: Notice. concerns regarding the accuracy and Administration, 409 Third Street SW., adequacy of information in the Washington, DC 20416. SUMMARY: This is a Notice of the marketplace and potentially Presidential declaration of a major manipulative transactions in Sovereign Javier E. Saade, disaster for Public Assistance Only for Lithium’s common stock. Sovereign Associate Administrator for Investment & the State of North Dakota (FEMA–4154– Lithium is a Delaware corporation based Innovation. DR), dated 10/31/2013. in Denver, Colorado. It is quoted on [FR Doc. 2013–27646 Filed 11–18–13; 8:45 am] Incident: Severe Winter Storm OTC Link under the symbol SLCO. BILLING CODE P Incident Period: 10/04/2013 through The Commission is of the opinion that 10/05/2013. the public interest and the protection of Effective Date: 10/31/2013. investors require a suspension of trading SMALL BUSINESS ADMINISTRATION Physical Loan Application Deadline in the securities of the above-listed Date: 12/30/2013. company. [Disaster Declaration #13768 and #13769] Economic injury (EIDL) loan Therefore, it is ordered, pursuant to application deadline date: 07/31/2014. Section 12(k) of the Securities Exchange Colorado Disaster Number CO–00065 ADDRESSES: Submit completed loan Act of 1934, that trading in the AGENCY: U.S. Small Business applications to: U.S. Small Business securities of the above-listed company is Administration. Administration, Processing and Disbursement Center, 14925 Kingsport ACTION: Amendment 5. 23 17 CFR 200.30–3(a)(12). Road, Fort Worth, TX 76155.

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FOR FURTHER INFORMATION CONTACT: A. will include representatives from the in that this advisory committee meeting Escobar, Office of Disaster Assistance, audit and research community to review must be held on December 2, 2013, to U.S. Small Business Administration, the main challenges and opportunities accommodate the schedules of the 409 3rd Street SW., Suite 6050, for public diplomacy in the coming Commission members and to introduce Washington, DC 20416. year. The Commission will also the 2014 work plan prior to the start of SUPPLEMENTARY INFORMATION: Notice is introduce its work plan for 2014. the holiday season, when travel hereby given that as a result of the This meeting is open to the public, arrangements and scheduling might be President’s major disaster declaration on Members and staff of Congress, the State challenging. Department, Defense Department, the 10/31/2013, Private Non-Profit Dated: November 14, 2013. organizations that provide essential media, and other governmental and non-governmental organizations. To Katherine Brown, services of governmental nature may file Executive Director, Department of State. disaster loan applications at the address attend or request further information, [FR Doc. 2013–27816 Filed 11–18–13; 8:45 am] listed above or other locally announced including any requests for reasonable locations. accommodation, contact Katherine BILLING CODE 4710–11–P The following areas have been Brown at [email protected] by 5 determined to be adversely affected by p.m. on Wednesday, November 27, the disaster: 2013. Please arrive for the meeting by SUSQUEHANNA RIVER BASIN Primary Counties: Adams, Bowman, 1:45 p.m. to allow for a prompt meeting COMMISSION Grant, Hettinger, Morton, Sioux, start. The United States Advisory Commission Meeting Slope. Commission on Public Diplomacy The Interest Rates are: AGENCY: Susquehanna River Basin appraises U.S. Government activities Commission. Percent intended to understand, inform, and influence foreign publics. The Advisory ACTION: Notice. For Physical Damage: Commission may conduct studies, SUMMARY: The Susquehanna River Basin Non-Profit Organizations With inquiries, and meetings, as it deems Commission will hold its regular Credit Available Elsewhere 2.875 necessary. It may assemble and business meeting on December 12, 2013, Non-Profit Organizations disseminate information and issue Without Credit Available in Annapolis, Maryland. Details reports and other publications, subject concerning the matters to be addressed Elsewhere ...... 2.875 to the approval of the Chairperson, in For Economic Injury: at the business meeting are contained in Non-Profit Organizations consultation with the Executive the SUPPLEMENTARY INFORMATION section Without Credit Available Director. The Advisory Commission of this notice. may undertake foreign travel in pursuit Elsewhere ...... 2.875 DATES: of its studies and coordinate, sponsor, or December 12, 2013, at 8:30 a.m. The number assigned to this disaster oversee projects, studies, events, or ADDRESSES: Lowe House Office for physical damage is 13814B and for other activities that it deems desirable Building, House of Delegates, Prince economic injury is 13815B. and necessary in fulfilling its functions. George’s Delegation (Room #150), 6 The Commission consists of seven Bladen Street, Annapolis, Md. 21401. (Catalog of Federal Domestic Assistance (The recommended parking and Numbers 59002 and 59008) members appointed by the President, by and with the advice and consent of the transportation option is to park at the James E. Rivera, Senate. The members of the Navy-Marine Corps Memorial Stadium Associate Administrator for Disaster Commission shall represent the public and take the Annapolis Transit Trolley Assistance. interest and shall be selected from a Shuttle from there—for all available [FR Doc. 2013–27643 Filed 11–18–13; 8:45 am] cross section of educational, parking options, see http:// _ BILLING CODE 8025–01–P communications, cultural, scientific, www.downtownannapolis.org/ pages/ technical, public service, labor, transport/tr_parking.htm.) business, and professional backgrounds. FOR FURTHER INFORMATION CONTACT: DEPARTMENT OF STATE Not more than four members shall be Richard A. Cairo, General Counsel, from any one political party. The telephone: (717) 238–0423, ext. 1306; [Public Notice: 8526] President designates a member to chair fax: (717) 238–2436. U.S. Advisory Commission on Public the Commission. Opportunity To Appear and Comment Diplomacy; Notice of Meeting The current members of the Commission are: Mr. William Hybl of Interested parties are invited to attend DATES: Time and Date: Monday, Colorado, Chairman; Ambassador the business meeting and encouraged to December 2, 2013, 2 p.m.–4 p.m. Lyndon Olson of Texas, Vice Chairman; review the Commission’s Public Place: Capitol Visitor’s Center, Room Mr. Sim Farar of California, Vice Meeting Rules of Conduct, which are SVC203–02, First St. SE., Washington, Chairman; Ambassador Penne Korth- posted on the Commission’s Web site, DC 20515 Peacock of Texas; Ms. Lezlee Westine of www.srbc.net. As identified in the Status: Commission Meeting—Open Virginia; and Anne Terman Wedner of public hearing notice referenced below, to the Public. Illinois. One seat on the Commission is written comments on the Regulatory The U.S. Advisory Commission on currently vacant. Program projects that were the subject of Public Diplomacy will hold a public The following individual has been the public hearing, and are listed for meeting from 2:00 p.m. to 4:00 p.m. on nominated to the Commission but action at the business meeting, are Monday, December 2, 2013 in Room awaits Senate confirmation as of this subject to a comment deadline of SVC203–02 of the Capitol Visitor’s writing: Alfredo Balsera of Florida. November 25, 2013. The 2013 update of Center at First St. SE., Washington, DC This announcement might appear in the Comprehensive Plan listed for 20515. the Federal Register less than 15 days Commission action was the subject of a The meeting’s topic will be on ‘‘The prior to the meeting. The Department of public hearing conducted by the State of Public Diplomacy in 2014’’ and State finds an exceptional circumstance Commission on August 15, 2013, and as

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identified in the notice for such hearing, amendments to AD/CVD statutes of a 75 individuals for service on Chapter 19 which was published in 78 FR 38782, NAFTA Party. The United States binational panels, with each NAFTA June 27, 2013, was subject to a comment annually renews its selections for the Party selecting at least 25 individuals. A deadline of August 26, 2013.Written Chapter 19 roster. Applications are separate five-person panel is formed for comments pertaining to any other invited from eligible individuals each review of a final AD/CVD matters listed for action at the business wishing to be included on the roster for determination or statutory amendment. meeting may be mailed to the the period April 1, 2014, through March To form a panel, the two NAFTA Parties Susquehanna River Basin Commission, 31, 2015. involved each appoint two panelists, 4423 North Front Street, Harrisburg, DATES: Applications should be received normally by drawing upon individuals Pennsylvania 17110–1788, or submitted no later than December 3, 2013. from the roster. If the Parties cannot electronically through http:// ADDRESSES: Applications should be agree upon the fifth panelist, one of the www.srbc.net/pubinfo/ submitted (i) electronically to Parties, decided by lot, selects the fifth publicparticipation.htm. Any such www.regulations.gov, docket number panelist from the roster. The majority of comments mailed or electronically USTR–2012–0037 or (ii) by fax, to individuals on each panel must consist submitted must be received by the Sandy McKinzy at (202) 395–3640. of lawyers in good standing, and the Commission on or before December 6, chair of the panel must be a lawyer. FOR FURTHER INFORMATION CONTACT: Upon each request for establishment 2013, to be considered. Arthur Tsao, Assistant General Counsel, SUPPLEMENTARY INFORMATION: The of a panel, roster members from the two Office of the United States Trade involved NAFTA Parties will be business meeting will include actions or Representative, (202) 395–6987. presentations on the following items: (1) requested to complete a disclosure form, SUPPLEMENTARY INFORMATION: Informational presentation of general which will be used to identify possible interest on the lower Susquehanna Binational Panel Reviews Under conflicts of interest or appearances River; (2) resolution concerning NAFTA Chapter 19 thereof. The disclosure form requests FY–2015 federal funding of the information regarding financial interests Article 1904 of the NAFTA provides and affiliations, including information Susquehanna Flood Forecast and that a party involved in an AD/CVD Warning System and National regarding the identity of clients of the proceeding may obtain review by a roster member and, if applicable, clients Streamflow Information Program; (3) binational panel of a final AD/CVD of the roster member’s firm. 2013 update of the Comprehensive Plan determination of one NAFTA Party with for the Water Resources of the respect to the products of another Criteria for Eligibility for Inclusion on Susquehanna River; (4) sale of the NAFTA Party. Binational panels decide Chapter 19 Roster former headquarters property at 1721 whether such AD/CVD determinations Section 402 of the NAFTA North Front Street, Harrisburg, Pa.; (5) are in accordance with the domestic Implementation Act (Pub. L. 103–182, ratification/approval of contracts/grants; laws of the importing NAFTA Party, and as amended (19 U.S.C. 3432)) (‘‘Section and (6) Regulatory Program projects. must use the standard of review that 402’’) provides that selections by the Projects listed for Commission action would have been applied by a domestic United States of individuals for are those that were the subject of a court of the importing NAFTA Party. A inclusion on the Chapter 19 roster are to public hearing conducted by the panel may uphold the AD/CVD be based on the eligibility criteria set Commission on November 13, 2013, and determination, or may remand it to the out in Annex 1901.2 of the NAFTA, and identified in the notice for such hearing, national administering authority for without regard to political affiliation. which was published in 78 FR 64260, action not inconsistent with the panel’s Annex 1901.2 provides that Chapter 19 October 28, 2013. decision. Panel decisions may be roster members must be citizens of a Authority: Public Law 91–575, 84 Stat. reviewed in specific circumstances by a NAFTA Party, must be of good character 1509 et seq., 18 CFR parts 806, 807, and 808. three-member extraordinary challenge and of high standing and repute, and are Dated: November 7, 2013. committee, selected from a separate to be chosen strictly on the basis of their Andrew D. Dehoff, roster composed of fifteen current or objectivity, reliability, sound judgment, Executive Director. former judges. and general familiarity with Article 1903 of the NAFTA provides international trade law. Aside from [FR Doc. 2013–27652 Filed 11–18–13; 8:45 am] that a NAFTA Party may refer an judges, roster members may not be BILLING CODE 7040–01–P amendment to the AD/CVD statutes of affiliated with any of the three NAFTA another NAFTA Party to a binational Parties. Section 402 also provides that, panel for a declaratory opinion as to to the fullest extent practicable, judges TRADE REPRESENTATIVE whether the amendment is inconsistent and former judges who meet the with the General Agreement on Tariffs eligibility requirements should be North American Free Trade and Trade (‘‘GATT’’), the GATT selected. Agreement; Invitation for Applications Antidumping or Subsidies Codes, for Inclusion on the Chapter 19 Roster Adherence to the NAFTA Code of successor agreements, or the object and Conduct for Binational Panelists AGENCY: Office of the United States purpose of the NAFTA with regard to Trade Representative. the establishment of fair and predictable The ‘‘Code of Conduct for Dispute ACTION: Invitation for applications. conditions for the liberalization of trade. Settlement Procedures Under Chapters If the panel finds that the amendment is 19 and 20’’ (see https://www.nafta-sec- SUMMARY: Chapter 19 of the North inconsistent, the two NAFTA Parties alena.org/ American Free Trade Agreement shall consult and seek to achieve a Default.aspx?tabid=99&language=en- (‘‘NAFTA’’) provides for the mutually satisfactory solution. US), which was established pursuant to establishment of a roster of individuals Article 1909 of the NAFTA, provides to serve on binational panels convened Chapter 19 Roster and Composition of that current and former Chapter 19 to review final determinations in Binational Panels roster members ‘‘shall avoid antidumping or countervailing duty Annex 1901.2 of the NAFTA provides impropriety and the appearance of (‘‘AD/CVD’’) proceedings and for the maintenance of a roster of at least impropriety and shall observe high

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standards of conduct so that the Type’’ on the left side of the search- U.S., Canadian, or Mexican party to integrity and impartiality of the dispute results page, and click on the link such proceeding and, for each such settlement process is preserved.’’ The entitled ‘‘Comment Now!.’’ (For further proceeding listed, the name and country Code of Conduct also provides that information on using the of incorporation of such party. candidates to serve on chapter 19 www.regulations.gov Web site, please 13. A short statement of qualifications panels, as well as those who are consult the resources provided on the and availability for service on Chapter ultimately selected to serve as panelists, Web site by clicking on the ‘‘How to Use 19 panels, including information have an obligation to ‘‘disclose any Regulations.gov’’ on the bottom of the relevant to the applicant’s familiarity interest, relationship or matter that is page.) with international trade law and likely to affect [their] impartiality or The www.regulations.gov site willingness and ability to make time independence, or that might reasonably provides the option of providing commitments necessary for service on create an appearance of impropriety or comments by filling in a ‘‘Type panels. an apprehension of bias.’’ Annex 1901.2 Comment’’ field or by attaching a 14. On a separate page, the names, of the NAFTA provides that roster document. USTR prefers applications to addresses, telephone and fax numbers of members may engage in other business be provided in an attached document. If three individuals willing to provide while serving as panelists, subject to the a document is attached, please type information concerning the applicant’s Code of Conduct and provided that such ‘‘Application for Inclusion on NAFTA qualifications for service, including the business does not interfere with the Chapter 19 Roster’’ in the ‘‘Upload File’’ applicant’s character, reputation, performance of the panelist’s duties. In field. reliability, judgment, and familiarity particular, Annex 1901.2 states that Applications must be typewritten, with international trade law. and should be headed ‘‘Application for ‘‘[w]hile acting as a panelist, a panelist Current Roster Members and Prior Inclusion on NAFTA Chapter 19 may not appear as counsel before Applicants another panel.’’ Roster.’’ Applications should include the following information, and each Current members of the Chapter 19 Procedures for Selection of Chapter 19 section of the application should be roster who remain interested in Roster Members numbered as indicated: inclusion on the Chapter 19 roster only Section 402 establishes procedures for 1. Name of the applicant. need to indicate that they are reapplying the selection by the Office of the United 2. Business address, telephone and submit updates (if any) to their States Trade Representative (‘‘USTR’’) of number, fax number, and email address. applications on file. Current members the individuals chosen by the United 3. Citizenship(s). do not need to resubmit their States for inclusion on the Chapter 19 4. Current employment, including applications. Individuals who have roster. The roster is renewed annually, title, description of responsibility, and previously applied but have not been and applies during the one-year period name and address of employer. selected must submit new applications beginning April 1 of each calendar year. 5. Relevant education and to reapply. If an applicant, including a Under Section 402, an interagency professional training. current or former roster member, has committee chaired by USTR prepares a 6. Spanish language fluency, written previously submitted materials referred preliminary list of candidates eligible and spoken. to in item 9, such materials need not be for inclusion on the Chapter 19 Roster. 7. Post-education employment resubmitted. After consultation with the Senate history, including the dates and Public Disclosure Committee on Finance and the House addresses of each prior position and a Committee on Ways and Means, USTR summary of responsibilities. Applications normally will not be selects the final list of individuals 8. Relevant professional affiliations subject to public disclosure and will not chosen by the United States for and certifications, including, if any, be posted publicly on inclusion on the Chapter 19 roster. current bar memberships in good www.regulations.gov. They may be standing. referred to other federal agencies and Remuneration 9. A list and copies of publications, Congressional Committees in the course Roster members selected for service testimony, and speeches, if any, of determining eligibility for the roster, on a Chapter 19 binational panel will be concerning AD/CVD law. Judges or and shared with foreign governments remunerated at the rate of 800 Canadian former judges should list relevant and the NAFTA Secretariat in the dollars per day. judicial decisions. Only one copy of course of panel selection. publications, testimony, speeches, and Applications decisions need be submitted. False Statements Eligible individuals who wish to be 10. Summary of any current and past Pursuant to section 402(c)(5) of the included on the Chapter 19 roster for employment by, or consulting or other NAFTA Implementation Act, false the period April 1, 2014, through March work for, the Governments of the United statements by applicants regarding their 31, 2015, are invited to submit States, Canada, or Mexico. personal or professional qualifications, applications. Applications may be 11. The names and nationalities of all or financial or other relevant interests submitted either by fax to Sandy foreign principals for whom the that bear on the applicants’ suitability McKinzy at 202–395–3640 or applicant is currently or has previously for placement on the Chapter 19 roster electronically to www.regulations.gov, been registered pursuant to the Foreign or for appointment to binational panels, docket number USTR–2012–0037. Agents Registration Act, 22 U.S.C. 611 are subject to criminal sanctions under To submit an application via et seq., and the dates of all registration 18 U.S.C. 1001. www.regulations.gov, enter docket periods. number USTR–2012–0037 on the home 12. List of proceedings brought under Privacy Act page and click ‘‘search.’’ The site will U.S., Canadian, or Mexican AD/CVD The following statements are made in provide a search-results page listing all law regarding imports of U.S., Canadian, accordance with the Privacy Act of documents associated with this docket. or Mexican products in which the 1974, as amended (5 U.S.C. 552a). The Find a reference to this notice by applicant advised or represented (for authority for requesting information to selecting ‘‘Notice’’ under ‘‘Document example, as consultant or attorney) any be furnished is section 402 of the

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NAFTA Implementation Act. Provision the online instructions for submitting water, and pipeline networks and that of the information requested above is comments. this highway PFN designation does not voluntary; however, failure to provide • Mail: Docket Management Facility, fully reflect those aspects of the U.S. the information will preclude your U.S. Department of Transportation, 1200 freight system. consideration as a candidate for the New Jersey Ave. SE., W12–140, Under 23 U.S.C. 167(c), the NFN will NAFTA Chapter 19 roster. This Washington, DC 20590–0001. consist of three components: the information is maintained in a system of • Hand Delivery: West Building highway PFN, the portions of the records entitled ‘‘Dispute Settlement Ground Floor, Room W12–140, 1200 Interstate System not designated as part Panelists Roster.’’ Notice regarding this New Jersey Ave. SE., between 9 a.m. of the highway PFN, and CRFCs, which system of records was published in the and 5 p.m., Monday through Friday, are designated by the States. Federal Register on November 30, 2001. except Federal holidays. The telephone Congress limited the highway PFN to The information provided is needed, number is (202) 366–9329. • not more than 27,000 centerline miles of and will be used by USTR, other federal Instructions: You must include the existing roadways that are most critical government trade policy officials agency name and docket number at the to the movement of freight. Congress concerned with NAFTA dispute beginning of your comments. All allowed an additional 3,000 centerline settlement, and officials of the other comments received will be posted miles (that may include existing or NAFTA Parties to select well-qualified without change to http:// planned roads) critical to the future individuals for inclusion on the Chapter www.regulations.gov, including any efficient movement of goods on the 19 roster and for service on Chapter 19 personal information provided. highway PFN. binational panels. FOR FURTHER INFORMATION CONTACT: For Congress instructed DOT to base the Juan Millan, questions about this program, contact highway PFN on an inventory of Assistant United States Trade Representative Ed Strocko, FHWA Office of Freight national freight volume conducted by for Monitoring and Enforcement. Management and Operations, (202) 366– the FHWA Administrator, in [FR Doc. 2013–27552 Filed 11–18–13; 8:45 am] 2997, or by email at Ed.Strocko@ consultation with stakeholders, dot.gov. For legal questions, please BILLING CODE 3290–F4–P including system users, transport contact Michael Harkins, FHWA Office providers, and States. Congress defined of the Chief Counsel, (202) 366–4928, or eight factors to consider in designating by email at [email protected]. DEPARTMENT OF TRANSPORTATION the highway PFN. Business hours for the FHWA are from The eight factors are: Federal Highway Administration 8:00 a.m. to 4:30 p.m., e.t., Monday through Friday, except Federal holidays. 1. Origins and destinations of freight [Docket No. FHWA–2013–0050] movement in the United States; SUPPLEMENTARY INFORMATION: 2. Total freight tonnage and value of Designation of the Primary Freight Electronic Access freight moved by highways; Network You may retrieve a copy of the notice 3. Percentage of annual average daily AGENCY: Federal Highway through the Federal eRulemaking portal truck traffic in the annual average daily Administration (FHWA), DOT. at: http://www.regulations.gov. The Web traffic on principal arterials; ACTION: Notice; Request for Comments. site is available 24 hours each day, 4. Annual average daily truck traffic every day of the year. Electronic on principal arterials; SUMMARY: This notice publishes the submission and retrieval help and 5. Land and maritime ports of entry; draft initial designation of the highway guidelines are available under the help 6. Access to energy exploration, Primary Freight Network (PFN), which section of the Web site. An electronic development, installation, or production is established by the Secretary of copy of this document may also be areas; Transportation as required by 23 U.S.C. downloaded from Office of the Federal 167(d), and provides information about Register’s home page at: http:// 7. Population centers; and designation of Critical Rural Freight www.archives.gov/federal_register and 8. Network connectivity. Corridors (CRFC), which are designated the Government Printing Office’s Web Purpose of the Notice by the States, and establishment of the page at: http://www.gpoaccess.gov. National Freight Network (NFN), which The purpose of this notice is to combines the two, along with the Background publish the draft initial designation of portions of the Interstate System not Section 167(c) of title 23 United States the highway PFN as required by 23 designated as part of the highway PFN. Code (U.S.C.), created by Section 1115 U.S.C. 167(d), provide information This notice also solicits comments on of the Moving Ahead for Progress in the regarding State designation of CRFCs the draft initial designation of the 21st Century Act (MAP–21), directs the and the establishment of the complete highway PFN and other critical aspects Secretary to establish a NFN to assist NFN, and to solicit comments on of the NFN. A notice published in the States in strategically directing aspects of the NFN. The five areas for Federal Register on February 6, 2013 resources toward improved system comment are: (1) Specific route (78 FR 8686), introduced the process for performance for efficient movement of deletions, additions, or modifications to designation of the highway PFN, NFN, freight on the highway portion of the the draft initial designation of the and CRFCs. Nation’s freight transportation system, highway PFN contained in this notice; DATES: Comments must be received on including the National Highway System (2) the methodology for achieving a or before December 19, 2013. (NHS), freight intermodal connectors, 27,000-mile final designation; (3) how ADDRESSES: To ensure that you do not and aerotropolis transportation systems. the NFN and its components could be duplicate your docket submissions, The U.S. Department of Transportation used by freight stakeholders in the please submit them by only one of the (DOT) approaches this with a full future; (4) how the NFN may fit into a following means: understanding that with regard to multimodal National Freight System; • Federal eRulemaking Portal: Go to surface freight transportation, and (5) suggestions for an urban-area http://www.regulations.gov and follow significant tonnage moves over rail, route designation process.

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Limitations and Considerations for looked at the question of critical U.S. national data at the urban level, DOT Primary Freight Network Development freight routes as part of the Freight Story believes there is merit in establishing a 1 The process of developing a highway 2008 report and developed a process for local, regional, or State PFN that reflects the criteria for multimodal, corridor-based map. This government entities to designate critical consideration identified by Congress approach allowed for the inclusion of urban freight routes that are important and which results in a network limited more than one vital route in a congested for freight movement to, from, and to only 27,000 centerline miles of roads region. By contrast, the statutory through an urban area, but which were is highly complex. After careful language in MAP–21 clearly directs not apparent through analysis of the consideration, DOT determined that the DOT to use centerline roadway miles for national-level data. multitude of factors combined with the the development of the NFN, which Using national data, DOT included in mileage cap does not yield a network does not necessarily allow for the the highway PFN designation that is representative of the most critical designation of multiple routes in a connectivity to urban areas over 200,000 highway elements of national freight region that comprise an active and fluid in population with major freight transfer system that exists in the United States. highway freight system. The DOT facilities. However, DOT recognizes that For example, the effort to link qualifying suggests that corridor-level analysis and cities, Metropolitan Planning segments to achieve a contiguous investment has the potential for Organizations, and State Departments of network, and to ensure sufficient widespread freight benefits, and can Transportation (State DOTs) are best connections to Mexico and Canada, improve the performance and efficiency positioned to understand the requires the additional designation of of the highway PFN. complexities of freight movement in individual urban areas, including thousands of miles. This reduces the Limitations of National Data number of miles left for qualifying current freight movement patterns, and segments and necessitates raising the The data utilized for the development plans or projections for shifts in freight qualifying threshold for level of volume, of the draft initial highway PFN movement within the urban areas. The value, tonnage or other factors. In comprises the best information available DOT strongly urges these agencies to act addition, DOT discovered the following on freight behavior at a national level. in partnership to reach out to freight challenges in designating the network Nevertheless, national data is not facility owners and operators to: (1) required by MAP–21. sufficient to understand fully the Review and provide comments to DOT behavior of freight in smaller subsets of on the inclusion of these and other Application of the Primary Freight the Nation, to include goods movement facilities in the highway PFN; (2) Network in urban areas. Urban areas of 200,000 consider inclusion of these facilities in The lack of a stated application for the and above include a freight-generating State and Metropolitan Freight Plans; (3) highway PFN and NFN introduces population and in most cases, are the provide comments and suggestions to uncertainty into the designation site of significant freight facilities where DOT for a metropolitan area process process. Without a better understanding highway freight intersects with other similar to the CRFC designation for of the goals for the highway PFN, it was modes—at rail yards, ports, and major critical urban freight routes; (4) challenging to weight the factors for airports. These ‘‘first and last mile’’ undertake a metropolitan area process designation relative to one another and connections, which are also represented similar to the CRFC designation for to gauge whether the resulting network in rural areas, do not always show up critical urban freight routes; and (5) would meet future public planning and well in data sets. jointly identify for DOT more precise investment needs. Each individual Lack of Consideration for Critical Urban data that could be used in the criterion yields different network Freight Routes in the National Freight identification of critical urban freight coverage when compared to the Network routes. simulations for the other factors. For The DOT recognizes that many Process for Designating the Draft Initial example, a map that shows the top Primary Freight Network roads by percentage of truck traffic and highway freight bottlenecks and a map that shows the top roads by chokepoints are located in urban areas In undertaking the highway PFN average annual daily truck traffic yields and at first and last mile connectors, analysis, DOT developed multiple very different results. The aggregation of making urban areas critical to the scenarios to identify a network that all these factors results in a map that is efficiency of domestic and international represents the most critical highway difficult to limit to 27,000 miles without supply chains. Although Federal law portions of the United States freight some significant prioritization of the provides a mechanism to enable system. The DOT welcomes comment many factors and their cut-off points. connectivity to critical freight ‘‘last on the following methodology. With no clear optimal solution, mile’’ origins and destinations in rural areas through CRFC designation, which Highway Primary Freight Network Data additional input from stakeholders is Sources critical to prioritizing the miles to are designated by the States, the NFN achieve a 27,000-mile designation. language in 23 U.S.C. 167(d) lacks a The draft initial highway PFN was parallel process for designating critical informed by measurable and objective Centerline Versus Corridor Approach urban freight routes to address the need national data. In performing the analysis Limiting the highway PFN to 27,000 for connectivity to urban areas. Urban that led to development of the draft centerline miles, as required by 23 area mileage may only be included in initial highway PFN, FHWA considered U.S.C. 167(d), excludes many freight- the NFN if it qualifies as a highway PFN the following criteria and data sources, significant Interstate and NHS routes route or if it is an Interstate System which are further described at the throughout the country. In 2008, DOT route. Given the lack of precision of following Web locations:

1 Publication: FHWA–HOP–08–051, available at http://www.ops.fhwa.dot.gov/freight/freight_ analysis/freight_story/index.htm.

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Factor Data source

Origins/destinations of freight movements...... FHWA Freight Analysis Framework (FAF) 3.4 http://www.ops.fhwa.dot.gov/freight/ freight_analysis/faf/. Freight tonnage and value by highways ...... FAF 3.4 http://www.ops.fhwa.dot.gov/freight/freight_analysis/faf/. Percentage of Average Annual Daily Truck Traffic FHWA Highway Performance Monitoring System (HPMS) 2011 AADTT http:// (AADTT) on principal arterials. www.fhwa.dot.gov/policyinformation/hpms.cfm. AADTT on principal arterials ...... HPMS 2011 AADTT http://www.fhwa.dot.gov/policyinformation/hpms.cfm. Land & maritime ports of entry ...... U.S. Department of Transportation Maritime Administration (MARAD) Containers by U.S. Customs Ports http://www.marad.dot.gov/documents/Container_by_US_Cus- toms_Ports.xls. DOT Bureau of Transportation Statistics (BTS) Transborder data http://www.bts.gov/ programs/international/transborder/TBDR_QuickSearch.html. U.S. Army Corps, Navigation Data Center, special request, October 2012 via BTS. Airports ...... Federal Aviation Administration (FAA) CT 2011 Cargo Airports by Landed Weight http://www.faa.gov/airports/planning_capacity/passenger_allcargo_stats/passenger/ media/cy11_cargo.xlsx. FAA Aeronautical Information Services—Airport Database in the National Transpor- tation Atlas Database (NTAD) 2013 www.bts.gov/programs/geographic_informa- tion_services/. Access to energy exploration, development, installation United States Energy Information Administration Data http://www.eia.gov/pub/oil_gas/ or production areas. natural_gas/analysis_publications/maps/maps.htm#geodata. Pennwell Mapsearch data via Pipeline and Hazardous Materials Safety Administra- tion (PHMSA) http://www.mapsearch.com. Pennwell Mapsearch data via PHMSA http://www.mapsearch.com. Pennwell Mapsearch data via PHMSA http://www.mapsearch.com. Population centers ...... 2010 Census http://www.census.gov/cgi-bin/geo/shapefiles2012/main. Network connectivity ...... FAF 3.4 http://www.ops.fhwa.dot.gov/freight/freight_analysis/faf/. FHWA National Highway Planning Network (NHPN) Version 11.09 http:// www.fhwa.dot.gov/planning/processes/tools/nhpn/. National Highway System Freight Intermodal Connectors FHWA National Highway System Intermodal Connectors http://www.fhwa.dot.gov/ planning/national_highway_system/intermodal_connectors/. Railroads ...... Federal Railroad Administration analysis of Rail Inc Centralized Station Master data https://www.railinc.com/rportal/29. Origin and destination pairs ...... FAF 3.4 http://www.ops.fhwa.dot.gov/freight/freight_analysis/faf/.

Draft Initial Primary Freight Network (4) The NHS Freight Intermodal represent discrete local truck movement Methodology Connectors within urban areas with a activity unrelated to the national population of 200,000 or more were system. The methodology employed by DOT identified.2 The NHS Freight Intermodal (6) The network was analyzed to in developing a draft initial highway Connectors included any connectors determine the relationship to PFN included the following steps: that had been categorized as connecting population centers, origins and (1) The Freight Analysis Framework to a freight rail terminal, port, or destinations, maritime ports, airports, (FAF) and Highway Performance pipeline. In addition, these NHS Freight and rail yards. Minor network Monitoring System (HPMS) data sets Intermodal Connectors included routes connectivity adjustments were were engaged to yield the top 20,000 to the top 50 airports by landed weight incorporated into the network. miles of road segments that qualify in of all cargo operations. These 50 airports (7) The road systems in Alaska, two of the following four factors: Value represent 89 percent of the landed Hawaii, and Puerto Rico, were analyzed of freight moved by highway, tonnage of weight of all cargo operations in the using HPMS data. These routes would freight moved by highway, annual United States. The NHS Freight not otherwise qualify under a connected average daily truck traffic (AADTT) on Intermodal Connectors were connected network model but play a critical role in principal arterials, and percentage of back to the network created in Steps #1 the movement of products from the AADTT in the annual average daily and #2 along the route with the highest agriculture and energy sectors, as well traffic on principal arterials. AADTT using HPMS. as international import/export functions (2) Segments identified in Step #1 and (5) Road segments within urban areas for their States and urban areas. Roads gaps between segments were analyzed with a population of 200,000 or more connecting key ports to population for network connectivity purposes. A that have an AADTT of 8,500 trucks/day centers were incorporated into the draft network was created by connecting or more were identified.3 Segments initial highway PFN. segments if the gap between segments were connected to the network (8) The network was analyzed to was equal to or less than 440 miles (440 established in Steps #1 and #2 if they determine the relationship to energy miles being the distance a truck could were equal to or greater than one-tenth exploration, development, installation, travel in 1 day). A segment was of the length of the nearest qualifying or production areas. Since the data eliminated if it was less than one-tenth segment on the highway PFN. Those points for the energy sector are scattered of the length of the nearest qualifying segments not meeting this rule were around the United States, often in rural segment on the highway PFN. removed as they were more likely to areas, and because some of the related (3) Land ports of entry with truck freight may move by barge or other traffic higher than 75,000 trucks per 2 Due to the timing of the highway PFN analysis maritime vessel, rail, or even pipeline, DOT chose to use the Census defined urban areas year were identified. These land ports of (UZAs) rather than the adjusted UZAs that may be DOT did not presume a truck freight entry were then connected to the modified by states until June 2014. correlation, electing instead to leave this network created in Steps #1 and #2. 3 Ibid. to the expert consideration of States

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through the designation of the CRFCs or other freight modes on parallel major PFN, commenters should provide comments to the draft initial bulk rail lines or waterways. information that addresses how the designation of the highway PFN. roadway relates to the factors identified Additional Miles on the Primary above and in 23 U.S.C. 167(d). Outcome Freight Network Further, DOT welcomes comments on This methodology resulted in a The Secretary of Transportation, the proposed approach and comprehensive map of 41,518 centerline under Section 167 of title 23, U.S.C., methodology to achieve a 27,000 mile miles, including 37,436 centerline miles may increase the highway PFN by up to network, considering such questions as: of Interstate and 4,082 centerline miles 3,000 centerline miles above the 27,000- Connectivity; the treatment of urban of non-Interstate roads.4 Since the mile limit, to accommodate existing or area mileage and the concept of a statute limits the highway PFN to planned roads critical to future efficient critical urban freight corridor process; 27,000 centerline miles, the DOT then movement of goods on the highway inclusion of border crossings of a certain identified those segments with the PFN. level of truck volume; corridor-level highest AADTT. These road segments In the February 6, 2013, notice designation; the adequacy of the represented on the draft highway PFN describing the planned process for the network to identify bottlenecks and map comprise 26,966 miles of centerline designation of the NFN, DOT outlined a other freight infrastructure or roads that reflect consideration of the process for determining facilities to be operational needs, and more. criteria offered by Congress. This draft included in these additional 3,000 highway PFN results in an unconnected miles. The DOT indicated that in Designation of Rural Freight Corridors network with major gaps in the system, determining whether a route is critical The designation of CRFCs by the including components of the global and to the future efficient movement of States is described in 23 U.S.C. 167(e), domestic supply chains. The DOT goods on the highway PFN, the and provides that a State may designate acknowledges that this 27,000-mile Secretary will consider the factors a road within the borders of the State as highway PFN does not meet the identified for the designation of the a CRFC if the road is a rural principal statutory criterion for network highway PFN as well as one or more arterial roadway and has at least 25 connectivity and would appreciate additional factors. percent of the AADTT of the road feedback on the importance of In the draft initial designation of the measured in passenger vehicle designating a connected highway PFN highway PFN, DOT focused on freight equivalent units from trucks (FHWA compared to achieving the connectivity routes critical to the current movement vehicle class 8 to 13); provides access to with the addition of the Interstate routes of freight. The Department is aware of energy exploration, development, in the designation of the NFN. emerging freight routes that will be installation or production areas; or Furthermore, we offer the critical to the future efficient movement connects the highway PFN, a roadway comprehensive 41,518-mile map to of goods and believes there is value in described above, or the Interstate elicit suggestions as to how to proceed expanding the highway PFN in the System to facilities that handle more to a final designation of 27,000 miles. future to reflect these routes as the than 50,000 20-foot equivalent units per The DOT notes that goods movement Nation grows. year, or 500,000 tons per year of bulk occurs in a very fluid environment and commodities. The designation of CRFCs Draft Initial Primary Freight Network during the drafting of MAP–21, will be performed by State DOTs and Designation Congress did not have access to the provided to DOT after designation of the latest data on freight movement. As a The DOT has posted the details of the highway PFN is complete. Further point of comparison, the DOT took the draft initial highway PFN, including the guidance and technical assistance for major freight corridors map that was 26,966-mile draft highway PFN map, the identifying these corridors will be originally developed for Freight Story 41,518-mile comprehensive map, State provided in the coming months. The 2008 and ran an analysis in the spring maps and lists of designated routes, FHWA will make an initial request of of 2013 to see how that map would look tables of mileage by State, and the States to identify CRFCs and will using current data. This effort was done information regarding intermodal maintain route information for the rural internally as part of the work to develop connectors and border crossings at: freight corridors thereafter. There is no the highway PFN. The Freight Story http://ops.fhwa.dot.gov/freight/ equivalent provision in the law for 2008 map contained 27,500 miles of infrastructure/nfn/index.htm. States to designate routes in urban areas. roads (26,000 miles based on truck data As previously noted, the statute and parallel intermodal rail lines and places a cap on the designation of the National Freight Network Role 1,500 miles representing goods highway PFN at 27,000 centerline miles. Freight in America travels over an movement on parallel major bulk rail The tables and maps on the above Web extensive network of highways, lines or waterways). Using the same site show a 41,518 mile connected railroads, waterways, pipelines, and methodology with 2011 HPMS and rail network that DOT would prefer to airways: 985,000 miles of Federal-aid data, the mileage based solely on the designate if it were not constrained to highways; 141,000 miles of railroads; truck and intermodal rail data grew to 27,000 miles by the statute. The 27,000- 11,000 miles of inland waterways; and over 31,000 miles of roads, not mile subset shown in the map is only 1.6 million miles of pipelines. There are including consideration of growth in one option of many that DOT could over 19,000 airports in the United choose to designate as the highway PFN. States, with approximately 540 serving 4 Commenters should note the 2011 HPMS The DOT seeks comments on the routes commercial operations, and over 5,000 database and the current FAF database differ in the identified in the draft initial highway coastal, Great Lakes, and inland delineation and exact geo-location of the NHS system. This may result in 1%–2% plus/minus PFN of 26,966 miles, including the waterway facilities moving cargo. variation on the total mileage because the mileage specific identification of roadways that Section 167(c) of title 23, U.S.C., is based on the geospatial network and actual freight partners and stakeholders believe directs the Secretary to establish a NFN mileage reported by States may vary due to vertical should be included or removed. In to assist States in strategically directing and horizontal curves that are not always accurate in GIS databases. The DOT will look to integrate the submitting comments relating to the resources toward improved system 2011 HPMS database with the FAF database to deletion, addition or modification of performance for efficient movement of reduce variation in future iterations. roadways included in this draft highway freight on the highway portion of the

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Nation’s freight transportation system. Authority: 23 U.S.C. 167; Section 1115 of addressed and the regional transit plan Nevertheless, while specific Pub. L. 112–141. has been completed, scoping activities commodities are likely to be moved on Issued on: November 8, 2013. for the Green Line have resumed. a particular mode or series of modes, a Victor M. Mendez, The purpose of this notice is to alert complex multi-modal system is required FHWA Administrator. interested parties regarding the intent to to meet fully the growing volume of prepare the EIS, to provide information [FR Doc. 2013–27520 Filed 11–18–13; 8:45 am] bulk and high-velocity, high-value on the nature of the proposed project BILLING CODE 4910–22–P goods in the United States. and possible alternatives, to invite The DOT seeks to develop a NFN to public participation in the EIS process, including comments on the scope of the provide connectivity between and DEPARTMENT OF TRANSPORTATION throughout the three elements that EIS as proposed in this notice, to comprise the NFN (highway PFN, Federal Transit Administration announce that a public scoping meeting Remainder of the Interstate System, and will be conducted, and to identify CRFC). The DOT recognizes that as a Preparation of an Environmental participating agency contacts. This highway-only network, the NFN is an Impact Statement for High Capacity input will be used to assist decision incomplete representation of the system Transit Improvements for the makers in determining a locally that is required to efficiently and Indianapolis Northeast Corridor Now preferred alternative (LPA) and effectively move freight in the United Known as (nka) Green Rapid Transit preparing a Draft Environmental Impact States. Consistent with the national Line in the Indiana Counties of Marion Statement (DEIS) for the Green Line. freight policy in MAP–21, DOT’s goal is and Hamilton Upon selection of an LPA, the project to designate a highway PFN that will sponsors will request permission from AGENCY: Federal Transit Administration, improve system performance, maximize FTA to enter into Project Development U.S. Department of Transportation. freight efficiency, and be effectively per requirements of 49 USC 5309. The integrated with the entire freight ACTION: Supplemental notice of intent to Final Environmental Impact Statement transportation system, including non- prepare an Environmental Impact (FEIS) and Record of Decision (ROD) highway modes of freight transport. Statement. will be issued after the project has The DOT seeks comments on how the entered Project Development. SUMMARY: The Federal Transit Dates, Times, and Locations: NFN fits into a larger multimodal Administration (FTA), the Central national freight system and how a multi- Comment Due Date: Written comments Indiana Regional Transportation on the purpose and need for the modal national freight system may be Authority (CIRTA), the Indianapolis defined. proposed improvements, and the scope Metropolitan Planning Organization of alternatives and impacts to be Use of the National Freight Network in (Indianapolis MPO) and Indianapolis considered should be sent to the the Future Public Transportation Corporation Indianapolis MPO by December 19, In creating the NFN, Congress stated (IndyGo) intend to prepare an 2013. that a NFN shall be established to assist Environmental Impact Statement (EIS) A public scoping meeting to accept States in strategically directing for the Northeast Corridor Project, nka comments on the scope of the study will resources toward improved system Green Rapid Transit Line (Green Line) be held on December 5, 2013 from 6:00 performance for efficient movement of Project relating to proposed fixed p.m. until 8:00 p.m. in the Julia Carson freight on the highway portion of the guideway transit improvements in the Government Center located at 300 East Nation’s freight transportation system. Indiana counties of Marion and Fall Creek Parkway North Drive, Congress specified that the highway Hamilton. The study area is an Indianapolis, Indiana 46205. The public PFN shall be comprised of not more approximately 23-mile long travel scoping meeting will be informal and in than 27,000 miles of existing roadways corridor extending from downtown an open house format. Interested that are most critical to the movement Indianapolis to downtown Noblesville persons may ask questions about the of freight. and includes the community of Fishers. proposal and the FTA’s environmental The DOT is seeking comments as to Options to be considered include No- review process. The project’s purpose how the designation of the NFN and Build, Bus Rapid Transit (BRT) and and need and the initial set of highway PFN could be used by and Diesel Light Rail Transit (LRT). The EIS alternatives proposed for study will be benefit public and freight stakeholders. process provides opportunities for the presented at the meetings. CIRTA, the We also welcome comments regarding public to comment on the scope of the Indianapolis MPO, IndyGo and project potential undesirable applications of the EIS, including the project’s purpose and team members will be available to NFN and highway PFN. The DOT need, the alternatives to be considered, answer questions and receive encourages widespread input to this and the impacts to be evaluated. The comments. A writing station will be proposed draft to provide a thorough southern terminus of all alternatives available to those who wish to submit examination of the diverse issues would be adjacent to the transit center written comments at the public scoping presented in this notice. in downtown Indianapolis. meeting. Project team members will be An original Notice of Intent for the available to listen and make notes of National Freight Network Designation proposed Green Line transit residents’ comments. The following is the approximate improvement was published on March The public scoping meeting location schedule for designation of the NFN: 9, 2010 and was followed by initial complies with the Americans with 1. Initial designation of highway project scoping, public involvement and Disabilities Act. Persons needing special PFN—Fall 2013 agency coordination. Project activities accommodations should contact Jeremy 2. Compilation of State-designated were suspended following the initial Moore, Project Manager, at (317) 327– CRFC routes—Late 2013—Early 2014 scoping activities to address funding 5495 or [email protected] at least 3. Release of the initial designation of issues and conduct additional planning 48 hours prior to the meeting. the full NFN (including highway PFN, related to development of the regional An interagency scoping meeting for rest of the Interstate System, CRFCs)— transit vision plan (referred to as ‘‘Indy federal, state, regional and local 2014 Connect’’). As funding issues are being resource and regulatory agencies will be

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held on December 5, 2013 from 2:30 2010 for two reasons. First, the DEIS evaluation approach to be used to select p.m. until 4:00 p.m. in the HNTB cannot be approved unless the project is the LPA. Corporation offices located at 111 included in the fiscally constrained NEPA ‘‘scoping’’ (40 CFR 1501.7) is Monument Circle, Suite 1200, Long Range Transportation Plan. The intended to identify the significant Indianapolis, Indiana 46204. The fiscal constraint requirement cannot be issues associated with alternatives that meeting will also be available via met unless there is a reasonable will be examined in detail and to limit webcast. All appropriate agencies that expectation of an additional transit consideration of issues that are not truly may have an interest in this project, or funding source. The City of Indianapolis significant. It is in the NEPA scoping have a potential interest in becoming a and other local governments began process that potentially significant participating agency, will be notified of advocating for legislation to allow the environmental impacts should be the meeting through separate direct establishment of a dedicated local identified. Environmental benefits will correspondence. transit funding source in 2010. The also be highlighted. Submitting Comments on the Scope of Indiana House of Representatives Once the scope of the environmental the Study: Scoping materials will be passed the necessary enabling study is defined, an annotated outline of available at the meetings and through legislation for a local transit referendum the draft EIS will be prepared and the project’s Web site at http:// in 2013. Transit funding proposals are shared with interested agencies and the www.indyconnect.org. FTA, CIRTA, the still under review by the Indiana Senate. public. The outline will serve to: (1) Indianapolis MPO and IndyGo Given the significant progress since Document the results of the scoping encourage broad participation in the EIS 2010, it is reasonable to resume the process; (2) contribute to the process. All interested agencies, Green Line DEIS development activities. transparency of the process; and (3) organizations, communities, and The second significant reason to provide a clear roadmap for concise members of the public are invited to temporarily suspend activities was the development of the environmental participate in the scoping process by development of the regional transit document. reviewing and commenting on the scope vision plan (Indy Connect). During the Public outreach activities will of the EIS. period 2010 to 2013, a sophisticated continue with interested residents, ADDRESSES: Written comments on the financial model was developed to stakeholders and groups throughout the scope of the EIS may be submitted to the support regional plan development, a EIS process. The Web site, http:// attention of Jeremy Moore, Project balanced regional transit plan was www.indyconnect.org, will be updated Manager, Indianapolis Metropolitan defined based on realistic funding periodically to reflect the status of the Planning Organization, City County expectations, and an unprecedented project. Additional opportunities for Building, Suite 1922, 200 E. Washington public involvement program was public participation will be announced Street, Indianapolis, Indiana 46204, defined and executed to promote public through mailings, notices, social media, Phone: (317) 327–5495, Fax: (317) 327– understanding of the plan. The context and press releases. 5950, Email: [email protected]. and timing of the Green Line Project Additional Information: Contact II. Description of Study Area and have become better defined, and Project Need Reginald Arkell, Federal Transit alternatives have been refined to better The Green Line Project Study Area Administration, Region 5, 200 W. meet the needs of the corridor and the includes the main travel corridors Adams Street, Suite 320, Chicago, overall system. Illinois 60606, Phone: 312–886–3704, between downtown Indianapolis and Due to the time that has lapsed, and Email: [email protected]. the rapidly growing areas of Hamilton recognizing the changed context and SUPPLEMENTARY INFORMATION: County, Indiana, including the alternatives definition, the project team communities of Fishers and Noblesville, I. Scoping is re-initiating project scoping with as well as the intervening high-density The purpose of the scoping process is resource agencies, including those that residential and commercial areas of to provide an opportunity for the public declined to participate in 2010. Each northeastern and central Marion and agencies to comment on and agency and the public are again being County. This is referred to as the provide early input to the Green Line invited to participate in the project northeast corridor. DEIS process. On March 9, 2010, FTA development process for the Green Line As currently identified, the purpose of published a Notice of Intent (NOI) in the Project. This will provide the the Green Line Project is to improve Federal Register to initiate the Green opportunity for meaningful mobility within the northeast corridor of Line Environmental Impact Statement participation as analyses are being Central Indiana through the process. As part of that effort, a Scoping updated to reflect changed conditions. development of improved transit Document was mailed to potential The FTA, the Indianapolis MPO and options. Consistent with the purpose of participating agencies in March 2010 CIRTA invite all interested individuals, the project, the EIS will address the and a resource agency scoping meeting organizations, businesses, and federal, need to: improve mobility, accessibility was held in April 2010. The original state, and local agencies to participate in and travel options within the northeast public scoping meetings for the project establishing the purpose and need, corridor; support sustainable, long-term DEIS were held on March 17, 2010 at project alternatives, and methodologies economic growth and livability; and the Julia Carson Government Center in of the environmental analysis approach support local transportation plans and Indianapolis, and on March 24, 2010 at for the EIS, as well as participate in an policies. the Hamilton County Government active public involvement program. Center in Noblesville. Comments were During the scoping process, the public III. Alternatives received from various agencies and is invited to comment on (a) the purpose The proposed alternatives to be incorporated into an Environmental and need; (b) the alternatives to be evaluated in the EIS will include the Scoping Report which was submitted to addressed; (c) the transit technologies to following: participating agencies in November be evaluated; (d) the alignments and • No-Build Alternative: The No-Build 2010. station locations to be considered; (e) Alternative is defined as the existing Project activities were suspended the environmental, social, and economic transportation system and any following the initial scoping activities in impacts to be analyzed; and (f) the committed transportation

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improvements. Committed turning to the west onto 10th Street. The the above alternatives would be transportation improvements include first alternative follows Fort Wayne considered for the Green Line Project. projects in the Indianapolis Avenue to Pennsylvania Street, where IV. Potential Impacts for Analysis Transportation Improvement Program two-way transit traffic is maintained to (TIP), which includes added travel lanes Washington Street. At Washington The scoping process will identify the and interchange improvements on I–69 Street, the line turns onto Virginia environmental impact areas most and I–465. The No-Build alternative Avenue and ends just west of the relevant to the project that merit further includes no changes to IndyGo bus downtown transit center. The second exploration in the EIS. The potential service or other transit services. Fort Wayne alternative is the same until impact areas include: land use, zoning, Consideration of the No-Build it reaches Delaware Street, where it potential displacements, parkland, Alternative is required as part of the splits and uses Pennsylvania and economic development, community NEPA evaluation process. Delaware Streets for one-way operation disruptions, environmental justice, • Bus Rapid Transit (BRT) to and from the downtown transit aesthetics, air quality, noise and Alternatives: A two-lane dedicated center. vibration, wildlife, vegetation, busway with on-line stations and other A third downtown alternative threatened and endangered species, related capital improvements would be alignment is on Massachusetts Avenue farmland, water quality, wetlands, constructed in the Hoosier Heritage Port south of 10th Street. In this option, the waterways, floodplains, hazardous Authority (HHPA) Railroad right of way downtown transit center is accessed by materials, and cultural, historic and between Noblesville and 10th Street in means of two-way transit operations on archaeological resources. The EIS will take into account both Indianapolis. Between 10th Street and Delaware Street. positive and negative impacts, direct the downtown transit center, BRT After leaving the HHPA Corridor on and indirect impacts, short-term and vehicles would operate on-street in 10th Street, the LRT would use College long-term impacts, and site specific and mixed traffic or dedicated lanes via one Avenue to access Massachusetts corridor wide impacts. Evaluation of three basic alternative routes. The on- Avenue. LRT would operate in criteria will be consistent with all street routes utilize Fort Wayne or dedicated lanes over the full length of Federal, state, and local criteria, Massachusetts Avenue, and the route. Center lanes on Massachusetts regulations and policies. The EIS will Pennsylvania and/or Delaware Street. Avenue would require existing 90- identify measures to avoid or mitigate Variations to these basic alignments degree parking to be converted to significant adverse environmental would be considered near the parallel parking. Curb lanes would be downtown transit center for BRT impacts. used on each side of Delaware Street. To ensure that all significant issues vehicles operating in mixed traffic. All LRT would require a section of ‘‘tail BRT alternatives would include related to this proposed action are track’’ south of the downtown transit enhanced stations with sheltered identified and addressed, scoping center to reverse direction. waiting areas, real-time next bus arrival comments and suggestions are invited If LRT is implemented on the Fort information and traffic signal from all interested parties. Wayne alignments, it is assumed that preemption technology. The vehicle The public involvement program will exclusive lanes would be provided would be a low-floor diesel-electric include a full range of involvement hybrid bus with enhanced on-board throughout the route with the exception activities. Activities will include passenger amenities. of a short segment of 10th Street where outreach to local and regional officials • Diesel Light Rail Transit (LRT) the street is narrow and eastbound and community and civic groups; a Alternative: The existing track structure traffic volumes are low. The transit public scoping process to define the of the HHPA rail line would be lanes would be provided within existing issues of concern among all parties completely reconstructed between curb lines and stations would be mostly interested in the project; organizing Noblesville and 10th Street in in existing right of way. Implementing periodic meetings with various local Indianapolis, and new track would be LRT would result in loss of travel and/ agencies, organizations and committees; constructed in-street between 10th or parking lanes throughout the a public hearing on release of the DEIS; Street and the downtown transit center. downtown Indianapolis route. and development and distribution of At most locations, the rail guideway in BRT options could operate in the project information via newsletters, Web downtown Indianapolis would be in a same exclusive transit lanes that would site, and social media. Specific lane dedicated for transit use. As with be used by LRT, with similar impacts to mechanisms for involvement will be BRT, the LRT vehicles would utilize parking and travel lanes, or BRT could detailed in the public involvement Fort Wayne or Massachusetts Avenue, operate in general purpose lanes with program. and Pennsylvania and/or Delaware mixed traffic, taking advantage of the V. Evaluation Criteria Street to access the downtown transit effective traffic signal coordination of center. LRT alternatives would include the Pennsylvania/Delaware one-way The Indianapolis MPO may seek New enhanced stations with sheltered pair. The path for mixed traffic Starts funding for the proposed Green waiting areas, real-time arrival operations could vary in the vicinity of Line Project under 49 U.S.C. 5309 and information, low-floor vehicles with the downtown transit center using will therefore be subject to New Starts enhanced on-board passenger amenities, Washington Street and Virginia Avenue regulations (49 CFR Part 611). MAP–21 and fully gated quiet crossings at road to turn around. Additionally, mixed (49 USC 5309(d)) requires that projects crossings outside downtown traffic BRT could access to proposed for New Starts funding be Indianapolis. Service would be Massachusetts Avenue via Carrolton evaluated based on project justification provided by diesel powered light rail Avenue. This option does not exist for and local financial commitment criteria. vehicles also known as diesel multiple LRT vehicles since they are unable to Project justification comprises 50 units or DMUs. make the 90-degree turns necessary to percent of the overall rating and • Downtown Indianapolis Options: use cross streets to access Pennsylvania considers mobility improvements, Two of the downtown alternative Street. environmental benefits, congestion alignments utilize Fort Wayne Avenue Based on public and agency input relief, cost-effectiveness, economic after leaving the HHPA Corridor and received during scoping, variations of development effects, and existing land

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use. The other 50 percent of the FTA room 6129, 1111 Constitution Avenue technology; and (e) estimates of capital New Starts rating reflects local financial NW., Washington, DC 20224, or through or start-up costs and costs of operation, commitment, which encompasses the the internet at [email protected]. maintenance, and purchase of services proposed share of the project capital SUPPLEMENTARY INFORMATION: to provide information. cost that would be funded through non- Title: Application for Determination Approved: November 1, 2013. New Starts sources, the current financial for Adopters of Master or Prototype or Allan Hopkins, condition of the transit system, the Volume Submitter Plans. IRS Tax Analyst. commitment of funds for the project and OMB Number: 1545–0200. [FR Doc. 2013–27686 Filed 11–18–13; 8:45 am] transit system, and the reasonableness Form Number: 5307. BILLING CODE 4830–01–P of the project financial plan. Abstract: Employers whose pension With respect to the FTA project plans meet the requirements of Internal development process, one of the more Revenue Code section 401(a) are DEPARTMENT OF THE TREASURY important changes brought about by permitted a deduction for their MAP–21 was the elimination of the contributions to these plans. To have a Internal Revenue Service requirement for a standalone plan qualified under Code section Alternatives Analysis that would 401(a), the employer must submit an Proposed Information Collection; culminate in the selection of a locally application to the IRS as required by Comment Request preferred alternative. The FTA will regulation § 1.401–1(b)(2). Form 5307 is AGENCY: Internal Revenue Service (IRS), instead rely on the NEPA process for used as an application for this purpose Treasury. alternatives evaluation. The change will by adopters of master or prototype or reduce redundancy in the New Starts volume submitter plans. ACTION: Notice and request for project development process and Current Actions: There are no changes comments. streamline the review and selection of a being made to the form at this time. SUMMARY: The Department of the locally preferred alternative. Type of Review: Extension of a Treasury, as part of its continuing effort Marisol Simon, currently approved collection. to reduce paperwork and respondent Regional Administrator. Affected Public: Business or other for- burden, invites the general public and profit organizations. [FR Doc. 2013–27583 Filed 11–18–13; 8:45 am] other Federal agencies to take this Estimated Number of Respondents: BILLING CODE P opportunity to comment on proposed 100,000. and/or continuing information Estimated Time per Respondent: 51 collections, as required by the hours, 23 minutes. DEPARTMENT OF THE TREASURY Paperwork Reduction Act of 1995, Estimated Total Annual Burden Public Law 104–13 (44 U.S.C. Internal Revenue Service Hours: 5,139,000. 3506(c)(2)(A)). The following paragraph applies to all of the collections of information covered DATES: Written comments should be Proposed Collection; Comment received on or before January 21, 2014 Request for Form 5307 by this notice: An agency may not conduct or to be assured of consideration. AGENCY: Internal Revenue Service (IRS), sponsor, and a person is not required to ADDRESSES: Direct all written comments Treasury. respond to, a collection of information to Yvette B. Lawrence, Internal Revenue ACTION: Notice and request for unless the collection of information Service, Room 6129, 1111 Constitution comments. displays a valid OMB control number. Avenue NW., Washington, DC 20224. Books or records relating to a collection Please send separate comments for SUMMARY: The Department of the of information must be retained as long each specific information collection Treasury, as part of its continuing effort as their contents may become material listed below. You must reference the to reduce paperwork and respondent in the administration of any internal information collection’s title, form burden, invites the general public and revenue law. Generally, tax returns and number, reporting or record-keeping other Federal agencies to take this tax return information are confidential, requirement number, and OMB number opportunity to comment on proposed as required by 26 U.S.C. 6103. (if any) in your comment. and/or continuing information Request for Comments: Comments FOR FURTHER INFORMATION: To obtain collections, as required by the submitted in response to this notice will additional information, or copies of the Paperwork Reduction Act of 1995, be summarized and/or included in the information collection and instructions, Public Law 104–13 (44 U.S.C. request for OMB approval. All or copies of any comments received, 3506(c)(2)(A)). Currently, the IRS is comments will become a matter of contact Elaine Christophe, at (202) 622– soliciting comments concerning Form public record. Comments are invited on: 3179, or at Internal Revenue Service, 5307, Application for Determination for (a) Whether the collection of Room 6129, 1111 Constitution Avenue Adopters of Master or Prototype or information is necessary for the proper NW., Washington, DC 20224, or through Volume Submitter Plans. performance of the functions of the the internet, at Elaine.H.Christophe@ DATES: Written comments should be agency, including whether the irs.gov. received on or before January 21, 2014 information shall have practical utility; SUPPLEMENTARY INFORMATION: to be assured of consideration. (b) the accuracy of the agency’s estimate ADDRESSES: Direct all written comments of the burden of the collection of Request for Comments to Yvette Lawrence, Internal Revenue information; (c) ways to enhance the The Department of the Treasury and Service, Room 6129, 1111 Constitution quality, utility, and clarity of the the Internal Revenue Service, as part of Avenue NW., Washington, DC 20224. information to be collected; (d) ways to their continuing effort to reduce FOR FURTHER INFORMATION CONTACT: minimize the burden of the collection of paperwork and respondent burden, Requests for copies of the form and information on respondents, including invite the general public and other instructions should be directed to Sara through the use of automated collection Federal agencies to take this Covington, at Internal Revenue Service, techniques or other forms of information opportunity to comment on the

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proposed or continuing information profit institutions, and Federal, state, imposition of punitive damages in the collections listed below in this notice, local or tribal governments. case of a willful inspection or disclosure as required by the Paperwork Reduction Estimated Number of Respondents: or an inspection or disclosure which is Act of 1995, (44 U.S.C. 3501 et seq.). 10,323,926. the result of gross negligence. Section Request for Comments: Comments Estimated Time per Respondent: 13 301.6103(n)–1(e)(3) of the final submitted in response to this notice will minutes. regulations require that before the be summarized and/or included in our Estimated Total Annual Burden execution of a contract or agreement for request for Office of Management and Hours: 2,129,669. the acquisition of property or services Budget (OMB) approval of the relevant Title: Certain Transfers of Domestic under which returns or return information collection. All comments Stock or Securities by U.S. Persons to information will be disclosed, the will become a matter of public record. Foreign Corporations. contract or agreement must be made Please do not include any confidential OMB Number: 1545–1478. available to the IRS. or inappropriate material in your Regulation Project Number: INTL–9– Current Actions: There is no change to comments. 95 (TD 8702). this existing regulation. We invite comments on: (a) Whether Abstract: This regulation relates to Type of Review: Extension of a the collection of information is certain transfers of stock or securities of currently approved collection. necessary for the proper performance of domestic corporations pursuant to the Affected Public: Business or other for- the agency’s functions, including corporate organization, reorganization, profit organizations, not-for-profit whether the information has practical or liquidation provisions of the internal institutions and Federal, state, local or utility; (b) the accuracy of the agency’s Revenue Code. Transfers of stock or tribal governments. estimate of the burden of the collection securities by U.S. persons in tax-free Estimated Number of Respondents: of information; (c) ways to enhance the transactions are treated as taxable 2,500. quality, utility, and clarity of the transactions when the acquirer is a Estimated Time per Respondent: 0.1 information to be collected; (d) ways to foreign corporation, unless an exception hr. minimize the burden of the collection of applies under Code section 367(a). This Estimated Total Annual Burden information on respondents, including regulation provides that no U.S. person Hours: 250. the use of automated collection will qualify for an exception unless the Title: Disclosure by Tax-Exempt techniques or other forms of information U.S. target company complies with Entity Regarding Prohibited Tax Shelter technology; and (e) estimates of capital certain reporting requirements. Transaction. or start-up costs and costs of operation, Current Actions: There is no change to OMB Number: 1545–2078. maintenance, and purchase of services this existing regulation. Form Number: Form 8886–T. to provide the requested information. Type of Review: Extension of a Abstract: Certain tax-exempt entities Currently, the IRS is seeking currently approved collection. are required to file Form 8886–T to comments concerning the following Affected Public: Business or other for- disclose information for each prohibited forms, and reporting and recordkeeping profit organizations. tax shelter transaction to which the requirements: Estimated Number of Responses: 100. entity was a party. Title: Direct Rollovers and 20-Percent Estimated Time per Response: 10 Current Actions: There is no change Withholding Upon Eligible Rollover hours. in the paperwork burden previously Distributions From Qualified Plans. Estimated Total Annual Burden approved by OMB. This form is being OMB Number: 1545–1341. Hours: 1,000. Regulation Project Number: EE–43– submitted for renewal purposes only. Type of Review: Extension of a 92. Title: REG–148867–03 (TD 9327) Abstract: This regulation implements (Final) Disclosure of Returns and Return currently approved collection. the provisions of the Unemployment Information in Connection With Written Affected Public: Businesses and other Compensation Amendments of 1992 Contracts or Agreements for the for-profit organizations, State, Local or (Pub. L. 102–318), which impose Acquisition of Property or Services for Tribal Government. mandatory 20 percent income tax Tax Administration Purposes. Estimated Number of Respondents: withholding upon the taxable portion of OMB Number: 1545–1821. 6,500. certain distributions from a qualified Regulation Project Number: REG– Estimated Time per Respondent: 8 pension plan or a tax-sheltered annuity 148867–03. hours, 36 minutes. that can be rolled over tax-free to Abstract: The final regulations clarify Estimated Total Annual Burden another eligible retirement plan unless that redisclosures or returns and return Hours: 55,900. such amounts are transferred directly to information by contractors to agents or Title: PTIN Supplemental Application such other plan in a ‘‘direct rollover’’ subcontractors are permissible, and that For Foreign Persons Without a Social transaction. These provisions also the penalty provisions, written Security Number. require qualified pension plans and tax- notification requirements, and safeguard OMB Number: 1545–2189. sheltered annuities to offer their requirements are applicable to these Form Number: 8946. participants the option to elect to make agents and subcontractors. Section Abstract: Most individuals applying ‘‘direct rollovers’’ of their distributions 301.6103(n)–1(d) of the final regulations for a Preparer Tax Identification and to provide distributees with a require that contractors, agents, and Number (PTIN) will have a social written explanation of the tax laws subcontractors who receive returns or security number, which will be used to regarding their distributions and their return information under the final help establish their identity. However, option to elect such a rollover. regulations must provide written notice paid preparers that are nonresident Current Actions: There is no change to to their officers and employees of the aliens and cannot get a social security this existing regulation. purposes for which returns or return number will need to establish their Type of Review: Extension of a information may be used and of the identity prior to getting a PTIN. Form currently approved collection. potential civil and criminal penalties for 8946 is being created to assist that Affected Public: Individuals, business unauthorized inspections or disclosures, population in establishing their identity or other for-profit organizations, not-for- including informing them of the while applying for a PTIN.

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Current Actions: There is no change opportunity to comment on proposed Estimated Number of Respondents: in the paperwork burden previously and/or continuing information 500. approved by OMB. This form is being collections, as required by the Estimated Time per Respondent: 5 submitted for renewal purposes only. Paperwork Reduction Act of 1995, hrs., 43 min. Type of Review: Extension of a Public Law 104–13 (44 U.S.C. Estimated Total Annual Burden currently approved collection. 3506(c)(2)(A)). Currently, the IRS is Hours: 2,860. Affected Public: Businesses and other soliciting comments concerning the for-profit organizations. PTIN Supplemental Application For The following paragraph applies to all Estimated Number of Respondents: U.S. Citizens Without A Social Security of the collections of information covered 20,000. Number Due To Conscientious Reasons. by this notice: Estimated Time per Respondent: 5.48 DATES: Written comments should be An agency may not conduct or hrs. sponsor, and a person is not required to Estimated Total Annual Burden received on or before January 21, 2014 to be assured of consideration. respond to, a collection of information Hours: 105,400. unless the collection of information ADDRESSES: The following paragraph applies to all Direct all written comments displays a valid OMB control number. of the collections of information covered to Yvette Lawrence, Internal Revenue Books or records relating to a collection by this notice: Service, Room 6129, 1111 Constitution of information must be retained as long An agency may not conduct or Avenue NW., Washington, DC 20224. as their contents may become material sponsor, and a person is not required to FOR FURTHER INFORMATION CONTACT: in the administration of any internal respond to, a collection of information Requests for additional information or revenue law. Generally, tax returns and unless the collection of information copies of the form and instructions tax return information are confidential, displays a valid OMB control number. should be directed to Sara Covington, at as required by 26 U.S.C. 6103. Books or records relating to a collection Internal Revenue Service, Room 6129, Request for Comments: Comments of information must be retained as long 1111 Constitution Avenue NW., as their contents may become material submitted in response to this notice will Washington DC 20224, or through the be summarized and/or included in the in the administration of any internal Internet, at [email protected]. revenue law. Generally, tax returns and request for OMB approval. All SUPPLEMENTARY INFORMATION: comments will become a matter of tax return information are confidential, Title: PTIN Supplemental Application as required by 26 U.S.C. 6103. public record. Comments are invited on: For U.S. Citizens Without A Social (a) Whether the collection of Approved: November 7, 2013. Security Number Due To Conscientious information is necessary for the proper Yvette B. Lawrence, Reasons. performance of the functions of the IRS Reports Clearance Officer. OMB Number: 1545–2188. agency, including whether the [FR Doc. 2013–27732 Filed 11–18–13; 8:45 am] Form Number: 8945. information shall have practical utility; BILLING CODE 4830–01–P Abstract: Most individuals applying (b) the accuracy of the agency’s estimate for a Preparer Tax Identification of the burden of the collection of Number (PTIN) will have a social information; (c) ways to enhance the DEPARTMENT OF THE TREASURY security number, which will be used to quality, utility, and clarity of the help establish their identity. However, information to be collected; (d) ways to Internal Revenue Service there exists a population of U.S. minimize the burden of the collection of residents that are religious objectors and information on respondents, including Proposed Collection; Comment do not have social security numbers. Request for Form 8945 through the use of automated collection Form 8945 is being created to assist that techniques or other forms of information AGENCY: Internal Revenue Service (IRS), population in establishing their identity technology; and (e) estimates of capital Treasury. while applying for a PTIN. or start-up costs and costs of operation, ACTION: Notice and request for Current Actions: There is no change maintenance, and purchase of services comments. in the paperwork burden previously to provide information. approved by OMB. This form is being Approved: November 13, 2013. SUMMARY: The Department of the submitted for renewal purposes only. Treasury, as part of its continuing effort Type of Review: Extension of a Allan Hopkins, to reduce paperwork and respondent currently approved collection. IRS Tax Analyst. burden, invites the general public and Affected Public: Businesses and other [FR Doc. 2013–27721 Filed 11–18–13; 8:45 am] other Federal agencies to take this for-profit organizations. BILLING CODE 4830–01–P

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Part II

The President

Proclamation 9057—America Recycles Day, 2013

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Federal Register Presidential Documents Vol. 78, No. 223

Tuesday, November 19, 2013

Title 3— Proclamation 9057 of November 14, 2013

The President America Recycles Day, 2013

By the President of the United States of America

A Proclamation During the First and Second World Wars, Americans showed their patriotism by participating in scrap drives and salvage collections. A committed citi- zenry gave up their personal typewriters, joined in volunteer efforts to harvest oil-producing peanuts, and donated old tires in a nationwide push to conserve and repurpose resources vital to our common welfare. Today, we face new threats—to our environment, our health, and our climate— that require all of us to do our part. On America Recycles Day, we carry forward a great national tradition and enlist a new generation of environ- mental stewards. A typical American produces more than four pounds of waste each day, and some of this waste, including old computers and cell phones, could damage our health and harm our environment if not recycled properly. Recycling not only reduces pollution, but also saves energy, preserves valu- able raw materials, and reduces emissions of greenhouse gases that contribute to climate change. In addition, it spurs economic growth, generating billions of dollars each year and supporting local manufacturers who depend on recycled materials to make their products. America Recycles Day offers an opportunity for each of us to reflect on the ways our habits shape the world around us. In our homes, offices, and schools, let us strive to make recycling a part of our daily lives. We should reuse or donate when possible, and recycle or compost as much as we are able. Students can get involved by championing waste-free lunches, recycling programs, and collection drives to repurpose resources like used shoes, water bottles, and digital cameras. Our environmental legacy will not reflect any single policy or initiative; it will be the sum of millions of small actions, the decisions we make each day. Today, let us join with family, friends, and neighbors to make that legacy a strong one. NOW, THEREFORE, I, BARACK OBAMA, President of the United States of America, by virtue of the authority vested in me by the Constitution and the laws of the United States, do hereby proclaim November 15, 2013, as America Recycles Day. I call upon the people of the United States to observe this day with appropriate programs and activities, and I encourage all Americans to continue their reducing, reusing, and recycling efforts throughout the year.

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IN WITNESS WHEREOF, I have hereunto set my hand this fourteenth day of November, in the year of our Lord two thousand thirteen, and of the Independence of the United States of America the two hundred and thirty- eighth.

[FR Doc. 2013–27910 Filed 11–18–13; 11:15 am] Billing code 3295–F4

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Reader Aids Federal Register Vol. 78, No. 223 Tuesday, November 19, 2013

CUSTOMER SERVICE AND INFORMATION CFR PARTS AFFECTED DURING NOVEMBER

Federal Register/Code of Federal Regulations At the end of each month the Office of the Federal Register General Information, indexes and other finding 202–741–6000 publishes separately a List of CFR Sections Affected (LSA), which aids lists parts and sections affected by documents published since Laws 741–6000 the revision date of each title. Presidential Documents 1 CFR 331...... 66826 Executive orders and proclamations 741–6000 381...... 66826 Proposed Rules: The United States Government Manual 741–6000 412...... 66826 51...... 69006 424...... 66826 Other Services 3 CFR Electronic and on-line services (voice) 741–6020 10 CFR Privacy Act Compilation 741–6064 Proclamations: 95...... 69286 Public Laws Update Service (numbers, dates, etc.) 741–6043 9047...... 66605 430...... 68331 TTY for the deaf-and-hard-of-hearing 741–6086 9048...... 66607 770...... 67295 9049...... 66609 Proposed Rules: 9050...... 66611 ELECTRONIC RESEARCH 2...... 66660 9051...... 66613 40...... 67224, 67225 World Wide Web 9052...... 66615 50...... 68774 9053...... 66617 Full text of the daily Federal Register, CFR and other publications 51...... 65903, 66858 9054...... 66619 55...... 68774 is located at: www.fdsys.gov. 9055...... 67287 70...... 67224, 67225 Federal Register information and research tools, including Public 9056...... 68325 72...... 67224, 67225 Inspection List, indexes, and Code of Federal Regulations are 9057...... 69533 74...... 67224, 67225 located at: www.ofr.gov. Executive Orders: 150...... 67224, 67225 E-mail 13653...... 66819 429...... 66202, 67319 Administrative Orders: 430...... 66202 FEDREGTOC-L (Federal Register Table of Contents LISTSERV) is Notices: 431...... 66202 an open e-mail service that provides subscribers with a digital Notice of October 30, form of the Federal Register Table of Contents. The digital form 2013 ...... 65867 12 CFR of the Federal Register Table of Contents includes HTML and Notice of November 7, 204...... 66249 PDF links to the full text of each document. 2013 ...... 67289 652...... 65541 To join or leave, go to http://listserv.access.gpo.gov and select Notice of November 1005...... 66251 Online mailing list archives, FEDREGTOC-L, Join or leave the list 12, 2013 ...... 68323 1024...... 68343 (or change settings); then follow the instructions. 1267...... 67004 PENS (Public Law Electronic Notification Service) is an e-mail 5 CFR 1269...... 67004 service that notifies subscribers of recently enacted laws. 733...... 66825 1270...... 67004 To subscribe, go to http://listserv.gsa.gov/archives/publaws-l.html 850...... 68981 Proposed Rules: and select Join or leave the list (or change settings); then follow Proposed Rules: 380...... 66661 the instructions. 1201...... 67076 702...... 65583 1006...... 67848 FEDREGTOC-L and PENS are mailing lists only. We cannot 6 CFR respond to specific inquiries. 1001...... 66995 14 CFR Reference questions. Send questions and comments about the 1002...... 66995 21...... 68687 Federal Register system to: [email protected] 1003...... 66995 25 ...... 67291, 68985, 68986 The Federal Register staff cannot interpret specific documents or 34...... 65554 regulations. 7 CFR 39 ...... 65869, 65871, 66252, Reminders. Effective January 1, 2009, the Reminders, including 27...... 68983 66254, 66258, 67009, 67011, Rules Going Into Effect and Comments Due Next Week, no longer 271...... 65515 67013, 67015, 67018, 67020, appear in the Reader Aids section of the Federal Register. This 274...... 65515 67022, 68345, 68347, 68352, information can be found online at http://www.regulations.gov. 319...... 69285 68355, 68357, 68360, 68688, CFR Checklist. Effective January 1, 2009, the CFR Checklist no 761...... 65523 68691, 68693, 68697 longer appears in the Federal Register. This information can be 762...... 65523 45...... 65554 found online at http://bookstore.gpo.gov/. 765...... 65523 61...... 66261 766...... 65523 71 ...... 65554, 65555, 65556, FEDERAL REGISTER PAGES AND DATE, NOVEMBER 772...... 65523 67024, 67292, 67293, 67294, 1726...... 69286 67295, 67296, 67297, 67298, 65515–65868...... 1 Proposed Rules: 67299, 68699 65869–66248...... 4 245...... 65890 91...... 68360 66249–66620...... 5 905...... 67977 95...... 68699 66621–66824...... 6 1211...... 67979, 68298 97...... 68702, 68704 66825–66994...... 7 3550...... 65582 117...... 69287 66995–67288...... 8 121...... 67800, 69287 67289–67924...... 12 9 CFR 382...... 67882, 67918 67925–68324...... 13 94...... 68327 399...... 67882 68325–68686...... 14 317...... 66826 Proposed Rules: 68687–68980...... 15 318...... 66826 25 ...... 66317, 67077, 67320, 68981–69284...... 18 320...... 66826 67321, 67323, 68775 69285–69534...... 19 327...... 66826 39 ...... 66666, 66668, 66859,

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66861, 69316, 69318, 69320 601...... 67985 34 CFR 47 CFR 71...... 67324, 68777 1308...... 65923 Ch. III ...... 66271 1...... 66287, 66288 121...... 67983 668...... 65768 22...... 66288 135...... 66865 22 CFR 674...... 65768 25...... 67309 1260...... 68375, 68376 41...... 66814, 68992 682...... 65768 27...... 66288, 66298 1273...... 68375 230...... 66841 685...... 65768 64...... 67956 1274...... 68375, 68376 502...... 67025 Proposed Rules: 69...... 67053 15 CFR 24 CFR 200...... 69336 73...... 66288, 67310 Ch. VI...... 66865 74...... 66288 30...... 67927 50...... 68719 400...... 69288 55...... 68719 Proposed Rules: 36 CFR Ch. I ...... 65601 58...... 68719 16 CFR 1191...... 67303 4...... 69018 Proposed Rules: 64...... 68005 1...... 65557 214...... 66670 37 CFR 73...... 68384 254...... 68987 90...... 65594 801...... 68705 25 CFR 384...... 66276 385...... 67938 1500...... 66840 151...... 67928 Proposed Rules: 48 CFR 17 CFR 38 CFR 226...... 65589 17...... 68364 204...... 69273 1...... 68506 208...... 69268 26 CFR 3...... 68506 39 CFR 212...... 69268, 69273 15...... 69178 1...... 66639, 68735 3010...... 67951 215...... 69268 17...... 69178 54...... 68240 225...... 69282 18...... 69178 Proposed Rules: 40 CFR 233...... 69268 20...... 69178 1...... 68779, 68780 239...... 69268 22...... 68506 300...... 65932 9...... 66279 19...... 66643 244...... 69268 23...... 66621 252 ...... 69288, 69273, 69283 30...... 68506 29 CFR 52 ...... 65559, 65875, 65877, 66280, 66648, 66845, 67036, Proposed Rules: 140...... 68506 1910...... 66641, 66642 67307, 67952, 68365, 68367, 927...... 66865 190...... 66621 1926...... 66641, 66642 68997, 69296, 69299 952...... 66865 200...... 67468 2590...... 68240 81...... 66845 970...... 66865 240...... 67468 4022...... 68739 249...... 67468 98...... 68162 Proposed Rules: 180 ...... 65561, 65565, 66649, Proposed Rules: 1904...... 67254, 68782 49 CFR 150...... 68946 66651, 67038, 67042, 67048, 1910...... 65932 68741 27...... 67882 170...... 67078, 67985 1926...... 65932 172...... 69310 200...... 66428 300...... 66283, 69302 1952...... 67254, 68782 372...... 66848 571...... 68748 227...... 66428 575...... 66655 232...... 66428 30 CFR 721...... 65570, 66279 Proposed Rules: Proposed Rules: 239...... 66428 Proposed Rules: 26...... 68016 240...... 66428 52 ...... 65590, 65593, 66320, 75...... 68783 173...... 66326 249...... 66428 67090, 67327, 68005, 68377, 936...... 66671 174...... 66326 300...... 66318 68378, 69337 178...... 66326 32 CFR 63...... 66108, 66321 19 CFR 98...... 66674, 69337 179...... 66326 320...... 69289, 39291 180...... 66326 Proposed Rules: 300...... 66325, 69360 351...... 69322 33 CFR 42 CFR 100 ...... 66844, 67026, 68995 50 CFR 20 CFR 110...... 67300 433...... 66852 10...... 65844 404...... 66638 117 ...... 65873, 65874, 66265, Proposed Rules: 17...... 68370 416...... 66638 66266, 67027, 67938 84...... 69361 20...... 65573 Proposed Rules: 141...... 69292 21 ...... 65576, 65578, 65844 44 CFR 404...... 69324 151...... 67027 223...... 66140, 69310 155...... 67027 64 ...... 65882, 68999, 69001 224...... 66140 21 CFR 160...... 67027 206...... 66852 300...... 65887, 69002 73...... 68713 165 ...... 65874, 66267, 66269, 622...... 68372, 68373 45 CFR 510...... 66263 67028, 68995 635...... 68757 520...... 66263 Proposed Rules: 146...... 68240 648...... 65888, 66857 522...... 66263 97...... 68784 147...... 68240 660...... 68764 558...... 66263 100...... 69007 153...... 66653 679...... 68374 886...... 68714 117...... 67084, 67999 155...... 66653 Proposed Rules: 1240...... 66841 140...... 67326 156...... 66653 17 ...... 65936, 65938, 68660 1308...... 68716 141...... 67326 157...... 66653 21...... 65953, 65955 Proposed Rules: 142...... 67326 158...... 66653 100...... 66885 Ch. I ...... 65588 143...... 67326 170...... 65884 223...... 66675, 69033 16...... 69006 144...... 67326 Proposed Rules: 224...... 66675, 69033 20...... 65904 145...... 67326 1613...... 65933 226...... 65959 112...... 69006 146...... 67326 242...... 66885 310...... 65904 147...... 67326 46 CFR 635...... 66327 314...... 65904, 67985 160...... 68784 Proposed Rules: 648...... 66887 600...... 65904 165...... 67086, 68002 97...... 68784 679...... 65602, 68390

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in today’s List of Public enacted public laws. To Laws. subscribe, go to http:// LIST OF PUBLIC LAWS Public Laws Electronic listserv.gsa.gov/archives/ Last List November 15, 2013 Notification Service publaws-l.html (PENS) Note: No public bills which Note: This service is strictly have become law were for E-mail notification of new received by the Office of the PENS is a free electronic mail laws. The text of laws is not Federal Register for inclusion notification service of newly available through this service. PENS cannot respond to specific inquiries sent to this address.

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